FORM 8.3 - SOPHOS GROUP PLC

LONDON--()-- 

FORM 8.3

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY

A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

Rule 8.3 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a) Full name of discloser: Barclays PLC.
 
(b) Owner or controller of interest and short
positions disclosed, if different from 1(a):
(c) Name of offeror/offeree in relation to whose SOPHOS GROUP PLC
relevant securities this form relates:
(d) If an exempt fund manager connected with an
offeror/offeree, state this and specify identity of
offeror/offeree:
(e) Date position held/dealing undertaken:

27 November 2019

(f) In addition to the company in 1(c) above, is the discloser making NO
disclosures in respect of any other party to the offer?

2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE

If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)

Class of relevant security: 3p ordinary
Interests Short Positions
Number (%) Number (%)

(1)

Relevant securities owned
and/or controlled:

22,457,653

4.57%

13,228,687

2.69%

 

(2)

Cash-settled derivatives:

107,158

0.02%

20,743,861

4.22%

 

(3)

Stock-settled derivatives (including options)
and agreements to purchase/sell:

0

0.00%

0

0.00%

 
 
TOTAL:

22,564,811

4.59%

33,972,548

6.92%

 

All interests and all short positions should be disclosed.

Details of any open stock-settled derivative positions (including traded options), or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

(b) Rights to subscribe for new securities (including directors’ and other employee options)

Class of relevant security in relation to which subscription right exists:

 

Details, including nature of the rights concerned and relevant percentages:

 

3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.

The currency of all prices and other monetary amounts should be stated.

(a) Purchases and sales

Class of relevant Purchase/sale Number of Price per unit
security securities

3p ordinary

Purchase

47

5.6900 GBP

3p ordinary

Purchase

118

5.6831 GBP

3p ordinary

Purchase

558

5.6760 GBP

3p ordinary

Purchase

730

5.6798 GBP

3p ordinary

Purchase

1,005

5.6924 GBP

3p ordinary

Purchase

1,137

5.6927 GBP

3p ordinary

Purchase

1,978

5.6886 GBP

3p ordinary

Purchase

3,157

5.6850 GBP

3p ordinary

Purchase

3,445

5.6891 GBP

3p ordinary

Purchase

3,588

5.6810 GBP

3p ordinary

Purchase

3,813

5.6840 GBP

3p ordinary

Purchase

3,816

5.6780 GBP

3p ordinary

Purchase

4,000

5.6906 GBP

3p ordinary

Purchase

4,150

5.6740 GBP

3p ordinary

Purchase

4,408

5.6800 GBP

3p ordinary

Purchase

6,322

5.6917 GBP

3p ordinary

Purchase

11,290

5.6920 GBP

3p ordinary

Purchase

16,715

5.6930 GBP

3p ordinary

Purchase

17,695

5.6812 GBP

3p ordinary

Purchase

38,387

5.6915 GBP

3p ordinary

Purchase

48,745

5.6853 GBP

3p ordinary

Purchase

50,359

5.6905 GBP

3p ordinary

Purchase

91,354

5.6860 GBP

3p ordinary

Purchase

128,751

5.6830 GBP

3p ordinary

Sale

357

5.6951 GBP

3p ordinary

Sale

558

5.6760 GBP

3p ordinary

Sale

909

5.6944 GBP

3p ordinary

Sale

936

5.6793 GBP

3p ordinary

Sale

1,043

5.6790 GBP

3p ordinary

Sale

3,816

5.6780 GBP

3p ordinary

Sale

4,114

5.6936 GBP

3p ordinary

Sale

4,150

5.6740 GBP

3p ordinary

Sale

4,408

5.6800 GBP

3p ordinary

Sale

11,290

5.6920 GBP

3p ordinary

Sale

24,254

5.6923 GBP

3p ordinary

Sale

46,780

5.6879 GBP

3p ordinary

Sale

47,801

5.6818 GBP

3p ordinary

Sale

141,560

5.6875 GBP

(b) Cash-settled derivative transactions

Class of

Product

Nature of dealing

Number of

Price per

relevant

description

 

reference

unit

security

 

 

securities

 

3p ordinary

SWAP

Long

598

5.6800 GBP

3p ordinary

SWAP

Long

620

5.6780 GBP

3p ordinary

SWAP

Long

8,010

5.6900 GBP

3p ordinary

SWAP

Long

11,399

5.6948 GBP

3p ordinary

SWAP

Long

27,501

5.6792 GBP

3p ordinary

SWAP

Long

27,671

5.6799 GBP

3p ordinary

CFD

Long

141,560

5.6875 GBP

3p ordinary

SWAP

Short

1,516

5.6893 GBP

3p ordinary

SWAP

Short

3,951

5.6905 GBP

3p ordinary

SWAP

Short

4,000

5.6906 GBP

3p ordinary

CFD

Short

14,468

5.6922 GBP

3p ordinary

CFD

Short

16,715

5.6929 GBP

3p ordinary

SWAP

Short

23,681

5.6912 GBP

3p ordinary

CFD

Short

50,359

5.6905 GBP

(c) Stock-settled derivative transactions (including options)

(i) Writing, selling, purchasing or varying

Class of relevant security

Product description e.g. call option

Writing, purchasing, selling, varying etc.

Number of securities to which option relates

Exercise price per unit

Type

e.g. American, European etc.

Expiry date

Option money paid/ received per unit

 

 

 

 

 

 

 

 

(ii) Exercise

Class of relevant security

Product description

e.g. call option

Exercising/ exercised against

Number of securities

Exercise price per unit

 

 

 

 

 

 

(d) Other dealings (including subscribing for new securities)

Class of relevant security

Nature of dealing

e.g. subscription, conversion

Details

Price per unit (if applicable)

 

 

 

 

 

4. OTHER INFORMATION

(a) Indemnity and other dealing arrangements

Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the person making the disclosure and any party to the offer or any person acting in concert with a party to the offer:

Irrevocable commitments and letters of intent should not be included. If there are no such agreements, arrangements or understandings, state “none”

 

None

 

(b) Agreements, arrangements or understandings relating to options or derivatives

Details of any agreement, arrangement or understanding, formal or informal, between the person making the disclosure and any other person relating to:

(i) the voting rights of any relevant securities under any option; or

(ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced:

If there are no such agreements, arrangements or understandings, state “none”

 

None

 

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached?

NO

Date of disclosure:

28 Nov 2019

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.

The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.

*If the discloser is a natural person, a telephone number does not need to be included, provided contact information has been provided to the Panel’s Market Surveillance Unit.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

Short Name: BARCLAYS PLC
Category Code: RET
Sequence Number: 681266
Time of Receipt (offset from UTC): 20191128T105532+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC