17 Oct 2019 16:02
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: | 15 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: | 8,433,381 | 1.73% | 1,882,672 | 0.39% | |
(2) | Cash-settled derivatives: | ||||
219,110 | 0.04% | 5,063,858 | 1.04% | ||
(3) | Stock-settled derivatives (including options) | ||||
| and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |
| TOTAL: | 8,652,491 | 1.77% | 6,946,530 | 1.42% | |
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 | 100 | 5.7510 GBP |
3p ordinary | Purchase | 151 | 5.7579 GBP |
3p ordinary | Purchase | 196 | 5.7611 GBP |
3p ordinary | Purchase | 248 | 5.7400 GBP |
3p ordinary | Purchase | 263 | 5.7680 GBP |
3p ordinary | Purchase | 300 | 5.7780 GBP |
3p ordinary | Purchase | 300 | 5.7440 GBP |
3p ordinary | Purchase | 500 | 5.7150 GBP |
3p ordinary | Purchase | 734 | 5.7690 GBP |
3p ordinary | Purchase | 748 | 5.7210 GBP |
3p ordinary | Purchase | 752 | 5.7310 GBP |
3p ordinary | Purchase | 777 | 5.7720 GBP |
3p ordinary | Purchase | 812 | 5.7410 GBP |
3p ordinary | Purchase | 838 | 5.7730 GBP |
3p ordinary | Purchase | 854 | 5.7220 GBP |
3p ordinary | Purchase | 927 | 5.7714 GBP |
3p ordinary | Purchase | 1,065 | 5.7740 GBP |
3p ordinary | Purchase | 1,150 | 5.7540 GBP |
3p ordinary | Purchase | 1,524 | 5.7487 GBP |
3p ordinary | Purchase | 1,582 | 5.7340 GBP |
3p ordinary | Purchase | 1,637 | 5.7190 GBP |
3p ordinary | Purchase | 1,784 | 5.7245 GBP |
3p ordinary | Purchase | 1,883 | 5.7562 GBP |
3p ordinary | Purchase | 2,037 | 5.7509 GBP |
3p ordinary | Purchase | 2,627 | 5.7100 GBP |
3p ordinary | Purchase | 2,975 | 5.7492 GBP |
3p ordinary | Purchase | 3,139 | 5.7674 GBP |
3p ordinary | Purchase | 3,282 | 5.7530 GBP |
3p ordinary | Purchase | 4,787 | 5.7538 GBP |
3p ordinary | Purchase | 5,287 | 5.7360 GBP |
3p ordinary | Purchase | 5,562 | 5.7575 GBP |
3p ordinary | Purchase | 6,525 | 5.7277 GBP |
3p ordinary | Purchase | 8,805 | 5.7477 GBP |
3p ordinary | Purchase | 10,294 | 5.7532 GBP |
3p ordinary | Purchase | 10,836 | 5.7451 GBP |
3p ordinary | Purchase | 11,494 | 5.7507 GBP |
3p ordinary | Purchase | 16,697 | 5.7551 GBP |
3p ordinary | Purchase | 23,314 | 5.7528 GBP |
3p ordinary | Purchase | 29,559 | 5.7463 GBP |
3p ordinary | Purchase | 37,951 | 5.7634 GBP |
3p ordinary | Purchase | 44,623 | 5.7280 GBP |
3p ordinary | Purchase | 47,911 | 5.7508 GBP |
3p ordinary | Purchase | 90,198 | 5.7541 GBP |
3p ordinary | Purchase | 110,144 | 5.7402 GBP |
3p ordinary | Purchase | 189,043 | 5.7563 GBP |
3p ordinary | Purchase | 222,462 | 5.7659 GBP |
3p ordinary | Purchase | 236,000 | 5.7504 GBP |
3p ordinary | Purchase | 411,011 | 5.7270 GBP |
3p ordinary | Purchase | 2,450,705 | 5.7283 GBP |
3p ordinary | Sale | 100 | 5.7510 GBP |
3p ordinary | Sale | 113 | 5.7546 GBP |
3p ordinary | Sale | 152 | 5.7615 GBP |
3p ordinary | Sale | 200 | 5.7740 GBP |
3p ordinary | Sale | 248 | 5.7400 GBP |
