TIDM94DW TIDMSOPH
RNS Number : 0591B
Bank of Montreal
27 January 2020
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: Bank of Montreal
(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 Sophos Group plc
securities this form relates:
Use a separate form for each offeror/offeree
----------------------------------------------------------
(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: 24 January 2020
For an opening position disclosure, state the latest (Bank of Montreal amended positions and dealings
practicable date prior to the disclosure disclosed previously. Please see historical
position and dealing details in supplemental form at the
end of this disclosure)
----------------------------------------------------------
(f) In addition to the company in 1(c) above, is the N/A
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"
----------------------------------------------------------
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: 830,027 0.17
-------- ----- ---------- ------
(2) Cash-settled derivatives: 0 0.00
-------- ----- ---------- ------
(3) Stock-settled derivatives (including options) and agreements to
purchase/sell:
-------- ----- ---------- ------
TOTAL: 830,027 0.17 0 0.00
-------- ----- ---------- ------
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 security Purchase/sale Number of securities Price per unit
3p ordinary Sell 5,137,507 USD 7.37
-------------- --------------------- ---------------
(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
3p ordinary Swap Closing a short position 5,137,507 USD 7.37
-------------------- ------------------------- ------------------------- ---------------
(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.
(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
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: 27 January 2020
Contact name: Renate Ekre
-----------------
Telephone number*: +44 207 011 5210
-----------------
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.
Position amendment for trade date 13 November 2019, 22 November
2019, 03 December 2019, 04 December 2019, 05 December 2019, 10
December 2019, 13 December 2019, 16 December 2019, 20 December
2019, 06 January 2020, 08 January 2020, 13 January 2020, 20 January
2020, and 22 January 2020
Class of relevant security: 3p ordinary
------------------------------------ --------------------------------------
13 November 2019 Interests Short positions
------------------ ------------------
Number % Number %
----------- ----- ----------- -----
(1) Relevant securities
owned and/or controlled: 10,161,227 2.07
----------- ----- ----------- -----
(2) Cash-settled derivatives: 6,637,507 1.35
----------- ----- ----------- -----
(3) Stock-settled derivatives
(including options) and
agreements to purchase/sell:
----------- ----- ----------- -----
TOTAL: 10,161,227 2.07 6,637,507 1.35
----------- ----- ----------- -----
Bank of Montreal does not have discretion regarding dealing
and offer acceptance decisions in respect of 47,812 shares that
are included in the total above
Class of relevant security: 3p ordinary
------------------------------------ --------------------------------------
22 November 2019 Interests Short positions
------------------ ------------------
Number % Number %
----------- ----- ----------- -----
(1) Relevant securities
owned and/or controlled: 12,161,227 2.48
----------- ----- ----------- -----
(2) Cash-settled derivatives: 8,637,507 1.76
----------- ----- ----------- -----
(3) Stock-settled derivatives
(including options) and
agreements to purchase/sell:
----------- ----- ----------- -----
TOTAL: 12,161,227 2.48 8,637,507 1.76
----------- ----- ----------- -----
Bank of Montreal does not have discretion regarding dealing
and offer acceptance decisions in respect of 47,812 shares that
are included in the total above
Class of relevant security: 3p ordinary
------------------------------------ --------------------------------------
03 December 2019 Interests Short positions
------------------ ------------------
Number % Number %
----------- ----- ----------- -----
(1) Relevant securities
owned and/or controlled: 12,113,415 2.47
----------- ----- ----------- -----
(2) Cash-settled derivatives: 8,637,507 1.76
----------- ----- ----------- -----
(3) Stock-settled derivatives
(including options) and
agreements to purchase/sell:
----------- ----- ----------- -----
TOTAL: 12,113,415 2.47 8,637,507 1.76
----------- ----- ----------- -----
Class of relevant security: 3p ordinary
------------------------------------ --------------------------------------
04 December 2019 Interests Short positions
------------------ ------------------
Number % Number %
----------- ----- ----------- -----
(1) Relevant securities
owned and/or controlled: 12,110,434 2.47
----------- ----- ----------- -----
(2) Cash-settled derivatives: 8,637,507 1.76
----------- ----- ----------- -----
(3) Stock-settled derivatives
(including options) and
agreements to purchase/sell:
----------- ----- ----------- -----
TOTAL: 12,110,434 2.47 8,637,507 1.76
----------- ----- ----------- -----
Class of relevant security: 3p ordinary
------------------------------------ --------------------------------------
05 December 2019 Interests Short positions
------------------ ------------------
Number % Number %
----------- ----- ----------- -----
(1) Relevant securities
owned and/or controlled: 12,294,434 2.5
----------- ----- ----------- -----
(2) Cash-settled derivatives: 8,821,507 1.79
----------- ----- ----------- -----
(3) Stock-settled derivatives
(including options) and
agreements to purchase/sell:
----------- ----- ----------- -----
TOTAL: 12,294,434 2.5 8,821,507 1.79
----------- ----- ----------- -----
Class of relevant security: 3p ordinary
------------------------------------ --------------------------------------
10 December 2019 Interests Short positions
------------------ ------------------
Number % Number %
----------- ----- ----------- -----
(1) Relevant securities
owned and/or controlled: 12,743,845 2.59
----------- ----- ----------- -----
(2) Cash-settled derivatives: 9,260,418 1.88
----------- ----- ----------- -----
(3) Stock-settled derivatives
(including options) and
agreements to purchase/sell:
----------- ----- ----------- -----
TOTAL: 12,743,845 2.59 9,260,418 1.88
----------- ----- ----------- -----
Class of relevant security: 3p ordinary
------------------------------------ --------------------------------------
13 December 2019 Interests Short positions
------------------ ------------------
Number % Number %
----------- ----- ----------- -----
(1) Relevant securities
owned and/or controlled: 10,471,989 2.13
----------- ----- ----------- -----
(2) Cash-settled derivatives: 9,260,418 1.88
----------- ----- ----------- -----
(3) Stock-settled derivatives
(including options) and
agreements to purchase/sell:
----------- ----- ----------- -----
TOTAL: 10,471,989 2.13 9,260,418 1.88
----------- ----- ----------- -----
Class of relevant security: 3p ordinary
------------------------------------ --------------------------------------
16 December 2019 Interests Short positions
------------------ ------------------
Number % Number %
----------- ----- ----------- -----
(1) Relevant securities
owned and/or controlled: 10,067,695 2.05
----------- ----- ----------- -----
(2) Cash-settled derivatives: 9,260,418 1.88
----------- ----- ----------- -----
(3) Stock-settled derivatives
(including options) and
agreements to purchase/sell:
----------- ----- ----------- -----
TOTAL: 10,067,695 2.05 9,260,418 1.88
----------- ----- ----------- -----
Class of relevant security: 3p ordinary
------------------------------------ --------------------------------------
20 December 2019 Interests Short positions
------------------ ------------------
Number % Number %
----------- ----- ----------- -----
(1) Relevant securities
owned and/or controlled: 10,069,794 2.05
----------- ----- ----------- -----
(2) Cash-settled derivatives: 9,260,418 1.88
----------- ----- ----------- -----
(3) Stock-settled derivatives
(including options) and
agreements to purchase/sell:
----------- ----- ----------- -----
TOTAL: 10,069,794 2.05 9,260,418 1.88
----------- ----- ----------- -----
Class of relevant security: 3p ordinary
------------------------------------ --------------------------------------
06 January 2020 Interests Short positions
------------------ ------------------
Number % Number %
----------- ----- ----------- -----
(1) Relevant securities
owned and/or controlled: 9,885,794 2.01
----------- ----- ----------- -----
(2) Cash-settled derivatives: 9,076,418 1.84
----------- ----- ----------- -----
(3) Stock-settled derivatives
(including options) and
agreements to purchase/sell:
----------- ----- ----------- -----
TOTAL: 9,885,794 2.01 9,076,418 1.84
----------- ----- ----------- -----
Class of relevant security: 3p ordinary
------------------------------------ --------------------------------------
08 January 2020 Interests Short positions
------------------ ------------------
Number % Number %
----------- ----- ----------- -----
(1) Relevant securities
owned and/or controlled: 9,906,445 2.01
----------- ----- ----------- -----
(2) Cash-settled derivatives: 9,076,418 1.84
----------- ----- ----------- -----
(3) Stock-settled derivatives
(including options) and
agreements to purchase/sell:
----------- ----- ----------- -----
TOTAL: 9,906,445 2.01 9,076,418 1.84
----------- ----- ----------- -----
Class of relevant security: 3p ordinary
------------------------------------ --------------------------------------
13 January 2020 Interests Short positions
------------------ ------------------
Number % Number %
----------- ----- ----------- -----
(1) Relevant securities
owned and/or controlled: 8,406,445 1.71
----------- ----- ----------- -----
(2) Cash-settled derivatives: 7,576,418 1.54
----------- ----- ----------- -----
(3) Stock-settled derivatives
(including options) and
agreements to purchase/sell:
----------- ----- ----------- -----
TOTAL: 8,406,445 1.71 7,576,418 1.54
----------- ----- ----------- -----
Class of relevant security: 3p ordinary
------------------------------------ --------------------------------------
20 January 2020 Interests Short positions
------------------ ------------------
Number % Number %
----------- ----- ----------- -----
(1) Relevant securities
owned and/or controlled: 7,967,534 1.62
----------- ----- ----------- -----
(2) Cash-settled derivatives: 7,137,507 1.45
----------- ----- ----------- -----
(3) Stock-settled derivatives
(including options) and
agreements to purchase/sell:
----------- ----- ----------- -----
TOTAL: 7,967,534 1.62 7,137,507 1.45
----------- ----- ----------- -----
Class of relevant security: 3p ordinary
------------------------------------ --------------------------------------
22 January 2020 Interests Short positions
------------------ ------------------
Number % Number %
----------- ----- ----------- -----
(1) Relevant securities
owned and/or controlled: 5,967,534 1.21
----------- ----- ----------- -----
(2) Cash-settled derivatives: 5,137,507 1.04
----------- ----- ----------- -----
(3) Stock-settled derivatives
(including options) and
agreements to purchase/sell:
----------- ----- ----------- -----
TOTAL: 5,967,534 1.21 5,137,507 1.04
----------- ----- ----------- -----
Dealing amendment for trade date 13 November 2019, 22 November
2019, 05 December 2019, 10 December 2019, 06 January 2020, 13
January 2020, 20 January 2020, and 22 January 2020
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
Trade date Class of Purchase/sale Number of securities Price per
relevant unit
security
13 November 3p ordinary Purchase 1,500,000 USD 7.37
2019
------------ -------------- --------------------- ----------
22 November 3p ordinary Purchase 2,000,000 GBP 5.65
2019
------------ -------------- --------------------- ----------
05 December 3p ordinary Purchase 184,000 USD 7.38
2019
------------ -------------- --------------------- ----------
10 December 3p ordinary Purchase 438,911 GBP 5.57
2019
------------ -------------- --------------------- ----------
06 January 2020 3p ordinary Sell 184,000 USD 7.40
------------ -------------- --------------------- ----------
13 January 2020 3p ordinary Sell 1,500,000 USD 7.38
------------ -------------- --------------------- ----------
20 January 2020 3p ordinary Sell 438,911 GBP 5.66
------------ -------------- --------------------- ----------
22 January 2020 3p ordinary Sell 2,000,000 GBP 5.64
------------ -------------- --------------------- ----------
(b) Cash-settled derivative transactions
Trade date Class of Product Nature of dealing Number Price per
relevant description of reference unit
security securities
e.g. CFD e.g. opening/closing
a long/short
position, increasing/reducing
a long/short
position
------------- -------------------------------
13 November 3p ordinary Swap Opening a short 1,500,000 USD 7.37
2019 position
------------ ------------- ------------------------------- -------------- ----------
22 November 3p ordinary Swap Opening a short 2,000,000 GBP 5.65
2019 position
------------ ------------- ------------------------------- -------------- ----------
05 December 3p ordinary Swap Opening a short 184,000 USD 7.38
2019 position
------------ ------------- ------------------------------- -------------- ----------
10 December 3p ordinary Swap Opening a short 438,911 GBP 5.57
2019 position
------------ ------------- ------------------------------- -------------- ----------
06 January 3p ordinary Swap Closing a short 184,000 USD 7.40
2020 position
------------ ------------- ------------------------------- -------------- ----------
13 January 3p ordinary Swap Closing a short 1,500,000 USD 7.38
2020 position
------------ ------------- ------------------------------- -------------- ----------
20 January 3p ordinary Swap Closing a short 438,911 GBP 5.66
2020 position
------------ ------------- ------------------------------- -------------- ----------
22 January 3p ordinary Swap Closing a short 2,000,000 GBP 5.64
2020 position
------------ ------------- ------------------------------- -------------- ----------
(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.
(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
This information is provided by RNS, the news service of the
London Stock Exchange. RNS is approved by the Financial Conduct
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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