18 Oct 2019 15:38
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 |
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| offeror/offeree, state this and specify identity of | ||
| offeror/offeree: | ||
| (e) | Date position held/dealing undertaken: | 14 October 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: | 6,328,978 | 1.30% | 1,886,162 | 0.39% | |
(2) | Cash-settled derivatives: | ||||
246,276 | 0.05% | 3,325,268 | 0.68% | ||
(3) | Stock-settled derivatives (including options) | ||||
| and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |
| TOTAL: | 6,575,254 | 1.35% | 5,211,430 | 1.07% | |
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: |
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Details, including nature of the rights concerned and relevant percentages: |
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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 | 79 | 5.8340 GBP |
3p ordinary | Purchase | 135 | 5.7872 GBP |
3p ordinary | Purchase | 304 | 5.7790 GBP |
3p ordinary | Purchase | 318 | 5.8240 GBP |
3p ordinary | Purchase | 470 | 5.7780 GBP |
3p ordinary | Purchase | 715 | 5.8060 GBP |
3p ordinary | Purchase | 738 | 5.8360 GBP |
3p ordinary | Purchase | 764 | 5.7820 GBP |
3p ordinary | Purchase | 795 | 5.8040 GBP |
3p ordinary | Purchase | 951 | 5.8320 GBP |
3p ordinary | Purchase | 1,000 | 5.7884 GBP |
3p ordinary | Purchase | 1,000 | 5.8084 GBP |
3p ordinary | Purchase | 1,054 | 5.7860 GBP |
3p ordinary | Purchase | 1,264 | 5.8180 GBP |
3p ordinary | Purchase | 1,277 | 5.7940 GBP |
3p ordinary | Purchase | 1,526 | 5.7760 GBP |
3p ordinary | Purchase | 1,530 | 5.8000 GBP |
3p ordinary | Purchase | 1,622 | 5.8380 GBP |
3p ordinary | Purchase | 1,745 | 5.7920 GBP |
3p ordinary | Purchase | 1,858 | 5.8260 GBP |
3p ordinary | Purchase | 1,916 | 5.7800 GBP |
3p ordinary | Purchase | 2,050 | 5.7960 GBP |
3p ordinary | Purchase | 3,050 | 5.7711 GBP |
3p ordinary | Purchase | 3,994 | 5.8230 GBP |
3p ordinary | Purchase | 4,130 | 5.7938 GBP |
3p ordinary | Purchase | 4,134 | 5.7868 GBP |
3p ordinary | Purchase | 4,173 | 5.7941 GBP |
3p ordinary | Purchase | 4,697 | 5.8208 GBP |
3p ordinary | Purchase | 4,728 | 5.8001 GBP |
3p ordinary | Purchase | 6,355 | 5.7766 GBP |
3p ordinary | Purchase | 9,499 | 5.8220 GBP |
3p ordinary | Purchase | 10,814 | 5.8255 GBP |
3p ordinary | Purchase | 11,475 | 5.7864 GBP |
3p ordinary | Purchase | 14,775 | 5.7798 GBP |
3p ordinary | Purchase | 14,935 | 5.8035 GBP |
3p ordinary | Purchase | 24,205 | 5.7832 GBP |
3p ordinary | Purchase | 27,517 | 5.8156 GBP |
3p ordinary | Purchase | 30,712 | 5.7916 GBP |
3p ordinary | Purchase | 32,478 | 5.7337 GBP |
3p ordinary | Purchase | 33,365 | 5.7906 GBP |
3p ordinary | Purchase | 34,320 | 5.7700 GBP |
3p ordinary | Purchase | 36,231 | 5.8336 GBP |
3p ordinary | Purchase | 45,677 | 5.8057 GBP |
