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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 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:

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:

 

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

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

 

 

 

 

 

 

 

 

(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:

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.

BARCLAYS PLC

Quick facts: Barclays PLC

Price: 172.38

Market: LSE
Market Cap: £29.78 billion
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