15 Nov 2019 11:18
FORM 8.5 (EPT/RI)
PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITY
Rule 8.5 of the Takeover Code (the Code)
1. KEY INFORMATION
(a) Name of exempt principal trader: | UBS Investment Bank, London |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | Sophos Group plc |
(c) Name of the party to the offer with which exempt principal trader is connected: | Sophos Group plc |
(d) Date dealing undertaken: | 14 November 2019 |
(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to this offer? If it is a cash offer or possible cash offer, state "N/A" | No |
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 2(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 security | Purchases/ sales
| Total number of securities | Highest price per unit paid/received | Lowest price per unit paid/received |
3p ordinary | Buy
| 82652 | 5.70683 GBP | 5.67000 GBP |
3p ordinary | Sell
| 68027 | 5.70803 GBP | 5.67000 GBP |
(b) Cash-settled derivative transactions
Class of relevant security | Product description e.g. CFD | Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position | Number of reference securities | Price per unit |
3p ordinary | CFD
| Long | 52 | 5.70057692307692 GBP |
3p ordinary | CFD
| Long | 126 | 5.71190476190476 GBP |
3p ordinary | CFD
| Long | 35 | 5.70485714285714 GBP |
3p ordinary | CFD
| Long | 11 | 5.70272727272727 GBP |
3p ordinary | CFD
| Long | 4 | 5.705 GBP |
3p ordinary | CFD
| Long | 7 | 5.71428571428571 GBP |
3p ordinary | CFD
| Long | 272 | 5.75275735294118 GBP |
3p ordinary | CFD
| Long | 10 | 5.755 GBP |
3p ordinary | CFD
| Long | 44 | 5.70545454545455 GBP |
3p ordinary | CFD
| Long | 59 | 5.70440677966102 GBP |
3p ordinary | CFD
| Long | 24 | 5.71125 GBP |
3p ordinary | CFD
| Long | 105 | 5.70438095238095 GBP |
3p ordinary | CFD
| Long | 1588 | 5.75245591939547 GBP |
3p ordinary | CFD
| Long | 351 | 5.75481481481481 GBP |
3p ordinary | CFD
| Long | 396 | 5.75204545454545 GBP |
3p ordinary | CFD
| Long | 389 | 5.75280205655527 GBP |
3p ordinary | CFD
| Long | 482 | 5.7545643153527 GBP |
3p ordinary | CFD
| Long | 27 | 5.75074074074074 GBP |
3p ordinary | CFD
| Long | 14 | 5.75428571428571 GBP |
3p ordinary | CFD
| Long | 94 | 5.70042553191489 GBP |
3p ordinary | CFD
| Long | 61 | 5.70540983606557 GBP |
3p ordinary | CFD
| Long | 75 | 5.70053333333333 GBP |
3p ordinary | CFD
| Long | 19045 | 5.75251719611447 GBP |
3p ordinary | CFD
| Long | 4209 | 5.75481587075315 GBP |
3p ordinary | CFD
| Long | 4759 | 5.75207186383694 GBP |
3p ordinary | CFD
| Long | 4715 | 5.75281654294804 GBP |
3p ordinary | CFD
| Long | 313 | 5.7508945686901 GBP |
3p ordinary | CFD
| Long | 5681 | 5.75447456433726 GBP |
3p ordinary | CFD
| Long | 161 | 5.75459627329193 GBP |
3p ordinary | CFD
| Long | 3 | 5.74666666666667 GBP |
3p ordinary | CFD
| Long | 715 | 5.70534265734266 GBP |
3p ordinary | CFD
| Long | 1140 | 5.70047368421053 GBP |
3p ordinary | CFD
| Long | 890 | 5.70059550561798 GBP |
3p ordinary | CFD
| Long | 308 | 5.75646103896104 GBP |
3p ordinary | CFD
| Long | 734 | 5.69061307901907 GBP |
3p ordinary | CFD
| Long | 167 | 5.70532934131737 GBP |
3p ordinary | CFD
| Long | 211 | 5.70061611374408 GBP |
3p ordinary | CFD
| Long | 2832 | 5.7532168079096 GBP |
3p ordinary | CFD
| Long | 493 | 5.75774847870183 GBP |
3p ordinary | CFD
| Long | 118 | 5.75313559322034 GBP |
3p ordinary | CFD