3p ordinary | Purchase | 46,946 | 5.8277 GBP |
3p ordinary | Purchase | 49,014 | 5.8280 GBP |
3p ordinary | Purchase | 50,000 | 5.7606 GBP |
3p ordinary | Purchase | 51,378 | 5.7976 GBP |
3p ordinary | Purchase | 54,219 | 5.7781 GBP |
3p ordinary | Purchase | 64,492 | 5.7908 GBP |
3p ordinary | Purchase | 100,000 | 5.7041 GBP |
3p ordinary | Purchase | 106,394 | 5.7953 GBP |
3p ordinary | Purchase | 113,916 | 5.8014 GBP |
3p ordinary | Purchase | 116,709 | 5.8082 GBP |
3p ordinary | Purchase | 122,787 | 5.8069 GBP |
3p ordinary | Purchase | 167,860 | 5.8192 GBP |
3p ordinary | Purchase | 239,421 | 5.7827 GBP |
3p ordinary | Purchase | 269,765 | 5.7293 GBP |
3p ordinary | Purchase | 285,655 | 5.7706 GBP |
3p ordinary | Purchase | 304,025 | 5.7825 GBP |
3p ordinary | Purchase | 342,128 | 5.8076 GBP |
3p ordinary | Purchase | 464,559 | 5.7919 GBP |
3p ordinary | Purchase | 578,163 | 5.7931 GBP |
3p ordinary | Purchase | 728,732 | 5.7804 GBP |
3p ordinary | Purchase | 1,143,701 | 5.7756 GBP |
3p ordinary | Purchase | 1,205,351 | 5.7762 GBP |
3p ordinary | Sale | 70 | 5.7885 GBP |
3p ordinary | Sale | 79 | 5.8340 GBP |
3p ordinary | Sale | 281 | 5.7700 GBP |
3p ordinary | Sale | 304 | 5.7790 GBP |
3p ordinary | Sale | 318 | 5.8240 GBP |
3p ordinary | Sale | 596 | 5.7516 GBP |
3p ordinary | Sale | 643 | 5.7515 GBP |
3p ordinary | Sale | 715 | 5.8060 GBP |
3p ordinary | Sale | 738 | 5.8360 GBP |
3p ordinary | Sale | 795 | 5.8040 GBP |
3p ordinary | Sale | 951 | 5.8320 GBP |
3p ordinary | Sale | 1,000 | 5.8180 GBP |
3p ordinary | Sale | 1,054 | 5.7860 GBP |
3p ordinary | Sale | 1,277 | 5.7940 GBP |
3p ordinary | Sale | 1,526 | 5.7760 GBP |
3p ordinary | Sale | 1,622 | 5.8380 GBP |
3p ordinary | Sale | 1,745 | 5.7920 GBP |
3p ordinary | Sale | 1,858 | 5.8260 GBP |
3p ordinary | Sale | 1,916 | 5.7800 GBP |
3p ordinary | Sale | 2,050 | 5.7960 GBP |
3p ordinary | Sale | 2,538 | 5.7953 GBP |
3p ordinary | Sale | 2,747 | 5.7828 GBP |
3p ordinary | Sale | 2,774 | 5.8375 GBP |
3p ordinary | Sale | 3,640 | 5.7607 GBP |
3p ordinary | Sale | 3,786 | 5.7577 GBP |
3p ordinary | Sale | 4,001 | 5.7604 GBP |
3p ordinary | Sale | 4,247 | 5.7643 GBP |
3p ordinary | Sale | 4,409 | 5.7820 GBP |
3p ordinary | Sale | 5,356 | 5.7942 GBP |
3p ordinary | Sale | 5,636 | 5.7510 GBP |
3p ordinary | Sale | 5,719 | 5.8257 GBP |
3p ordinary | Sale | 8,191 | 5.7366 GBP |
3p ordinary | Sale | 9,226 | 5.8103 GBP |
3p ordinary | Sale | 9,499 | 5.8220 GBP |
3p ordinary | Sale | 12,741 | 5.8015 GBP |
3p ordinary | Sale | 20,987 | 5.7580 GBP |
3p ordinary | Sale | 22,454 | 5.7972 GBP |
3p ordinary | Sale | 33,529 | 5.7903 GBP |
3p ordinary | Sale | 38,985 | 5.8039 GBP |
3p ordinary | Sale | 44,664 | 5.7849 GBP |
3p ordinary | Sale | 66,567 | 5.8097 GBP |
3p ordinary | Sale | 159,257 | 5.7780 GBP |
