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:

12 December 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:

30,866,658

6.27%

13,668,520

2.78%

 

(2)

Cash-settled derivatives:

240,151

0.05%

29,046,841

5.90%

 

(3)

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

0

0.00%

0

0.00%

 
 
TOTAL:

31,106,809

6.32%

42,715,361

8.68%

 

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

170

5.5509 GBP

3p ordinary

Purchase

445

5.5540 GBP

3p ordinary

Purchase

543

5.5600 GBP

3p ordinary

Purchase

543

5.5570 GBP

3p ordinary

Purchase

622

5.5860 GBP

3p ordinary

Purchase

623

5.5820 GBP

3p ordinary

Purchase

871

5.5700 GBP

3p ordinary

Purchase

1,158

5.5780 GBP

3p ordinary

Purchase

1,175

5.5640 GBP

3p ordinary

Purchase

2,167

5.5720 GBP

3p ordinary

Purchase

2,970

5.5560 GBP

3p ordinary

Purchase

3,176

5.5660 GBP

3p ordinary

Purchase

3,321

5.5607 GBP

3p ordinary

Purchase

5,286

5.5580 GBP

3p ordinary

Purchase

5,566

5.5652 GBP

3p ordinary

Purchase

5,816

5.5561 GBP

3p ordinary

Purchase

9,826

5.5757 GBP

3p ordinary

Purchase

10,156

5.5675 GBP

3p ordinary

Purchase

10,662

5.5704 GBP

3p ordinary

Purchase

11,000

5.5583 GBP

3p ordinary

Purchase

35,436

5.5760 GBP

3p ordinary

Purchase

140,000

5.5697 GBP

3p ordinary

Purchase

140,000

5.5612 GBP

3p ordinary

Purchase

220,950

5.5901 GBP

3p ordinary

Purchase

302,370

5.5752 GBP

3p ordinary

Purchase

891,961

5.5903 GBP

3p ordinary

Sale

298

5.5540 GBP

3p ordinary

Sale

543

5.5570 GBP

3p ordinary

Sale

573

5.5500 GBP

3p ordinary

Sale

622

5.5860 GBP

3p ordinary

Sale

623

5.5820 GBP

3p ordinary

Sale

653

5.5795 GBP

3p ordinary

Sale

871

5.5700 GBP

3p ordinary

Sale

953

5.5780 GBP

3p ordinary

Sale

1,175

5.5640 GBP

3p ordinary

Sale

1,406

5.5622 GBP

3p ordinary

Sale

1,914

5.5580 GBP

3p ordinary

Sale

2,098

5.5805 GBP

3p ordinary

Sale

2,125

5.5714 GBP

3p ordinary

Sale

2,167

5.5720 GBP

3p ordinary

Sale

2,470

5.5560 GBP

3p ordinary

Sale

3,308

5.5749 GBP

3p ordinary

Sale

3,582

5.5660 GBP

3p ordinary

Sale

4,444

5.5615 GBP

3p ordinary

Sale

5,010

5.5658 GBP

3p ordinary

Sale

6,494

5.5692 GBP

3p ordinary

Sale

6,496

5.5668 GBP

3p ordinary

Sale

6,539

5.5676 GBP

3p ordinary

Sale

7,201

5.5721 GBP

3p ordinary

Sale

8,411

5.5791 GBP

3p ordinary

Sale

8,492

5.5711 GBP

3p ordinary

Sale

9,521

5.5624 GBP

3p ordinary

Sale

13,062

5.5674 GBP

3p ordinary

Sale

13,242

5.5735 GBP

3p ordinary

Sale

17,971

5.5771 GBP

3p ordinary

Sale

37,657

5.5760 GBP

3p ordinary

Sale

39,647

5.5701 GBP

3p ordinary

Sale

84,017

5.5727 GBP

3p ordinary

Sale

161,995

5.5719 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

360

5.5739 GBP

3p ordinary SWAP

Long

800

5.5697 GBP

3p ordinary SWAP

Long

1,100

5.5672 GBP

3p ordinary SWAP

Long

4,554

5.5685 GBP

3p ordinary SWAP

Long

5,284

5.5628 GBP

3p ordinary SWAP

Long

6,208

5.5788 GBP

3p ordinary SWAP

Long

6,594

5.5660 GBP

3p ordinary SWAP

Long

23,998

5.5698 GBP

3p ordinary SWAP

Long

26,177

5.5701 GBP

3p ordinary SWAP

Long

65,410

5.5742 GBP

3p ordinary SWAP

Long

77,981

5.5715 GBP

3p ordinary SWAP

Long

96,828

5.5707 GBP

3p ordinary CFD

Short

170

5.5509 GBP

3p ordinary SWAP

Short

678

5.5561 GBP

3p ordinary CFD

Short

1,001

5.5704 GBP

3p ordinary SWAP

Short

1,759

5.5635 GBP

3p ordinary CFD

Short

2,953

5.5648 GBP

3p ordinary SWAP

Short

11,000

5.5583 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:

13 Dec 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: 687867
Time of Receipt (offset from UTC): 20191213T120802+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC