Form 8.3 - ARRIS GROUP INC NEW

Form 8.3 - ARRIS GROUP INC NEW

BARCLAYS PLC

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:   Barclays PLC.
     
(b) Owner or controller of interest and short
  positions disclosed, if different from 1(a):  
(c) Name of offeror/offeree in relation to whose ARRIS GROUP INC NEW
  relevant securities this form relates:  
(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: 23 April 2015
(f) In addition to the company in 1(c) above, is the discloser making YES:
  disclosures in respect of any other party to the offer? PACE PLC

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:       ORD
Interests   Short Positions
    Number   (%) Number   (%)
(1) Relevant securities owned
and/or controlled: 54,556 0.04% 171,579 0.12%
           
(2) Cash-settled derivatives:
217,465 0.15% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 26,500 0.02% 24,700 0.02%
           
 
TOTAL: 298,521 0.20% 196,279 0.13%

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   Purchase/sale   Number of   Price per unit
security   securities  
ORD Purchase 5 37.2440 USD
ORD Purchase 6 37.2550 USD
ORD Purchase 48 36.8900 USD
ORD Purchase 68 36.8100 USD
ORD Purchase 70 36.9900 USD
ORD Purchase 100 36.5900 USD
ORD Purchase 100 36.7800 USD
ORD Purchase 103 37.2791 USD
ORD Purchase 200 36.9700 USD
ORD Purchase 200 37.0750 USD
ORD Purchase 300 36.9461 USD
ORD Purchase 348 36.9446 USD
ORD Purchase 422 37.0561 USD
ORD Purchase 500 37.0700 USD
ORD Purchase 600 36.6563 USD
ORD Purchase 600 36.6883 USD
ORD Purchase 600 37.2541 USD
ORD Purchase 762 36.7393 USD
ORD Purchase 800 36.9099 USD
ORD Purchase 1,000 37.1590 USD
ORD Purchase 1,100 37.1054 USD
ORD Purchase 1,146 36.9497 USD
ORD Purchase 1,500 36.8453 USD
ORD Purchase 2,403 37.2741 USD
ORD Purchase 3,206 37.0754 USD
ORD Purchase 3,236 37.0028 USD
ORD Purchase 3,800 37.0084 USD
ORD Purchase 4,300 36.6314 USD
ORD Purchase 6,255 36.9705 USD
ORD Purchase 11,300 36.9504 USD
ORD Purchase 11,600 36.8360 USD
ORD Purchase 12,700 36.9950 USD
ORD Purchase 14,300 36.9690 USD
ORD Purchase 17,852 36.8112 USD
ORD Purchase 26,801 36.9431 USD
ORD Purchase 28,860 36.8846 USD
ORD Purchase 30,029 36.7536 USD
ORD Purchase 33,800 30.5400 USD
ORD Purchase 37,990 36.8396 USD
ORD Purchase 58,400 36.9372 USD
ORD Purchase 64,223 36.6803 USD
ORD Purchase 72,600 36.9828 USD
ORD Purchase 142,111 36.9528 USD
ORD Purchase 146,075 36.9838 USD
ORD Purchase 188,764 36.6538 USD
ORD Sale 100 36.2600 USD
ORD Sale 100 36.6350 USD
ORD Sale 100 36.9000 USD
ORD Sale 100 36.9550 USD
ORD Sale 100 37.2700 USD
ORD Sale 100 37.3900 USD
ORD Sale 100 37.4000 USD
ORD Sale 100 37.4100 USD
ORD Sale 170 37.0000 USD
ORD Sale 200 36.7800 USD
ORD Sale 200 37.3200 USD
ORD Sale 300 37.0150 USD
ORD Sale 300 37.0300 USD
ORD Sale 300 37.2733 USD
ORD Sale 348 36.9446 USD
ORD Sale 348 36.9447 USD
ORD Sale 400 37.1075 USD
ORD Sale 556 36.9109 USD
ORD Sale 587 36.9361 USD
ORD Sale 600 36.6563 USD
ORD Sale 600 36.6883 USD
ORD Sale 600 37.2541 USD
ORD Sale 697 37.1277 USD
ORD Sale 700 36.8828 USD
ORD Sale 902 36.8644 USD
ORD Sale 1,000 37.1515 USD
ORD Sale 1,075 37.0997 USD
ORD Sale 1,200 36.4266 USD
ORD Sale 1,200 36.9325 USD
ORD Sale 1,300 36.9877 USD
ORD Sale 1,300 37.3050 USD
ORD Sale 1,300 37.3065 USD
ORD Sale 1,531 37.0084 USD
ORD Sale 1,650 37.0036 USD
ORD Sale 1,700 37.0400 USD
ORD Sale 2,200 37.1804 USD
ORD Sale 2,700 37.0918 USD
ORD Sale 2,900 37.0582 USD
ORD Sale 3,089 36.7684 USD
ORD Sale 3,900 37.1351 USD
ORD Sale 4,820 37.0477 USD
ORD Sale 5,100 37.1509 USD
ORD Sale 5,494 36.9929 USD
ORD Sale 5,800 37.0767 USD
ORD Sale 6,000 37.0618 USD
ORD Sale 6,200 36.9318 USD
ORD Sale 6,900 37.0940 USD
ORD Sale 7,500 37.1962 USD
ORD Sale 9,572 37.0861 USD
ORD Sale 10,460 37.0183 USD
ORD Sale 12,700 36.9950 USD
ORD Sale 13,661 36.7627 USD
ORD Sale 14,400 37.0095 USD
ORD Sale 17,291 36.9749 USD
ORD Sale 17,511 37.1193 USD
ORD Sale 24,700 36.8600 USD
ORD Sale 24,994 36.9737 USD
ORD Sale 28,751 36.8800 USD
ORD Sale 33,800 30.5400 USD
ORD Sale 40,720 36.9688 USD
ORD Sale 42,000 36.9806 USD
ORD Sale 52,800 36.9697 USD
ORD Sale 55,769 36.9072 USD
ORD Sale 75,322 36.9609 USD
ORD Sale 340,980 36.7227 USD