3p ordinary | Sale | 250,000 | 5.7984 GBP |
3p ordinary | Sale | 345,580 | 5.7853 GBP |
3p ordinary | Sale | 423,104 | 5.7845 GBP |
| 3p ordinary | Sale | 950,000 | 5.8244 GBP |
3p ordinary | Sale | 1,906,747 | 5.7793 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 | 69 | 5.8402 GBP |
3p ordinary | SWAP | Long | 2,298 | 5.8053 GBP |
3p ordinary | SWAP | Long | 2,496 | 5.8039 GBP |
3p ordinary | SWAP | Long | 2,705 | 5.8374 GBP |
3p ordinary | SWAP | Long | 3,834 | 5.7718 GBP |
3p ordinary | SWAP | Long | 4,226 | 5.8291 GBP |
3p ordinary | SWAP | Long | 5,000 | 5.7943 GBP |
3p ordinary | CFD | Long | 5,323 | 5.7704 GBP |
3p ordinary | CFD | Long | 19,331 | 5.7783 GBP |
3p ordinary | SWAP | Long | 39,048 | 5.8204 GBP |
3p ordinary | SWAP | Long | 93,048 | 5.7927 GBP |
3p ordinary | SWAP | Long | 131,970 | 5.7708 GBP |
3p ordinary | SWAP | Long | 183,179 | 5.7880 GBP |
3p ordinary | CFD | Long | 345,580 | 5.7853 GBP |
3p ordinary | CFD | Short | 135 | 5.7872 GBP |
3p ordinary | SWAP | Short | 292 | 5.8159 GBP |
3p ordinary | SWAP | Short | 360 | 5.7640 GBP |
3p ordinary | SWAP | Short | 852 | 5.7905 GBP |
3p ordinary | SWAP | Short | 1,000 | 5.7884 GBP |
3p ordinary | SWAP | Short | 1,000 | 5.8084 GBP |
3p ordinary | CFD | Short | 1,274 | 5.8047 GBP |
3p ordinary | SWAP | Short | 3,336 | 5.7702 GBP |
3p ordinary | CFD | Short | 4,173 | 5.7941 GBP |
3p ordinary | SWAP | Short | 11,361 | 5.8223 GBP |
3p ordinary | CFD | Short | 11,475 | 5.7864 GBP |
3p ordinary | CFD | Short | 30,712 | 5.7916 GBP |
3p ordinary | SWAP | Short | 34,039 | 5.7700 GBP |
3p ordinary | SWAP | Short | 35,232 | 5.8199 GBP |
3p ordinary | SWAP | Short | 35,309 | 5.7876 GBP |
3p ordinary | CFD | Short | 36,231 | 5.8336 GBP |
3p ordinary | SWAP | Short | 46,393 | 5.7674 GBP |
3p ordinary | CFD | Short | 46,946 | 5.8277 GBP |
3p ordinary | CFD | Short | 285,655 | 5.7705 GBP |
3p ordinary | CFD | Short | 566,304 | 5.7957 GBP |
3p ordinary | SWAP | Short | 1,143,701 | 9.1810 USD |
(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 |
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(ii) Exercise
Class of relevant security | Product description e.g. call option | Exercising/ exercised against | Number of securities | Exercise price per unit |
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(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) |
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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
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(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
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(c) Attachments
| Is a Supplemental Form 8 (Open Positions) attached? | NO |
| Date of disclosure: | 18 Oct 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.
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