15th Oct 2019 11:14
FORM 8.5 (EPT/RI)
PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITY
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: | (GS) GOLDMAN SACHS INTERNATIONAL |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | SOPHOS GROUP PLC |
(c) Name of the party to the offer with which exempt principal trader is connected: | SURF BUYER LIMITED (A COMPANY OWNED BY FUNDS MANAGED AND/OR ADVISED BY THOMA BRAVO, LLC) |
(d) Date dealing undertaken: | 14 October 2019 |
(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to the offer? If it is a cash offer or possible cash offer, state "N/A" | N/A |
2. DEALINGS BY THE EXEMPT PRINCIPAL TRADER
Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 2(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 security | Purchases/ sales
| Total number of securities | Highest price per unit paid/received | Lowest price per unit paid/received |
3p ordinary | Purchases | 6,890,0525,034,374 | 5.8588 GBP7.3409 USD | 5.7300 GBP7.2612 USD |
3p ordinary | Sales | 4,464,3472,000,000 | 5.8527 GBP7.2800 USD | 5.7380 GBP7.2591 USD |
(b) Cash-settled derivative transactions
Class of relevant security | Product description e.g. CFD | Nature of dealing e.g. opening/closing a long/short position, increasing/reducing a long/short position | Number of reference securities | Price per unit |
3p ordinary | CFD | Opening a short position | 676 | 5.7407 GBP |
3p ordinary | CFD | Reducing a long position | 10,269 | 5.7705 GBP |
3p ordinary | CFD | Opening a short position | 56,000 | 5.7723 GBP |
3p ordinary | CFD | Opening a short position | 19,400 | 5.7723 GBP |
3p ordinary | CFD | Reducing a long position | 99,000 | 5.7724 GBP |
3p ordinary | CFD | Reducing a short position | 8,500 | 5.7737 GBP |
3p ordinary | CFD | Opening a short position | 5,427 | 5.7761 GBP |
3p ordinary | CFD | Reducing a long position | 21,689 | 5.7761 GBP |
3p ordinary | CFD | Opening a short position | 2,535 | 5.7761 GBP |
3p ordinary | CFD | Reducing a long position | 37,688 | 5.7761 GBP |
3p ordinary | CFD | Reducing a long position | 4,759 | 5.7770 GBP |
3p ordinary | CFD | Reducing a long position | 519 | 5.7772 GBP |
3p ordinary | CFD | Reducing a short position | 16,482 | 5.7777 GBP |
3p ordinary | CFD | Reducing a short position | 9,418 | 5.7780 GBP |
3p ordinary | CFD | Increasing a long position | 20 | 5.7791 GBP |
3p ordinary | CFD | Reducing a long position | 2,801 | 5.7817 GBP |
3p ordinary | CFD | Reducing a long position | 2,277 | 5.7817 GBP |
3p ordinary | CFD | Reducing a long position | 11,390 | 5.7817 GBP |
3p ordinary | CFD | Reducing a long position | 1,016 | 5.7817 GBP |
3p ordinary | CFD | Reducing a long position | 8,305 | 5.7817 GBP |
3p ordinary | CFD | Reducing a long position | 4,717 | 5.7817 GBP |
3p ordinary | CFD | Opening a short position | 139,655 | 5.7888 GBP |
3p ordinary | CFD | Reducing a long position | 1,639 | 5.7910 GBP |
3p ordinary | CFD | Increasing a long position | 157 | 5.7920 GBP |
3p ordinary | CFD | Reducing a short position | 116,973 | 5.7920 GBP |
3p ordinary | CFD | Reducing a short position | 62,567 | 5.7920 GBP |
3p ordinary | CFD | Reducing a short position | 12,109 | 5.7920 GBP |
3p ordinary | CFD | Reducing a short position | 104,224 | 5.7920 GBP |
3p ordinary | CFD | Reducing a short position | 162,728 | 5.7920 GBP |
3p ordinary | CFD | Reducing a short position | 119,767 | 5.7920 GBP |
3p ordinary | CFD | Reducing a short position | 81,364 | 5.7920 GBP |
3p ordinary | CFD | Reducing a short position | 244,092 | 5.7920 GBP |
3p ordinary | CFD | Reducing a short position | 74,227 | 5.7920 GBP |
3p ordinary | CFD | Reducing a short position | 243,720 | 5.7920 GBP |
3p ordinary | CFD | Reducing a short position | 81,364 | 5.7920 GBP |
3p ordinary | CFD | Reducing a short position | 136,761 | 5.7920 GBP |
3p ordinary | CFD | Reducing a short position | 79,995 | 5.7920 GBP |
3p ordinary | CFD | Reducing a short position | 431,946 | 5.7920 GBP |
3p ordinary | CFD | Reducing a short position | 53,942 | 5.7920 GBP |
3p ordinary | CFD | Reducing a short position | 65,147 | 5.7920 GBP |
3p ordinary | CFD | Reducing a short position | 44,764 | 5.7920 GBP |
3p ordinary | CFD | Reducing a short position | 27,426 | 5.7920 GBP |
3p ordinary | CFD | Reducing a long position | 630 | 5.7936 GBP |