3p ordinary | Sale | 263 | 5.7680 GBP |
3p ordinary | Sale | 300 | 5.7440 GBP |
3p ordinary | Sale | 300 | 5.7780 GBP |
3p ordinary | Sale | 467 | 5.7340 GBP |
3p ordinary | Sale | 500 | 5.7150 GBP |
3p ordinary | Sale | 514 | 5.7720 GBP |
3p ordinary | Sale | 669 | 5.7754 GBP |
3p ordinary | Sale | 734 | 5.7690 GBP |
3p ordinary | Sale | 740 | 5.7280 GBP |
3p ordinary | Sale | 748 | 5.7210 GBP |
3p ordinary | Sale | 752 | 5.7310 GBP |
3p ordinary | Sale | 789 | 5.7545 GBP |
3p ordinary | Sale | 812 | 5.7410 GBP |
3p ordinary | Sale | 838 | 5.7730 GBP |
3p ordinary | Sale | 848 | 5.7678 GBP |
3p ordinary | Sale | 854 | 5.7220 GBP |
3p ordinary | Sale | 1,150 | 5.7540 GBP |
3p ordinary | Sale | 1,248 | 5.7380 GBP |
3p ordinary | Sale | 1,742 | 5.7739 GBP |
3p ordinary | Sale | 2,732 | 5.7685 GBP |
3p ordinary | Sale | 14,594 | 5.7537 GBP |
3p ordinary | Sale | 29,614 | 5.7495 GBP |
3p ordinary | Sale | 41,674 | 5.7493 GBP |
3p ordinary | Sale | 47,656 | 5.7603 GBP |
3p ordinary | Sale | 56,119 | 5.7427 GBP |
3p ordinary | Sale | 60,202 | 5.7521 GBP |
3p ordinary | Sale | 68,112 | 5.7499 GBP |
3p ordinary | Sale | 71,933 | 5.7501 GBP |
3p ordinary | Sale | 119,520 | 5.7445 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 | 136 | 5.7694 GBP |
3p ordinary | SWAP | Long | 152 | 5.7615 GBP |
3p ordinary | SWAP | Long | 712 | 5.7675 GBP |
3p ordinary | CFD | Long | 1,315 | 5.7132 GBP |
3p ordinary | CFD | Long | 1,361 | 5.7323 GBP |
3p ordinary | SWAP | Long | 2,337 | 5.7650 GBP |
3p ordinary | SWAP | Long | 14,724 | 5.7635 GBP |
3p ordinary | SWAP | Long | 20,843 | 5.7315 GBP |
3p ordinary | CFD | Long | 119,520 | 5.7445 GBP |
3p ordinary | SWAP | Short | 151 | 5.7579 GBP |
3p ordinary | SWAP | Short | 831 | 5.7280 GBP |
3p ordinary | CFD | Short | 1,022 | 5.7507 GBP |
3p ordinary | SWAP | Short | 1,540 | 5.7402 GBP |
3p ordinary | SWAP | Short | 2,309 | 5.7616 GBP |
3p ordinary | SWAP | Short | 2,325 | 5.7282 GBP |
3p ordinary | SWAP | Short | 2,627 | 5.7100 GBP |
3p ordinary | SWAP | Short | 4,757 | 5.7501 GBP |
3p ordinary | SWAP | Short | 4,787 | 5.7538 GBP |
3p ordinary | CFD | Short | 5,468 | 5.7559 GBP |
3p ordinary | SWAP | Short | 5,982 | 5.7665 GBP |
3p ordinary | CFD | Short | 7,039 | 5.7524 GBP |
3p ordinary | SWAP | Short | 9,780 | 5.7610 GBP |
3p ordinary | SWAP | Short | 10,836 | 9.3174 USD |
3p ordinary | CFD | Short | 29,559 | 5.7463 GBP |
3p ordinary | SWAP | Short | 38,420 | 5.7509 GBP |
3p ordinary | CFD | Short | 90,198 | 5.7541 GBP |
3p ordinary | SWAP | Short | 91,201 | 5.7370 GBP |
3p ordinary | CFD | Short | 189,043 | 5.7563 GBP |
3p ordinary | CFD | Short | 222,462 | 5.7659 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 |
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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: | 17 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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