| Long | 730 | 5.7532602739726 GBP |
3p ordinary | CFD
| Long | 2 | 5.745 GBP |
3p ordinary | CFD
| Long | 5892 | 5.6962 GBP |
3p ordinary | CFD
| Long | 15791 | 5.6955215806 GBP |
3p ordinary | CFD
| Long | 14458 | 5.6888718144 GBP |
3p ordinary | CFD
| Long | 4218 | 5.6976193873 GBP |
3p ordinary | CFD
| Long | 10960 | 5.67 GBP |
3p ordinary | CFD
| Long | 6802 | 5.75481770067627 GBP |
3p ordinary | CFD
| Long | 30764 | 5.75251690287349 GBP |
3p ordinary | CFD
| Long | 7686 | 5.75206999739787 GBP |
3p ordinary | CFD
| Long | 7610 | 5.75281208935611 GBP |
3p ordinary | CFD
| Long | 9179 | 5.75447543305371 GBP |
3p ordinary | CFD
| Long | 504 | 5.75089285714286 GBP |
3p ordinary | CFD
| Long | 5 | 5.746 GBP |
3p ordinary | CFD
| Long | 260 | 5.75457692307692 GBP |
3p ordinary | CFD
| Long | 1842 | 5.70047774158523 GBP |
3p ordinary | CFD
| Long | 1155 | 5.70534199134199 GBP |
3p ordinary | CFD
| Long | 1438 | 5.70059109874826 GBP |
3p ordinary | CFD
| Long | 202 | 5.75158415841584 GBP |
3p ordinary | CFD
| Long | 2860 | 5.75482167832168 GBP |
3p ordinary | CFD
| Long | 12943 | 5.75251873599629 GBP |
3p ordinary | CFD
| Long | 3236 | 5.75207354758962 GBP |
3p ordinary | CFD
| Long | 5083 | 5.75281526657486 GBP |
3p ordinary | CFD
| Long | 4102 | 5.75447098976109 GBP |
3p ordinary | CFD
| Long | 212 | 5.75089622641509 GBP |
3p ordinary | CFD
| Long | 650 | 5.74661538461538 GBP |
3p ordinary | CFD
| Long | 109 | 5.7545871559633 GBP |
3p ordinary | CFD
| Long | 775 | 5.70047741935484 GBP |
3p ordinary | CFD
| Long | 486 | 5.70534979423868 GBP |
3p ordinary | CFD
| Long | 605 | 5.70059504132231 GBP |
3p ordinary | CFD
| Long | 133 | 3.88037593984962 GBP |
3p ordinary | CFD
| Long | 460 | 3.84910869565217 GBP |
3p ordinary | CFD
| Long | 4469 | 3.81899977623629 GBP |
3p ordinary | CFD
| Long | 23 | 3.92695652173913 GBP |
3p ordinary | CFD
| Long | 319 | 5.75156739811912 GBP |
3p ordinary | CFD
| Long | 4514 | 5.75481612760301 GBP |
3p ordinary | CFD
| Long | 8015 | 5.75281222707424 GBP |
3p ordinary | CFD
| Long | 6470 | 5.75447449768161 GBP |
3p ordinary | CFD
| Long | 1027 | 5.74663096397274 GBP |
3p ordinary | CFD
| Long | 1224 | 5.70048202614379 GBP |
3p ordinary | CFD
| Long | 766 | 5.70533942558747 GBP |
3p ordinary | CFD
| Long | 1418 | 3.86307475317348 GBP |
3p ordinary | CFD
| Long | 172 | 3.86273255813953 GBP |
3p ordinary | CFD
| Long | 277 | 3.86314079422383 GBP |
3p ordinary | CFD
| Long | 388 | 3.77510309278351 GBP |
3p ordinary | CFD
| Long | 827 | 3.7857315598549 GBP |
3p ordinary | CFD
| Long | 1880 | 3.77293617021277 GBP |
3p ordinary | CFD
| Long | 145 | 3.87668965517241 GBP |
3p ordinary | CFD
| Long | 115 | 3.85034782608696 GBP |
3p ordinary | CFD
| Long | 1482 | 3.81900134952767 GBP |
3p ordinary | CFD
| Long | 20420 | 5.75251714005877 GBP |
3p ordinary | CFD
| Long | 5102 | 5.75206977655821 GBP |
3p ordinary | CFD
| Long | 335 | 5.75089552238806 GBP |
3p ordinary | CFD
| Long | 173 | 5.75456647398844 GBP |
3p ordinary | CFD
| Long | 954 | 5.70059748427673 GBP |
3p ordinary | CFD
| Long | 5 | 3.856 GBP |
3p ordinary | CFD
| Long | 130 | 3.85330769230769 GBP |
3p ordinary | CFD
| Long | 548 | 3.78224452554745 GBP |
3p ordinary | CFD
| Long | 242 | 3.85727272727273 GBP |
3p ordinary | CFD
| Long | 1108 | 3.78195848375451 GBP |
3p ordinary | CFD
| Long | 351 | 3.77737891737892 GBP |
3p ordinary | CFD