3p ordinary | CFD | Reducing a long position | 60 | 5.7945 GBP |
3p ordinary | CFD | Opening a short position | 210 | 5.7945 GBP |
3p ordinary | CFD | Reducing a long position | 152 | 5.7945 GBP |
3p ordinary | CFD | Reducing a long position | 31 | 5.7966 GBP |
3p ordinary | CFD | Opening a short position | 228 | 5.7970 GBP |
3p ordinary | CFD | Increasing a long position | 15 | 5.7973 GBP |
3p ordinary | CFD | Opening a long position | 1,477 | 5.8072 GBP |
3p ordinary | CFD | Reducing a short position | 210 | 5.8072 GBP |
3p ordinary | CFD | Reducing a long position | 77 | 5.8109 GBP |
3p ordinary | CFD | Opening a long position | 152 | 5.8142 GBP |
3p ordinary | CFD | Reducing a short position | 228 | 5.8142 GBP |
3p ordinary | CFD | Reducing a long position | 29,890 | 5.8144 GBP |
3p ordinary | CFD | Increasing a long position | 67 | 5.8220 GBP |
3p ordinary | CFD | Increasing a long position | 178 | 5.8256 GBP |
3p ordinary | CFD | Increasing a long position | 1,169 | 5.8264 GBP |
3p ordinary | CFD | Increasing a long position | 5 | 5.8278 GBP |
3p ordinary | CFD | Reducing a short position | 200,000 | 5.8295 GBP |
3p ordinary | CFD | Reducing a long position | 200,000 | 5.8323 GBP |
3p ordinary | CFD | Reducing a short position | 417 | 5.8520 GBP |
3p ordinary | CFD | Reducing a long position | 118,331 | 5.8527 GBP |
3p ordinary | CFD | Opening a long position | 200,000 | 5.8527 GBP |
3p ordinary | CFD | Reducing a long position | 5,292 | 5.8529 GBP |
3p ordinary | CFD | Reducing a long position | 29,966 | 5.8588 GBP |
3p ordinary | CFD | Opening a short position | 467,000 | 7.2550 USD |
3p ordinary | CFD | Reducing a short position | 558,915 | 7.2591 USD |
3p ordinary | CFD | Reducing a short position | 141,085 | 7.2591 USD |
3p ordinary | CFD | Opening a long position | 750,000 | 7.2645 USD |
3p ordinary | CFD | Opening a short position | 56,000 | 7.2670 USD |
3p ordinary | CFD | Opening a short position | 56,000 | 7.2720 USD |
3p ordinary | CFD | Opening a short position | 451,275 | 7.2739 USD |
3p ordinary | CFD | Opening a short position | 162,681 | 7.2739 USD |
3p ordinary | CFD | Opening a short position | 11,044 | 7.2739 USD |
3p ordinary | CFD | Opening a short position | 1,711,170 | 7.2748 USD |
3p ordinary | CFD | Opening a short position | 431,946 | 7.2748 USD |
3p ordinary | CFD | Opening a short position | 785,750 | 7.2777 USD |
3p ordinary | CFD | Opening a short position | 9,690 | 7.2788 USD |
3p ordinary | CFD | Opening a short position | 392,871 | 7.2815 USD |
3p ordinary | CFD | Opening a short position | 60,000 | 7.3103 USD |
3p ordinary | SWAP | Opening a short position | 47,656 | 5.7707 GBP |
3p ordinary | SWAP | Opening a short position | 225,000 | 7.2612 USD |
3p ordinary | SWAP | Opening a short position | 172,409 | 7.2635 USD |
3p ordinary | SWAP | Opening a short position | 27,591 | 7.2635 USD |
3p ordinary | SWAP | Opening a short position | 172,409 | 7.2649 USD |
3p ordinary | SWAP | Opening a short position | 27,591 | 7.2649 USD |
3p ordinary | SWAP | Opening a short position | 115,063 | 7.2657 USD |
3p ordinary | SWAP | Opening a short position | 62,080 | 7.2685 USD |
3p ordinary | SWAP | Opening a short position | 387,920 | 7.2685 USD |
3p ordinary | SWAP | Opening a short position | 41,387 | 7.2723 USD |
3p ordinary | SWAP | Opening a short position | 258,613 | 7.2723 USD |
3p ordinary | SWAP | Opening a short position | 34,489 | 7.2837 USD |
3p ordinary | SWAP | Opening a short position | 215,511 | 7.2837 USD |
3p ordinary | SWAP | Opening a short position | 250,000 | 7.2968 USD |
3p ordinary | SWAP | Opening a short position | 250,000 | 7.3043 USD |
3p ordinary | SWAP | Opening a short position | 300,000 | 7.3243 USD |
3p ordinary | SWAP | Opening a short position | 538,778 | 7.3409 USD |
3p ordinary | SWAP | Opening a short position | 86,222 | 7.3409 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) |
|
3. 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 exempt principal trader 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 exempt principal trader 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
|
| Date of disclosure: | 15 October 2019 |
| Contact name: | Kashif Rafiq and Papa Lette |
| Telephone number: | +44(20) 7051 0547 / +44(20) 7774 7442 |
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.
Related Shares:
Sophos Group