JPMorgan Securities Plc Form 8.5 (EPT/RI)- Sophos Group plc (5031E)

TIDMSOPH

RNS Number : 5031E

JPMorgan Securities Plc

28 February 2020

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 
                                                            ---------------------------------------------------------- 
 (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 
                                                            ---------------------------------------------------------- 
 (d) Date dealing undertaken:                                27 February 2020 
                                                            ---------------------------------------------------------- 
 (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               32,207                  5.7503 GBP               5.7060 GBP 
 
                                Sale                  53,049                 5.7500 GBP               5.7157 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                      6,685               5.7264 GBP 
                                                                                       2,130              5.7280 GBP 
                                                                                      16,239              5.7285 GBP 
                                                                                        400               5.7289 GBP 
                                                                                       3,429              5.7291 GBP 
                                                                                        548               5.7300 GBP 
                                                                                       3,196              5.7319 GBP 
                                                                                       1,368              5.7413 GBP 
                                                                                       6,462              5.7500 GBP 
 
                                                            Short                      1,887              5.7274 GBP 
                                                                                       4,982              5.7300 GBP 
                                                                                       1,988              5.7328 GBP 
                                                                                       1,640              5.7376 GBP 
                                                                                       1,583              5.7395 GBP 
                                                                                        450               5.7424 GBP 
                                                                                       5,741              5.7500 GBP 
                                                                                       1,344              5.7503 GBP 
                           --------------------  -------------------------  -------------------------  --------------- 
 
   (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:    28 February 2020 
 Contact name:          Alwyn Basch 
                       ----------------- 
 Telephone number:      020 7742 7407 
                       ----------------- 
 

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 [phone].

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 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 [e-mail] or visit www.rns.com.

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FERUWURRRVUUUAR

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February 28, 2020 05:27 ET (10:27 GMT)