Barclays PLC — Major Shareholding Notification 2019

Nov 13, 2019

National Storage Mechanism | Additional information

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Form 8.3 - SOPHOS GROUP PLC - AMENDMENT

FORM 8.3 - Amendment to Purchase and 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:	07 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:	16,366,070	3.35%	10,571,596	2.16%
(2)	Cash-settled derivatives:
		140,419	0.03%	16,000,715	3.27%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:	0	0.00%	0	0.00%
	TOTAL:	16,506,489	3.38%	26,572,311	5.44%

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	171	5.7340 GBP
3p ordinary	Purchase	499	5.6910 GBP
3p ordinary	Purchase	566	5.7280 GBP
3p ordinary	Purchase	579	5.6940 GBP
3p ordinary	Purchase	1,017	5.6364 GBP
3p ordinary	Purchase	1,100	5.7337 GBP
3p ordinary	Purchase	1,605	5.7380 GBP
3p ordinary	Purchase	1,636	5.7293 GBP
3p ordinary	Purchase	2,050	5.7012 GBP
3p ordinary	Purchase	2,235	5.6408 GBP
3p ordinary	Purchase	2,301	5.6989 GBP
3p ordinary	Purchase	3,346	5.7320 GBP
3p ordinary	Purchase	3,567	5.7075 GBP
3p ordinary	Purchase	4,528	5.7030 GBP
3p ordinary	Purchase	5,796	5.7005 GBP
3p ordinary	Purchase	7,633	5.6670 GBP
3p ordinary	Purchase	12,869	5.7335 GBP
3p ordinary	Purchase	16,709	5.6890 GBP
3p ordinary	Purchase	51,449	5.7191 GBP
3p ordinary	Purchase	250,000	5.7308 GBP
3p ordinary	Sale	350	5.7060 GBP
3p ordinary	Sale	446	5.7343 GBP
3p ordinary	Sale	579	5.6940 GBP
3p ordinary	Sale	638	5.6925 GBP
3p ordinary	Sale	659	5.7040 GBP
3p ordinary	Sale	676	5.7260 GBP
3p ordinary	Sale	1,052	5.7100 GBP
3p ordinary	Sale	1,079	5.7300 GBP
3p ordinary	Sale	1,126	5.7310 GBP
3p ordinary	Sale	1,361	5.7289 GBP
3p ordinary	Sale	1,453	5.7331 GBP
3p ordinary	Sale	1,477	5.7317 GBP
3p ordinary	Sale	1,547	5.7387 GBP
3p ordinary	Sale	2,865	5.7379 GBP
3p ordinary	Sale	3,934	5.7320 GBP
3p ordinary	Sale	4,349	5.7283 GBP
3p ordinary	Sale	6,353	5.7120 GBP
3p ordinary	Sale	16,709	5.7012 GBP
3p ordinary	Sale	36,835	5.7172 GBP
3p ordinary	Sale	45,544	5.7314 GBP
3p ordinary	Sale	233,893	5.7340 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	1,453	5.7331 GBP
3p ordinary	SWAP	Long	1,547	5.7387 GBP
3p ordinary	SWAP	Long	6,366	5.7278 GBP
3p ordinary	CFD	Long	7,865	5.6947 GBP
3p ordinary	SWAP	Long	8,022	5.7101 GBP
3p ordinary	SWAP	Long	27,962	5.7221 GBP
3p ordinary	SWAP	Short	6	5.6366 GBP
3p ordinary	SWAP	Short	8	5.7340 GBP
3p ordinary	SWAP	Short	499	5.6910 GBP
3p ordinary	SWAP	Short	1,263	5.6947 GBP
3p ordinary	SWAP	Short	1,300	5.7088 GBP
3p ordinary	SWAP	Short	2,628	5.7116 GBP
3p ordinary	CFD	Short	15,034	5.7346 GBP
3p ordinary	SWAP	Short	18,045	5.7329 GBP
3p ordinary	SWAP	Short	33,196	5.7149 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:	13 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

View source version on businesswire.com: https://www.businesswire.com/news/home/20191113005295/en/