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:

17 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:

29,962,376

6.09%

13,733,321

2.79%

 

(2)

Cash-settled derivatives:

532,028

0.11%

28,377,607

5.77%

 

(3)

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

0

0.00%

0

0.00%

 
 
TOTAL:

30,494,404

6.20%

42,110,928

8.56%

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

82

5.5780 GBP

3p ordinary Purchase

154

5.5686 GBP

3p ordinary Purchase

155

5.5540 GBP

3p ordinary Purchase

575

5.5600 GBP

3p ordinary Purchase

973

5.5906 GBP

3p ordinary Purchase

1,090

5.5940 GBP

3p ordinary Purchase

1,278

5.5658 GBP

3p ordinary Purchase

1,723

5.5720 GBP

3p ordinary Purchase

3,157

5.5687 GBP

3p ordinary Purchase

3,921

5.5560 GBP

3p ordinary Purchase

5,000

5.5644 GBP

3p ordinary Purchase

20,464

5.5714 GBP

3p ordinary Purchase

29,698

5.5937 GBP

3p ordinary Purchase

81,810

5.5604 GBP

3p ordinary Sale

63

5.5540 GBP

3p ordinary Sale

82

5.5780 GBP

3p ordinary Sale

287

5.5810 GBP

3p ordinary Sale

301

5.5855 GBP

3p ordinary Sale

575

5.5600 GBP

3p ordinary Sale

624

5.5562 GBP

3p ordinary Sale

693

5.5945 GBP

3p ordinary Sale

1,428

5.5806 GBP

3p ordinary Sale

1,784

5.5840 GBP

3p ordinary Sale

1,851

5.5940 GBP

3p ordinary Sale

1,984

5.5622 GBP

3p ordinary Sale

2,517

5.5661 GBP

3p ordinary Sale

3,872

5.5568 GBP

3p ordinary Sale

4,729

5.5560 GBP

3p ordinary Sale

5,302

5.5860 GBP

3p ordinary Sale

6,568

5.5721 GBP

3p ordinary Sale

8,104

5.5470 GBP

3p ordinary Sale

12,135

5.5742 GBP

3p ordinary Sale

16,262

5.5421 GBP

3p ordinary Sale

36,998

5.5409 GBP

3p ordinary Sale

72,193

5.5679 GBP

3p ordinary Sale

88,467

5.5610 GBP

3p ordinary Sale

116,980

5.5765 GBP

3p ordinary Sale

156,115

5.5766 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

122

5.5830 GBP

3p ordinary SWAP Long

1,924

5.5616 GBP

3p ordinary SWAP Long

5,374

5.5880 GBP

3p ordinary SWAP Long

6,568

5.5721 GBP

3p ordinary SWAP Long

8,693

5.5923 GBP

3p ordinary SWAP Long

10,433

5.5675 GBP

3p ordinary SWAP Long

12,135

5.5742 GBP

3p ordinary SWAP Long

27,216

5.5730 GBP

3p ordinary CFD Long

33,734

5.5541 GBP

3p ordinary SWAP Long

85,908

5.5704 GBP

3p ordinary SWAP Short

671

5.5721 GBP

3p ordinary SWAP Short

1,090

5.5940 GBP

3p ordinary SWAP Short

5,000

5.5644 GBP

3p ordinary SWAP Short

24,771

5.5692 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:

18 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: 688779
Time of Receipt (offset from UTC): 20191218T114525+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC