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FORM 8.3 - SOPHOS GROUP PLC

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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:

18 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:

23,010,087

4.69%

18,994,522

3.87%

 

(2)

Cash-settled derivatives:

118,690

0.02%

16,017,958

3.26%

 

(3)

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

0

0.00%

0

0.00%

 
 
TOTAL:

23,128,777

4.71%

35,012,480

7.13%

 

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

2

5.6720 GBP

3p ordinary

Purchase

23

5.6664 GBP

3p ordinary

Purchase

585

5.6730 GBP

3p ordinary

Purchase

589

5.6640 GBP

3p ordinary

Purchase

1,116

5.6740 GBP

3p ordinary

Purchase

1,619

5.6560 GBP

3p ordinary

Purchase

1,733

5.6760 GBP

3p ordinary

Purchase

2,947

5.6727 GBP

3p ordinary

Purchase

4,956

5.6643 GBP

3p ordinary

Purchase

7,015

5.6480 GBP

3p ordinary

Purchase

11,980

5.6605 GBP

3p ordinary

Purchase

18,073

5.6477 GBP

3p ordinary

Purchase

25,535

5.6639 GBP

3p ordinary

Purchase

29,039

5.6620 GBP

3p ordinary

Purchase

61,823

5.6668 GBP

3p ordinary

Sale

1

5.6640 GBP

3p ordinary

Sale

5

5.6480 GBP

3p ordinary

Sale

106

5.6820 GBP

3p ordinary

Sale

140

5.6800 GBP

3p ordinary

Sale

225

5.6754 GBP

3p ordinary

Sale

585

5.6730 GBP

3p ordinary

Sale

597

5.6740 GBP

3p ordinary

Sale

864

5.6686 GBP

3p ordinary

Sale

1,488

5.6760 GBP

3p ordinary

Sale

1,619

5.6560 GBP

3p ordinary

Sale

2,351

5.6620 GBP

3p ordinary

Sale

2,522

5.6705 GBP

3p ordinary

Sale

2,709

5.6658 GBP

3p ordinary

Sale

3,013

5.6746 GBP

3p ordinary

Sale

3,964

5.6706 GBP

3p ordinary

Sale

4,467

5.6573 GBP

3p ordinary

Sale

5,295

5.6646 GBP

3p ordinary

Sale

5,790

5.6703 GBP

3p ordinary

Sale

5,879

5.6727 GBP

3p ordinary

Sale

6,990

5.6728 GBP

3p ordinary

Sale

7,015

5.6509 GBP

3p ordinary

Sale

8,122

5.6693 GBP

3p ordinary

Sale

8,394

5.6645 GBP

3p ordinary

Sale

8,823

5.6737 GBP

3p ordinary

Sale

11,990

5.6720 GBP

3p ordinary

Sale

53,272

5.6571 GBP

3p ordinary

Sale

67,289

5.6591 GBP

3p ordinary

Sale

2,721,569

5.6979 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

5

5.6480 GBP

3p ordinary

SWAP

Long

369

5.6700 GBP

3p ordinary

SWAP

Long

471

5.6782 GBP

3p ordinary

SWAP

Long

864

5.6686 GBP

3p ordinary

SWAP

Long

2,425

5.6772 GBP

3p ordinary

SWAP

Long

3,279

5.6727 GBP

3p ordinary

SWAP

Long

6,125

5.6718 GBP

3p ordinary

SWAP

Long

17,830

5.6519 GBP

3p ordinary

SWAP

Long

31,714

5.6679 GBP

3p ordinary

SWAP

Short

9

5.6666 GBP

3p ordinary

CFD

Short

1,658

5.6484 GBP

3p ordinary

CFD

Short

2,006

5.6647 GBP

3p ordinary

CFD

Short

3,360

5.6691 GBP

3p ordinary

SWAP

Short

4,642

5.6731 GBP

3p ordinary

SWAP

Short

4,872

5.6692 GBP

3p ordinary

SWAP

Short

6,310

5.6727 GBP

3p ordinary

CFD

Short

74,376

5.6659 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:

19 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.

BARCLAYS PLC

Quick facts: Barclays PLC

Price: 182.48

Market: LSE
Market Cap: £31.6 billion
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