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: 6 May 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: 4,081 0.00% 262,434 0.18%
           
(2) Cash-settled derivatives:
254,835 0.17% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 49,500 0.03% 44,300 0.03%
           
 
TOTAL: 308,416 0.21% 306,734 0.21%

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 66 33.1845 USD
ORD Purchase 81 33.4100 USD
ORD Purchase 100 32.9900 USD
ORD Purchase 100 33.3600 USD
ORD Purchase 100 33.4150 USD
ORD Purchase 100 33.6350 USD
ORD Purchase 172 33.6200 USD
ORD Purchase 172 33.6400 USD
ORD Purchase 200 33.1600 USD
ORD Purchase 300 33.6466 USD
ORD Purchase 400 33.3500 USD
ORD Purchase 700 33.4271 USD
ORD Purchase 800 33.1362 USD
ORD Purchase 932 33.3408 USD
ORD Purchase 1,000 33.3840 USD
ORD Purchase 1,000 33.6485 USD
ORD Purchase 1,019 33.3782 USD
ORD Purchase 2,800 33.3558 USD
ORD Purchase 3,200 33.2968 USD
ORD Purchase 3,700 33.4796 USD
ORD Purchase 5,500 33.6087 USD
ORD Purchase 7,000 34.0800 USD
ORD Purchase 8,600 33.4758 USD
ORD Purchase 11,319 33.3260 USD
ORD Purchase 13,135 33.3164 USD
ORD Purchase 13,843 33.4400 USD
ORD Purchase 14,843 33.2674 USD
ORD Purchase 17,100 33.5148 USD
ORD Purchase 18,490 33.3103 USD
ORD Purchase 65,111 33.3552 USD
ORD Sale 100 33.2800 USD
ORD Sale 100 33.3600 USD
ORD Sale 172 33.6400 USD
ORD Sale 200 33.1600 USD
ORD Sale 240 33.3683 USD
ORD Sale 300 33.3083 USD
ORD Sale 300 33.3100 USD
ORD Sale 300 33.3650 USD
ORD Sale 300 33.3766 USD
ORD Sale 401 33.2700 USD
ORD Sale 466 33.3408 USD
ORD Sale 466 33.4460 USD
ORD Sale 530 33.3488 USD
ORD Sale 600 33.3016 USD
ORD Sale 700 33.3921 USD
ORD Sale 800 33.2787 USD
ORD Sale 860 33.3716 USD
ORD Sale 900 33.2444 USD
ORD Sale 1,100 33.3718 USD
ORD Sale 1,400 33.3114 USD
ORD Sale 1,589 33.6462 USD
ORD Sale 3,900 33.4905 USD
ORD Sale 4,468 33.2950 USD
ORD Sale 5,000 33.3776 USD
ORD Sale 6,500 33.4827 USD
ORD Sale 6,621 33.3391 USD
ORD Sale 7,000 34.0800 USD
ORD Sale 10,400 33.5514 USD
ORD Sale 13,892 33.4385 USD
ORD Sale 16,800 33.5184 USD
ORD Sale 21,652 33.4400 USD
ORD Sale 109,179 33.3250 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 11/08/2015 Long 21,652 33.4400 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 Put Options Selling 500 32.5 USD American 15 May 2015 0.3500 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: 7 May 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.

143221.01

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 400 30.0000 American 15 May 2015
ORD Put Options Written 400 32.5000 American 15 May 2015
ORD Put Options Written 400 35.0000 American 15 May 2015
ORD Put Options Written 4,200 37.5000 American 15 May 2015
ORD Put Options Written 600 40.0000 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 Purchased 21,300 37.5000 American 15 May 2015
ORD Call Options Purchased 300 37.5000 American 21 Aug 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 -26,400 35.0000 American 15 May 2015
ORD Call Options Written -200 35.0000 American 19 Jun 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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