21st Oct 2019 11:07
This announcement replaces the previous RNS announcement 2574Q released at 11:47 on the 17 October 2019. Amendment made to section 2(a). All other information remains unchanged.
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: | UBS Investment Bank, London |
(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: | Connected advisor to , Sophos Group plc offeree to 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 this offer? If it is a cash offer or possible cash offer, state "N/A" | No |
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 | Buy
| 13718482
| 5.85878 GBP | 5.74500 GBP |
3p ordinary | Sell
| 5313888 | 5.85401 GBP | 5.76000 GBP |
(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
| Long | 101985 | 5.77 GBP |
3p ordinary | CFD
| Long | 145248 | 5.7876 GBP |
3p ordinary | CFD
| Long | 14010 | 5.807155 GBP |
3p ordinary | CFD
| Long | 990 | 5.82687932343434 GBP |
3p ordinary | CFD
| Long | 579 | 5.791998 GBP |
3p ordinary | CFD
| Long | 314 | 5.814034 GBP |
3p ordinary | CFD
| Long | 84412 | 5.83462107 GBP |
3p ordinary | CFD
| Long | 280000 | 5.80365 GBP |
3p ordinary | CFD
| Long | 453 | 5.825565 GBP |
3p ordinary | CFD
| Long | 16 | 5.827841 GBP |
3p ordinary | CFD
| Long | 57 | 5.790333 GBP |
3p ordinary | CFD
| Long | 108 | 5.837766 GBP |
3p ordinary | CFD
| Long | 132 | 5.821952 GBP |
3p ordinary | CFD
| Long | 201 | 5.765 GBP |
3p ordinary | CFD
| Long | 2999 | 5.7767 GBP |
3p ordinary | CFD
| Short | 1024277 | 5.753928976 GBP |
3p ordinary | CFD
| Short | 170800 | 5.753787869 GBP |
3p ordinary | CFD
| Short | 280000 | 5.781088361 GBP |
3p ordinary | CFD
| Short | 262500 | 5.80999495 GBP |
3p ordinary | CFD
| Short | 455719 | 5.744985189 GBP |
3p ordinary | CFD
| Short | 33 | 5.810087 GBP |
3p ordinary | CFD
| Short | 9963 | 5.77 GBP |
3p ordinary | CFD
| Short | 200000 | 5.804741508 GBP |
3p ordinary | CFD
| Short | 25000 | 5.744984398 GBP |
3p ordinary | CFD
| Short | 50000 | 5.767389853 GBP |
3p ordinary | CFD
| Short | 25000 | 5.740672462 GBP |
3p ordinary | CFD
| Short | 1004573 | 5.777575 GBP |
3p ordinary | CFD
| Short | 235427 | 5.781867 GBP |
3p ordinary | CFD
| Short | 50000 | 5.769721 GBP |
3p ordinary | CFD
| Short | 86 | 5.784535 GBP |
3p ordinary | CFD
| Short | 100000 | 5.7773 GBP |
3p ordinary | CFD
| Short | 487035 | 5.75564398 GBP |
3p ordinary | CFD
| Short | 68 | 5.816 GBP |
3p ordinary | CFD
| Short | 15376 | 5.77696605098855 GBP |
3p ordinary | CFD
| Short | 170034 | 5.858775 GBP |
3p ordinary | CFD
| Short | 671449 | 5.85269389 GBP |
3p ordinary | CFD
| Short | 30027 | 5.8529 GBP |
3p ordinary | CFD
| Short | 200000 | 5.806482 GBP |
3p ordinary | CFD
| Short | 100000 | 5.776655 GBP |
3p ordinary | CFD
| Short | 200000 | 5.808812 GBP |
3p ordinary | CFD
| Short | 1300000 | 5.7556511 GBP |
3p ordinary | CFD
| Short | 1000000 | 5.753616183 GBP |
3p ordinary | CFD
| Short | 280000 | 5.80365 GBP |
3p ordinary | CFD
| Short | 2000000 | 5.746884024 GBP |
3p ordinary | CFD
| Short | 1000000 | 5.939327909 GBP |
3p ordinary | CFD
| Short | 200000 | 5.775 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) |
|
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: | 21 October 2019 |
| Contact name: | Wendy Dent |
| Telephone number: | +44 (0)207 568 1245 |
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 dealing 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