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Form 8.3 - SOPHOS GROUP PLC AMENDMENT

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Form 8.3 - SOPHOS GROUP PLC AMENDMENT

 

FORM 8.3 Amendment to Sales

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: 05 December 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:

27,907,280

5.67%

13,750,549

2.80%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

68,030

0.01%

21,620,098

4.40%

 

 

 

 

(3)

Stock-settled derivatives (including options)

 

 

 

 

and agreements to purchase/sell:

0

0.00%

0

0.00%

 

 

 

 

 

 

 

 

TOTAL:

27,975,310

5.69%

35,370,647

7.19%

 

 

 

 

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

80

5.5640 GBP

3p ordinary

Purchase

112

5.5680 GBP

3p ordinary

Purchase

275

5.5660 GBP

3p ordinary

Purchase

387

5.5731 GBP

3p ordinary

Purchase

642

5.5720 GBP

3p ordinary

Purchase

828

5.5721 GBP

3p ordinary

Purchase

1,608

5.5740 GBP

3p ordinary

Purchase

3,348

5.5738 GBP

3p ordinary

Purchase

9,000

5.5813 GBP

3p ordinary

Purchase

20,897

5.5644 GBP

3p ordinary

Purchase

26,178

5.5657 GBP

3p ordinary

Purchase

26,204

5.5692 GBP

3p ordinary

Sale

879

5.5734 GBP

3p ordinary

Sale

1,409

5.5764 GBP

3p ordinary

Sale

1,422

5.5720 GBP

3p ordinary

Sale

2,250

5.5806 GBP

3p ordinary

Sale

3,029

5.5737 GBP

3p ordinary

Sale

4,631

5.5817 GBP

3p ordinary

Sale

10,050

5.5820 GBP

3p ordinary

Sale

13,886

5.5700 GBP

3p ordinary

Sale

17,218

5.5712 GBP

3p ordinary

Sale

20,897

5.5661 GBP

3p ordinary

Sale

46,343

5.5660 GBP

3p ordinary

Sale

250,000

5.5905 GBP

3p ordinary

Sale

340,429

5.5795 GBP

3p ordinary

Sale

350,000

5.5662 GBP

3p ordinary

Sale

200,000

5.5822 GBP

3p ordinary

Sale

615,000

5.5854 GBP

3p ordinary

Sale

901,191

5.5877 GBP

3p ordinary

Sale

1,000,000

5.5848 GBP

3p ordinary

Sale

500,014

5.5855 GBP

3p ordinary

Sale

1,400,000

5.5821 GBP

3p ordinary

Sale

1,508,500

5.5865 GBP

3p ordinary

Sale

215,000

5.5878 GBP

3p ordinary

Sale

2,900,000

5.5823 GBP

3p ordinary

Sale

1,500,000

5.5861 GBP

3p ordinary

Sale

391,500

5.5866 GBP

3p ordinary

Sale

1,000,000

5.5856 GBP

3p ordinary

Sale

34,025,000

5.5850 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

154

5.5740 GBP

3p ordinary

SWAP

Long

872

5.5764 GBP

3p ordinary

SWAP

Long

2,491

5.5754 GBP

3p ordinary

CFD

Long

7,970

5.5672 GBP

3p ordinary

SWAP

Long

10,932

5.5739 GBP

3p ordinary

CFD

Long

13,886

5.5700 GBP

3p ordinary

SWAP

Short

515

5.5718 GBP

3p ordinary

SWAP

Short

3,345

5.5660 GBP

3p ordinary

SWAP

Short

9,000

5.5813 GBP

3p ordinary

SWAP

Short

12,909

5.5665 GBP

3p ordinary

CFD

Short

14,478

5.5744 GBP

3p ordinary

SWAP

Short

733,809

5.5647 GBP

3p ordinary

SWAP

Short

8,000,000

9.5977 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

 

 

 

 

 

 

 

 

(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: 10 Dec 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: 174.76

Market: LSE
Market Cap: £30.27 billion
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