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Form 8.3 - Sophos Group plc - Amendment

Wed, 13th Nov 2019 15:03

 

FORM 8.3 - Amendment to Purchase

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:

08 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:

19,344,214

3.96%

10,557,733

2.16%

 

(2)

Cash-settled derivatives:

131,652

0.03%

16,021,287

3.28%

 

(3)

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

0

0.00%

0

0.00%

 
 
TOTAL:

19,475,866

3.99%

26,579,020

5.44%

 

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

265

5.7310 GBP

3p ordinary Purchase

277

5.7320 GBP

3p ordinary Purchase

571

5.7197 GBP

3p ordinary Purchase

1,000

5.7316 GBP

3p ordinary Purchase

1,028

5.7180 GBP

3p ordinary Purchase

1,086

5.7248 GBP

3p ordinary Purchase

1,113

5.7260 GBP

3p ordinary Purchase

1,872

5.7300 GBP

3p ordinary Purchase

2,152

5.7338 GBP

3p ordinary Purchase

2,412

5.7340 GBP

3p ordinary Purchase

3,296

5.7224 GBP

3p ordinary Purchase

3,331

5.7205 GBP

3p ordinary Purchase

4,037

5.7233 GBP

3p ordinary Purchase

5,462

5.7190 GBP

3p ordinary Purchase

6,529

5.7184 GBP

3p ordinary Purchase

7,874

5.7203 GBP

3p ordinary Purchase

8,761

5.7214 GBP

3p ordinary Purchase

11,179

5.7219 GBP

3p ordinary Purchase

11,386

5.7161 GBP

3p ordinary Purchase

12,492

5.7189 GBP

3p ordinary Purchase

23,725

5.7220 GBP

3p ordinary Purchase

55,525

5.7222 GBP

3p ordinary Purchase

250,244

5.7200 GBP

3p ordinary Purchase

1,806,931

5.7240 GBP

3p ordinary Sale

530

5.7220 GBP

3p ordinary Sale

544

5.7310 GBP

3p ordinary Sale

625

5.7240 GBP

3p ordinary Sale

773

5.7210 GBP

3p ordinary Sale

933

5.7187 GBP

3p ordinary Sale

1,028

5.7180 GBP

3p ordinary Sale

1,113

5.7260 GBP

3p ordinary Sale

1,227

5.7234 GBP

3p ordinary Sale

2,412

5.7340 GBP

3p ordinary Sale

2,438

5.7199 GBP

3p ordinary Sale

2,956

5.7353 GBP

3p ordinary Sale

3,205

5.7320 GBP

3p ordinary Sale

3,596

5.7325 GBP

3p ordinary Sale

5,137

5.7200 GBP

3p ordinary Sale

7,222

5.7224 GBP

3p ordinary Sale

12,173

5.7300 GBP

3p ordinary Sale

15,090

5.7209 GBP

3p ordinary Sale

31,231

5.7239 GBP

3p ordinary Sale

1,916,203

5.7248 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

1

5.7200 GBP

3p ordinary SWAP

Long

231

5.7209 GBP

3p ordinary SWAP

Long

266

5.7309 GBP

3p ordinary SWAP

Long

542

5.7210 GBP

3p ordinary SWAP

Long

958

5.7226 GBP

3p ordinary SWAP

Long

1,227

5.7234 GBP

3p ordinary SWAP

Long

9,931

5.7213 GBP

3p ordinary SWAP

Short

474

5.7259 GBP

3p ordinary SWAP

Short

601

5.7239 GBP

3p ordinary SWAP

Short

1,000

5.7316 GBP

3p ordinary SWAP

Short

1,159

5.7220 GBP

3p ordinary SWAP

Short

2,151

5.7254 GBP

3p ordinary SWAP

Short

2,756

5.7200 GBP

3p ordinary SWAP

Short

17,012

5.7206 GBP

3p ordinary SWAP

Short

25,362

5.7246 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 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.

Copyright Business Wire 2019

Date   Source Headline
9th Dec 20193:30 pmRNSHolding(s) in Company
9th Dec 20191:12 pmRNSFORM 8.3 - ABBVIE INC
9th Dec 20191:11 pmRNSForm 8.3 - ALLERGAN PLC
9th Dec 20191:02 pmRNSFORM 8.3 - CONSORT MEDICAL PLC
9th Dec 20191:01 pmRNSFORM 8.3 - SOPHOS GROUP PLC

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