| Long | 82 | 3.83317073170732 GBP |
3p ordinary | CFD
| Long | 130 | 5.75205776173285 GBP |
3p ordinary | CFD
| Long | 340 | 5.75447058823529 GBP |
3p ordinary | CFD
| Long | 20 | 5.7505 GBP |
3p ordinary | CFD
| Long | 66 | 5.70045454545455 GBP |
3p ordinary | CFD
| Short | 34122 | 5.706827908 GBP |
3p ordinary | CFD
| Short | 3298 | 5.67 GBP |
3p ordinary | CFD
| Short | 15010 | 5.691435 GBP |
3p ordinary | CFD
| Short | 1108 | 3.78195848375451 GBP |
3p ordinary | CFD
| Short | 351 | 3.77737891737892 GBP |
3p ordinary | CFD
| Short | 82 | 3.83317073170732 GBP |
3p ordinary | CFD
| Short | 167 | 5.70532934131737 GBP |
3p ordinary | CFD
| Short | 734 | 5.69061307901907 GBP |
3p ordinary | CFD
| Short | 211 | 5.70061611374408 GBP |
3p ordinary | CFD
| Short | 493 | 5.75774847870183 GBP |
3p ordinary | CFD
| Short | 2832 | 5.7532168079096 GBP |
3p ordinary | CFD
| Short | 118 | 5.75313559322034 GBP |
3p ordinary | CFD
| Short | 730 | 5.7532602739726 GBP |
3p ordinary | CFD
| Short | 2 | 5.745 GBP |
3p ordinary | CFD
| Short | 308 | 5.75646103896104 GBP |
3p ordinary | CFD
| Short | 202 | 5.75158415841584 GBP |
3p ordinary | CFD
| Short | 2860 | 5.75482167832168 GBP |
3p ordinary | CFD
| Short | 12943 | 5.75251873599629 GBP |
3p ordinary | CFD
| Short | 3236 | 5.75207354758962 GBP |
3p ordinary | CFD
| Short | 5083 | 5.75281526657486 GBP |
3p ordinary | CFD
| Short | 4102 | 5.75447098976109 GBP |
3p ordinary | CFD
| Short | 212 | 5.75089622641509 GBP |
3p ordinary | CFD
| Short | 650 | 5.74661538461538 GBP |
3p ordinary | CFD
| Short | 109 | 5.7545871559633 GBP |
3p ordinary | CFD
| Short | 775 | 5.70047741935484 GBP |
3p ordinary | CFD
| Short | 486 | 5.70534979423868 GBP |
3p ordinary | CFD
| Short | 605 | 5.70059504132231 GBP |
3p ordinary | CFD
| Short | 11302 | 5.68870376924438 GBP |
3p ordinary | CFD
| Short | 19045 | 5.75251719611447 GBP |
3p ordinary | CFD
| Short | 4209 | 5.75481587075315 GBP |
3p ordinary | CFD
| Short | 4759 | 5.75207186383694 GBP |
3p ordinary | CFD
| Short | 4715 | 5.75281654294804 GBP |
3p ordinary | CFD
| Short | 313 | 5.7508945686901 GBP |
3p ordinary | CFD
| Short | 5681 | 5.75447456433726 GBP |
3p ordinary | CFD
| Short | 161 | 5.75459627329193 GBP |
3p ordinary | CFD
| Short | 3 | 5.74666666666667 GBP |
3p ordinary | CFD
| Short | 715 | 5.70534265734266 GBP |
3p ordinary | CFD
| Short | 1140 | 5.70047368421053 GBP |
3p ordinary | CFD
| Short | 890 | 5.70059550561798 GBP |
3p ordinary | CFD
| Short | 20 | 5.7505 GBP |
3p ordinary | CFD
| Short | 66 | 5.70045454545455 GBP |
3p ordinary | CFD
| Short | 52 | 5.70057692307692 GBP |
3p ordinary | CFD
| Short | 126 | 5.71190476190476 GBP |
3p ordinary | CFD
| Short | 35 | 5.70485714285714 GBP |
3p ordinary | CFD
| Short | 11 | 5.70272727272727 GBP |
3p ordinary | CFD
| Short | 4 | 5.705 GBP |
3p ordinary | CFD
| Short | 7 | 5.71428571428571 GBP |
3p ordinary | CFD
| Short | 272 | 5.75275735294118 GBP |
3p ordinary | CFD
| Short | 10 | 5.755 GBP |
3p ordinary | CFD
| Short | 44 | 5.70545454545455 GBP |
3p ordinary | CFD
| Short | 59 | 5.70440677966102 GBP |
3p ordinary | CFD
| Short | 24 | 5.71125 GBP |
3p ordinary | CFD
| Short | 105 | 5.70438095238095 GBP |
3p ordinary | CFD
| Short | 1588 | 5.75245591939547 GBP |
3p ordinary | CFD
| Short | 351 | 5.75481481481481 GBP |
3p ordinary | CFD
| Short | 396 | 5.75204545454545 GBP |
3p ordinary | CFD
