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:

13 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:

30,771,399

6.25%

13,749,323

2.79%

 

(2)

Cash-settled derivatives:

367,343

0.07%

29,006,500

5.90%

 

(3)

Stock-settled derivatives (including options)

 

 

and agreements to purchase/sell:

0

0.00%

0

0.00%

 
 
TOTAL:

31,138,742

6.33%

42,755,823

8.69%

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

91

5.4860 GBP

3p ordinary Purchase

253

5.4840 GBP

3p ordinary Purchase

580

5.4950 GBP

3p ordinary Purchase

599

5.4640 GBP

3p ordinary Purchase

609

5.4730 GBP

3p ordinary Purchase

615

5.4890 GBP

3p ordinary Purchase

641

5.4750 GBP

3p ordinary Purchase

706

5.4920 GBP

3p ordinary Purchase

835

5.4862 GBP

3p ordinary Purchase

1,544

5.4899 GBP

3p ordinary Purchase

1,747

5.5060 GBP

3p ordinary Purchase

2,001

5.4940 GBP

3p ordinary Purchase

2,060

5.4880 GBP

3p ordinary Purchase

2,200

5.4911 GBP

3p ordinary Purchase

3,000

5.4708 GBP

3p ordinary Purchase

3,018

5.4828 GBP

3p ordinary Purchase

3,253

5.5040 GBP

3p ordinary Purchase

3,370

5.4995 GBP

3p ordinary Purchase

4,073

5.4963 GBP

3p ordinary Purchase

4,100

5.4910 GBP

3p ordinary Purchase

5,645

5.4710 GBP

3p ordinary Purchase

6,456

5.4900 GBP

3p ordinary Purchase

8,169

5.5100 GBP

3p ordinary Purchase

9,460

5.4800 GBP

3p ordinary Purchase

11,434

5.5097 GBP

3p ordinary Purchase

12,928

5.4759 GBP

3p ordinary Purchase

13,119

5.4980 GBP

3p ordinary Purchase

13,784

5.4993 GBP

3p ordinary Purchase

14,530

5.4979 GBP

3p ordinary Purchase

14,966

5.5000 GBP

3p ordinary Purchase

16,403

5.4960 GBP

3p ordinary Purchase

32,378

5.5009 GBP

3p ordinary Purchase

58,448

5.4908 GBP

3p ordinary Purchase

393,696

5.4760 GBP

3p ordinary Purchase

2,271,856

5.4784 GBP

3p ordinary Sale

91

5.4860 GBP

3p ordinary Sale

552

5.4881 GBP

3p ordinary Sale

580

5.4950 GBP

3p ordinary Sale

599

5.4640 GBP

3p ordinary Sale

609

5.4730 GBP

3p ordinary Sale

615

5.4890 GBP

3p ordinary Sale

641

5.4750 GBP

3p ordinary Sale

706

5.4920 GBP

3p ordinary Sale

1,747

5.5060 GBP

3p ordinary Sale

1,989

5.4820 GBP

3p ordinary Sale

2,001

5.4940 GBP

3p ordinary Sale

2,060

5.4880 GBP

3p ordinary Sale

2,098

5.4868 GBP

3p ordinary Sale

2,316

5.4901 GBP

3p ordinary Sale

2,640

5.4862 GBP

3p ordinary Sale

3,248

5.4905 GBP

3p ordinary Sale

3,253

5.5040 GBP

3p ordinary Sale

4,100

5.4910 GBP

3p ordinary Sale

4,121

5.4889 GBP

3p ordinary Sale

5,112

5.4823 GBP

3p ordinary Sale

5,238

5.4907 GBP

3p ordinary Sale

5,645

5.4710 GBP

3p ordinary Sale

6,680

5.4902 GBP

3p ordinary Sale

7,283

5.4800 GBP

3p ordinary Sale

7,656

5.4900 GBP

3p ordinary Sale

8,169

5.5100 GBP

3p ordinary Sale

8,599

5.4790 GBP

3p ordinary Sale

13,119

5.4980 GBP

3p ordinary Sale

13,785

5.4960 GBP

3p ordinary Sale

14,366

5.5000 GBP

3p ordinary Sale

18,537

5.4813 GBP

3p ordinary Sale

35,585

5.4815 GBP

3p ordinary Sale

83,775

5.4834 GBP

3p ordinary Sale

101,894

5.4903 GBP

3p ordinary Sale

110,649

5.5057 GBP

3p ordinary Sale

112,270

5.4839 GBP

3p ordinary Sale

175,261

5.4638 GBP

3p ordinary Sale

250,000

5.4953 GBP

3p ordinary Sale

265,000

5.5077 GBP

3p ordinary Sale

355,726

5.4837 GBP

3p ordinary Sale

1,456,314

5.4799 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

630

5.4920 GBP

3p ordinary SWAP Long

942

5.4929 GBP

3p ordinary SWAP Long

2,615

5.4878 GBP

3p ordinary SWAP Long

2,662

5.4844 GBP

3p ordinary SWAP Long

3,864

5.4850 GBP

3p ordinary CFD Long

7,586

5.5095 GBP

3p ordinary SWAP Long

32,695

5.4908 GBP

3p ordinary SWAP Long

37,708

5.4889 GBP

3p ordinary SWAP Long

68,612

5.4881 GBP

3p ordinary SWAP Long

76,337

5.5099 GBP

3p ordinary SWAP Short

91

5.4860 GBP

3p ordinary SWAP Short

3,000

5.4708 GBP

3p ordinary SWAP Short

12,194

5.4877 GBP

3p ordinary CFD Short

20,476

5.4904 GBP

3p ordinary CFD Short

30,357

5.4932 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:

16 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: 688573
Time of Receipt (offset from UTC): 20191216T125804+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC