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FORM 8.3 - SOPHOS GROUP PLC

--(BUSINESS WIRE)--  LONDON

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

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)

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)

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

(c) Stock-settled derivative transactions (including options)

(i) Writing, selling, purchasing or varying

(ii) Exercise

(d) Other dealings (including subscribing for new securities)

4. OTHER INFORMATION

(a) Indemnity and other dealing arrangements

(b) Agreements, arrangements or understandings relating to options or derivatives

(c) Attachments

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

Source:BARCLAYS PLC

(a) Full name of discloser:

.Barclays PLC

(b) Owner or controller of interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.

 

(c) of offeror/offeree in relation to whose relevant securities this form relates:Name

Use a separate form for each offeror/offeree

SOPHOS GROUP PLC

(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:

For an opening position disclosure, state the latest practicable date prior to the disclosure

18 February 2020

(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state “N/A”

NO
Class of relevant security:3p ordinary
InterestsShort Positions
Number(%)Number(%)

(1)

Relevant securities owned
and/or controlled:

28,024,872

5.68%

222,313

0.05%

 

(2)

Cash-settled derivatives:

182,261

0.04%

25,595,474

5.19%

 

(3)

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

0

0.00%

0

0.00%

 
 
TOTAL:

28,207,133

5.72%

25,817,787

5.23%

 

Class of relevant security in relation to which subscription right exists:

 

Details, including nature of the rights concerned and relevant percentages:

 

Class of relevantPurchase/saleNumber ofPrice per unit
securitysecurities
3p ordinaryPurchase

2

5.6680 GBP
3p ordinaryPurchase

4

5.6720 GBP
3p ordinaryPurchase

296

5.6700 GBP
3p ordinaryPurchase

444

5.6730 GBP
3p ordinaryPurchase

4,671

5.6717 GBP
3p ordinaryPurchase

16,544

5.6740 GBP
3p ordinaryPurchase

719,840

5.6860 GBP
3p ordinaryPurchase

1,097,004

5.6800 GBP
3p ordinaryPurchase

2,721,569

5.6799 GBP
3p ordinarySale

4

5.6950 GBP
3p ordinarySale

296

5.6700 GBP
3p ordinarySale

579

5.6680 GBP
3p ordinarySale

1,874

5.6720 GBP
3p ordinarySale

2,000

5.6712 GBP
3p ordinarySale

6,680

5.6723 GBP
3p ordinarySale

17,162

5.6717 GBP
 
(b)Cash-settled derivative transactions
Class ofProductNature of dealingNumber ofPrice per
relevantdescriptionreferenceunit
securitysecurities
3p ordinaryCFDLong

4

5.6950 GBP
3p ordinarySWAPLong

1,214

5.6720 GBP
3p ordinarySWAPLong

2,000

5.6712 GBP
3p ordinarySWAPLong

2,009

5.6731 GBP
3p ordinaryCFDShort

4

5.6725 GBP
3p ordinarySWAPShort

639

5.6729 GBP
3p ordinaryCFDShort

1,480

5.6724 GBP
3p ordinarySWAPShort

3,075

5.6946 GBP
3p ordinaryCFDShort

8,545

5.6675 GBP

Class of relevant security

Product descriptione.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

 

 

 

 

 

 

 

 

Class of relevant security

Product description

e.g. call option

Exercising/ exercised against

Number of securities

Exercise price per unit

 

 

 

 

 

 

Class of relevant security

Nature of dealing

e.g. subscription, conversion

Details

Price per unit (if applicable)

 

 

 

 

 

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

 

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

 

Is a Supplemental Form 8 (Open Positions) attached?

NO

Date of disclosure:

19 FEB 2020

Contact name:

Large Holdings Regulatory Operations

Telephone number*:

020 3134 7213

Quick facts: Barclays PLC

Price: 96.32

Market: LSE
Market Cap: £16.63 billion
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