| Short | 389 | 5.75280205655527 GBP |
3p ordinary | CFD
| Short | 482 | 5.7545643153527 GBP |
3p ordinary | CFD
| Short | 27 | 5.75074074074074 GBP |
3p ordinary | CFD
| Short | 14 | 5.75428571428571 GBP |
3p ordinary | CFD
| Short | 94 | 5.70042553191489 GBP |
3p ordinary | CFD
| Short | 61 | 5.70540983606557 GBP |
3p ordinary | CFD
| Short | 75 | 5.70053333333333 GBP |
3p ordinary | CFD
| Short | 130 | 5.75205776173285 GBP |
3p ordinary | CFD
| Short | 340 | 5.75447058823529 GBP |
3p ordinary | CFD
| Short | 133 | 3.88037593984962 GBP |
3p ordinary | CFD
| Short | 460 | 3.84910869565217 GBP |
3p ordinary | CFD
| Short | 4469 | 3.81899977623629 GBP |
3p ordinary | CFD
| Short | 23 | 3.92695652173913 GBP |
3p ordinary | CFD
| Short | 319 | 5.75156739811912 GBP |
3p ordinary | CFD
| Short | 4514 | 5.75481612760301 GBP |
3p ordinary | CFD
| Short | 6802 | 5.75481770067627 GBP |
3p ordinary | CFD
| Short | 30764 | 5.75251690287349 GBP |
3p ordinary | CFD
| Short | 7686 | 5.75206999739787 GBP |
3p ordinary | CFD
| Short | 7610 | 5.75281208935611 GBP |
3p ordinary | CFD
| Short | 9179 | 5.75447543305371 GBP |
3p ordinary | CFD
| Short | 504 | 5.75089285714286 GBP |
3p ordinary | CFD
| Short | 5 | 5.746 GBP |
3p ordinary | CFD
| Short | 260 | 5.75457692307692 GBP |
3p ordinary | CFD
| Short | 1842 | 5.70047774158523 GBP |
3p ordinary | CFD
| Short | 1155 | 5.70534199134199 GBP |
3p ordinary | CFD
| Short | 1438 | 5.70059109874826 GBP |
3p ordinary | CFD
| Short | 8015 | 5.75281222707424 GBP |
3p ordinary | CFD
| Short | 6470 | 5.75447449768161 GBP |
3p ordinary | CFD
| Short | 1027 | 5.74663096397274 GBP |
3p ordinary | CFD
| Short | 1224 | 5.70048202614379 GBP |
3p ordinary | CFD
| Short | 766 | 5.70533942558747 GBP |
3p ordinary | CFD
| Short | 1418 | 3.86307475317348 GBP |
3p ordinary | CFD
| Short | 172 | 3.86273255813953 GBP |
3p ordinary | CFD
| Short | 277 | 3.86314079422383 GBP |
3p ordinary | CFD
| Short | 388 | 3.77510309278351 GBP |
3p ordinary | CFD
| Short | 827 | 3.7857315598549 GBP |
3p ordinary | CFD
| Short | 1880 | 3.77293617021277 GBP |
3p ordinary | CFD
| Short | 145 | 3.87668965517241 GBP |
3p ordinary | CFD
| Short | 115 | 3.85034782608696 GBP |
3p ordinary | CFD
| Short | 1482 | 3.81900134952767 GBP |
3p ordinary | CFD
| Short | 20420 | 5.75251714005877 GBP |
3p ordinary | CFD
| Short | 5102 | 5.75206977655821 GBP |
3p ordinary | CFD
| Short | 335 | 5.75089552238806 GBP |
3p ordinary | CFD
| Short | 173 | 5.75456647398844 GBP |
3p ordinary | CFD
| Short | 954 | 5.70059748427673 GBP |
3p ordinary | CFD
| Short | 5 | 3.856 GBP |
3p ordinary | CFD
| Short | 130 | 3.85330769230769 GBP |
3p ordinary | CFD
| Short | 548 | 3.78224452554745 GBP |
3p ordinary | CFD
| Short | 242 | 3.85727272727273 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) |
|
3. 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 exempt principal trader 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 exempt principal trader 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 |
| Date of disclosure: | 15 November 2019 |
| Contact name: | Wendy Dent |
| Telephone number: | +44 (0)207 568 1245 |
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at monitoring@disclosure.org.uk
The Panel's Market Surveillance Unit is available for consultation in relation to the Code's dealing disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.