(b) Cash-settled derivative transactions

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD SWAP Expires 28/10/2016 Long 11,800 37.0549 USD
ORD SWAP Expires 28/07/2015 Long 71,934 30.9450 USD

(c) Stock-settled derivative transactions (including options)

(i) Writing, selling, purchasing or varying

Class   Product   Writing,   Number   Exercise   Type   Expiry   Option
of description purchasing, of price date money
relevant selling, securities per unit paid/
security varying etc to which received
option per unit
      relates        
ORD Call Options Purchasing 100 30 USD American 20 Nov 2015 7.3000 USD
ORD Call Options Purchasing 300 32.5 USD American 19 Jun 2015 4.1000 USD
ORD Call Options Purchasing 100 37.5 USD American 15 May 2015 1.0000 USD
ORD Call Options Selling 100 30 USD American 15 May 2015 6.8000 USD
ORD Call Options Selling 100 32.5 USD American 15 May 2015 4.4000 USD
ORD Call Options Selling 9,400 35 USD American 15 May 2015 2.8909 USD
ORD Call Options Selling 200 35 USD American 19 Jun 2015 3.2800 USD
ORD Call Options Selling 800 37.5 USD American 15 May 2015 1.4250 USD
ORD Call Options Selling 1,400 37.5 USD American 19 Jun 2015 1.7500 USD
ORD Call Options Selling 5,300 40 USD American 15 May 2015 0.4867 USD
ORD Call Options Selling 3,800 40 USD American 19 Jun 2015 0.8105 USD
ORD Put Options Purchasing 100 27.5 USD American 15 May 2015 0.1000 USD
ORD Put Options Selling 2,000 25 USD American 21 Aug 2015 0.5000 USD
ORD Put Options Selling 600 30 USD American 15 May 2015 0.1250 USD
ORD Put Options Selling 100 35 USD American 15 May 2015 0.5500 USD
ORD Put Options Selling 2,500 35 USD American 21 Aug 2015 1.8500 USD
ORD Put Options Selling 4,200 37.5 USD American 15 May 2015 2.0345 USD

(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)

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”

(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”

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached?   YES
Date of disclosure: 24 Apr 2015
Contact name: Jay Supaya
Telephone number: 020 7773 0635

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 monitoring@disclosure.org.uk. 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.

SUPPLEMENTAL FORM 8 (OPEN POSITIONS)

DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the “Code”)

1. KEY INFORMATION

Identity of the person whose positions/dealings   Barclays PLC.
are being disclosed:  
Name of offeror/offeree in relation to whose ARRIS GROUP INC NEW
relevant securities this from relates:  

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

Class   Product   Writing,   Number   Exercise   Type   Expiry
of description purchasing, of price date
relevant selling, securities per unit
security varying etc to which
option
      relates      
ORD Put Options Purchased -2,100 27.5000 American 15 May 2015
ORD Put Options Purchased -2,100 27.5000 American 21 Aug 2015
ORD Put Options Purchased -900 30.0000 American 21 Aug 2015
ORD Put Options Written 2,100 25.0000 American 15 May 2015
ORD Put Options Written 1,800 25.0000 American 21 Aug 2015
ORD Put Options Written 300 30.0000 American 15 May 2015
ORD Put Options Written 100 35.0000 American 15 May 2015
ORD Put Options Written 4,200 37.5000 American 15 May 2015
ORD Call Options Purchased 700 25.0000 American 21 Aug 2015
ORD Call Options Purchased 13,500 30.0000 American 15 May 2015
ORD Call Options Purchased 100 30.0000 American 20 Nov 2015
ORD Call Options Purchased 1,500 32.5000 American 15 May 2015
ORD Call Options Purchased 300 32.5000 American 19 Jun 2015
ORD Call Options Purchased 1,800 35.0000 American 21 Aug 2015
ORD Call Options Purchased 100 35.0000 American 20 Nov 2015
ORD Call Options Written -500 22.5000 American 15 May 2015
ORD Call Options Written -100 25.0000 American 15 May 2015
ORD Call Options Written -600 27.5000 American 15 May 2015
ORD Call Options Written -900 32.5000 American 21 Aug 2015
ORD Call Options Written -6,100 35.0000 American 15 May 2015
ORD Call Options Written -200 35.0000 American 19 Jun 2015
ORD Call Options Written -700 37.5000 American 15 May 2015
ORD Call Options Written -1,400 37.5000 American 19 Jun 2015
ORD Call Options Written -5,300 40.0000 American 15 May 2015
ORD Call Options Written -3,800 40.0000 American 19 Jun 2015

3. AGREEMENTS TO PURCHASE OR SELL ETC.

Full details should be given so that the nature of the interest or position can be fully understood:

It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to cash-settled derivatives.

The currency of all prices and other monetary amounts should be stated.

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.

Companies

Barclays (BARC)
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