11th Sep 2015 14:49
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 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) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | PACE 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 | 10 September 2015 | |
| (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” | YES ARRIS GROUP INC |
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: | ORD | ||||||||||
| Interests | Short Positions | ||||||||||
| Number | (%) | Number | (%) | ||||||||
| (1) | Relevant securities owned | ||||||||||
| and/or controlled: | 8,450,561 | 2.64% | 198,610 | 0.06% | |||||||
| (2) | Cash-settled derivatives: | ||||||||||
| 117,730 | 0.04% | 7,212,520 | 2.25% | ||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||
| and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||||||
| (4) | |||||||||||
| TOTAL: | 8,568,291 | 2.68% | 7,411,130 | 2.31% |
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 | ||||||||
| ORD | Purchase | 442 | 3.6150 GBP | ||||||
| ORD | Purchase | 2,505 | 3.6093 GBP | ||||||
| ORD | Purchase | 3,351 | 3.6119 GBP | ||||||
| ORD | Purchase | 4,577 | 3.6094 GBP | ||||||
| ORD | Purchase | 9,050 | 3.5963 GBP | ||||||
| ORD | Purchase | 9,673 | 3.5984 GBP | ||||||
| ORD | Purchase | 17,944 | 3.6117 GBP | ||||||
| ORD | Purchase | 17,960 | 3.6022 GBP | ||||||
| ORD | Purchase | 31,019 | 3.5981 GBP | ||||||
| ORD | Sale | 362 | 3.6080 GBP | ||||||
| ORD | Sale | 603 | 3.6070 GBP | ||||||
| ORD | Sale | 682 | 3.6049 GBP | ||||||
| ORD | Sale | 1,162 | 3.5918 GBP | ||||||
| ORD | Sale | 1,773 | 3.6035 GBP | ||||||
| ORD | Sale | 1,779 | 3.6015 GBP | ||||||
| ORD | Sale | 4,332 | 3.6019 GBP | ||||||
| ORD | Sale | 7,764 | 3.6018 GBP | ||||||
| ORD | Sale | 9,493 | 3.6007 GBP | ||||||
| ORD | Sale | 10,576 | 3.5953 GBP | ||||||
| ORD | Sale | 22,262 | 3.6020 GBP | ||||||
| ORD | Sale | 38,302 | 3.5978 GBP | ||||||
| (b) | Cash-settled derivative transactions | ||||||||
| Class of | Product | Nature of dealing | Number of | Price per | |||||
| relevant | description | reference | unit | ||||||
| security | securities | ||||||||
| ORD | CFD | Long | 735 | 3.6057 GBP | |||||
| ORD | CFD | Long | 1,020 | 3.6034 GBP | |||||
| ORD | CFD | Long | 2,291 | 3.6037 GBP | |||||
| ORD | SWAP | Long | 4,332 | 3.6020 GBP | |||||
| ORD | CFD | Long | 6,002 | 3.6051 GBP | |||||
| ORD | SWAP | Long | 6,002 | 3.6051 GBP | |||||
| ORD | SWAP | Long | 9,960 | 3.5997 GBP | |||||
| ORD | CFD | Long | 9,273 | 3.5986 GBP | |||||
| ORD | SWAP | Long | 63,350 | 3.5984 GBP | |||||
| ORD | CFD | Short | 6 | 3.6350 GBP | |||||
| ORD | CFD | Short | 9 | 3.6244 GBP | |||||
| ORD | CFD | Short | 13 | 3.6253 GBP | |||||
| ORD | CFD | Short | 30 | 3.6323 GBP | |||||
| ORD | CFD | Short | 33 | 3.6245 GBP | |||||
| ORD | CFD | Short | 34 | 3.6352 GBP | |||||
| ORD | CFD | Short | 70 | 3.6204 GBP | |||||
| ORD | CFD | Short | 94 | 3.6344 GBP | |||||
| ORD | CFD | Short | 105 | 3.6334 GBP | |||||
| ORD | CFD | Short | 330 | 3.6294 GBP | |||||
| ORD | CFD | Short | 420 | 3.6404 GBP | |||||
| ORD | CFD | Short | 546 | 3.6037 GBP | |||||
| ORD | CFD | Short | 1,020 | 3.5895 GBP | |||||
| ORD | SWAP | Short | 2,081 | 3.6021 GBP | |||||
| ORD | CFD | Short | 3,294 | 3.6030 GBP | |||||
| ORD | CFD | Short | 6,596 | 3.6102 GBP | |||||
| ORD | CFD | Short | 16,679 | 3.6132 GBP | |||||
| ORD | SWAP | Short | 64,239 | 3.5990 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” |
(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” |
(c) Attachments
| Is a Supplemental Form 8 (Open Positions) attached? | NO |
| Date of disclosure: | 11 Sept 2015 | |
| Contact name: | Jay Supaya | |
| Telephone number: | 020 7773 0635 |
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at [email protected]. The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.
View source version on businesswire.com: http://www.businesswire.com/news/home/20150911005457/en/
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