Form 8.3 - ARRIS GROUP INC

Form 8.3 - ARRIS GROUP INC

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
  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: 24 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: 4,292 0.00% 174,989 0.12%
           
(2) Cash-settled derivatives:
229,265 0.16% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 46,800 0.03% 44,300 0.03%
           
(4)
TOTAL: 280,357 0.19% 219,289 0.15%

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 1 35.7900 USD
ORD Purchase 5 35.7530 USD
ORD Purchase 100 35.7700 USD
ORD Purchase 115 35.9826 USD
ORD Purchase 200 35.6100 USD
ORD Purchase 200 35.6250 USD
ORD Purchase 242 35.9813 USD
ORD Purchase 503 35.5276 USD
ORD Purchase 560 35.7600 USD
ORD Purchase 696 35.7335 USD
ORD Purchase 700 35.6414 USD
ORD Purchase 1,500 35.7716 USD
ORD Purchase 2,016 35.6633 USD
ORD Purchase 2,049 35.5316 USD
ORD Purchase 3,100 35.7070 USD
ORD Purchase 5,754 35.8733 USD
ORD Purchase 6,432 35.6348 USD
ORD Purchase 7,400 35.6325 USD
ORD Purchase 8,981 35.8295 USD
ORD Purchase 10,100 35.5868 USD
ORD Purchase 10,812 35.8087 USD
ORD Purchase 10,900 35.7058 USD
ORD Purchase 11,532 35.6195 USD
ORD Purchase 11,800 37.3000 USD
ORD Purchase 14,309 35.7016 USD
ORD Purchase 18,052 35.6421 USD
ORD Purchase 21,177 35.7978 USD
ORD Purchase 23,750 35.7479 USD
ORD Purchase 24,149 35.6555 USD
ORD Purchase 28,400 35.6413 USD
ORD Purchase 29,600 35.6590 USD
ORD Purchase 276,025 35.7305 USD
ORD Sale 31 35.9900 USD
ORD Sale 41 35.5100 USD
ORD Sale 64 35.7700 USD
ORD Sale 84 35.9800 USD
ORD Sale 100 35.7300 USD
ORD Sale 115 35.9826 USD
ORD Sale 200 35.6100 USD
ORD Sale 200 35.6250 USD
ORD Sale 200 35.7900 USD
ORD Sale 264 35.7613 USD
ORD Sale 300 35.6400 USD
ORD Sale 309 35.7088 USD
ORD Sale 324 35.7444 USD
ORD Sale 338 35.7798 USD
ORD Sale 348 35.7335 USD
ORD Sale 400 35.6525 USD
ORD Sale 467 35.7284 USD
ORD Sale 482 35.5975 USD
ORD Sale 500 35.5300 USD
ORD Sale 500 35.6760 USD
ORD Sale 500 35.8120 USD
ORD Sale 599 35.7600 USD
ORD Sale 600 35.6256 USD
ORD Sale 800 35.8003 USD
ORD Sale 800 35.8500 USD
ORD Sale 801 35.7765 USD
ORD Sale 1,000 35.5890 USD
ORD Sale 1,000 35.7201 USD
ORD Sale 1,300 35.7869 USD
ORD Sale 1,956 35.8644 USD
ORD Sale 2,094 35.7721 USD
ORD Sale 2,107 35.6537 USD
ORD Sale 2,440 35.7337 USD
ORD Sale 2,700 35.6855 USD
ORD Sale 3,113 35.7288 USD
ORD Sale 4,822 35.8019 USD
ORD Sale 4,900 35.7067 USD
ORD Sale 6,393 35.6466 USD
ORD Sale 6,600 35.6163 USD
ORD Sale 9,600 35.9659 USD
ORD Sale 11,800 37.3000 USD
ORD Sale 14,100 35.7107 USD
ORD Sale 14,920 35.7887 USD
ORD Sale 15,500 35.6120 USD
ORD Sale 15,570 35.5685 USD
ORD Sale 16,346 35.5887 USD
ORD Sale 20,066 35.8291 USD
ORD Sale 26,600 35.6369 USD
ORD Sale 39,900 35.6615 USD
ORD Sale 50,181 35.7406 USD
ORD Sale 83,510 35.7150 USD
ORD Sale 166,949 35.7206 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 31/10/2016 Long 11,800 35.6550 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 21,000 37.5 USD American 15 May 2015 0.5710 USD
ORD Call Options Selling 20,300 35 USD American 15 May 2015 1.6217 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: 27 Apr 2015
Contact name: RAJESH MUTHANNA
Telephone number: 020 3555 4634

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
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 Purchased 20,300 37.5000 American 15 May 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.

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