REG-BARCLAYS PLC FORM 8.3 - SOPHOS GROUP PLC

BarclaysAnnouncement

18/12/2019 12:15

FORM 8.3 - SOPHOS GROUP PLC

 

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.
View source version on businesswire.com: https://www.businesswire.com/news/home/20191218005366/en/

BARCLAYS PLC