JPMorgan Securities Plc Form 8.5 (EPT/RI)- Sophos Group plc AMENDMENT (4035W)
10 Dicembre 2019 - 3:00PM
UK Regulatory
TIDMSOPH
RNS Number : 4035W
JPMorgan Securities Plc
10 December 2019
AMMENT
INCREASED EQUITY PURCHASES BY 275,000 TO 896,060
INCREASED EQUITY SALES BY 260,000 TO 3,159,437
ADDED EQUITY SWAP PURCHASES OF 260,000
ADDED EQUITY SWAP SALES OF 275,000
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: J.P. Morgan Securities Plc
(b) Name of offeror/offeree in relation to whose relevant Sophos Group plc
securities this form relates:
Use a separate form for each offeror/offeree
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(c) Name of the party to the offer with which exempt Lead Financial Advisor and Corporate Broker to Sophos
principal trader is connected: Group plc
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(d) Date dealing undertaken: 22 November 2019
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(e) In addition to the company in 1(b) above, is the N/A
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"
----------------------------------------------------------
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 Purchases/ sales Total number of Highest price per unit Lowest price per unit
security securities paid/received paid/received
Ordinary Share Purchase 896,060 5.7103 GBP 5.6600 GBP
Sale 3,159,437 5.7100 GBP 5.6500 GBP
----------------- ------------------------ ----------------------- -----------------------
(b) Cash-settled derivative transactions
Class of relevant Product description Nature of dealing Number of reference Price per unit
security e.g. CFD e.g. opening/closing a securities
long/short position,
increasing/reducing a
long/short position
Ordinary Share Equity Swap Long 2,000,000 5.6500 GBP
483 5.6840 GBP
2,325 5.6849 GBP
168,853 5.6860 GBP
2,886 5.6866 GBP
5,905 5.6870 GBP
13,798 5.6875 GBP
1,583 5.6880 GBP
189 5.7000 GBP
54,146 5.7064 GBP
65,513 5.7100 GBP
250,000 7.3055 USD
100,000 7.3056 USD
75,000 7.3081 USD
100,000 7.3156 USD
100,000 7.3157 USD
10,000 7.3418 USD
Short 89 5.6500 GBP
2 5.6840 GBP
11,870 5.6897 GBP
8,496 5.6898 GBP
20,985 5.6906 GBP
3,900 5.6921 GBP
1,475 5.7000 GBP
2,337 5.7027 GBP
76,013 5.7100 GBP
14,161 5.7103 GBP
5,765 7.3173 USD
206,021 7.3176 USD
275,000 7.3187 USD
-------------------- ------------------------- ------------------------- ---------------
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of Product Writing, Number of Exercise Type Expiry date Option money
relevant description purchasing, securities price per e.g. paid/
security e.g. call selling, to which unit American, received per
option varying etc. option European unit
relates etc.
Ordinary
Share
------------- ------------- ------------- -------------- ------------- ------------ -------------
(ii) Exercise
Class of relevant Product description Exercising/ exercised Number of securities Exercise price per
security e.g. call option against unit
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
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: 10 December 2019
Contact name: Alwyn Basch
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Telephone number: 020 7742 7407
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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 dealing disclosure
requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at
www.thetakeoverpanel.org.uk.
This information is provided by RNS, the news service of the
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Authority to act as a Primary Information Provider in the United
Kingdom. Terms and conditions relating to the use and distribution
of this information may apply. For further information, please
contact rns@lseg.com or visit www.rns.com.
END
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