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: 27 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% 190,358 0.13%
           
(2) Cash-settled derivatives:
241,065 0.17% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 46,800 0.03% 44,300 0.03%
           
 
TOTAL: 292,157 0.20% 234,658 0.16%

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 97 34.9900 USD
ORD Purchase 100 34.9750 USD
ORD Purchase 100 34.9950 USD
ORD Purchase 200 35.3050 USD
ORD Purchase 200 35.4000 USD
ORD Purchase 601 34.9850 USD
ORD Purchase 724 34.9911 USD
ORD Purchase 800 34.9740 USD
ORD Purchase 1,179 35.3974 USD
ORD Purchase 1,500 35.2866 USD
ORD Purchase 1,760 35.0980 USD
ORD Purchase 2,015 35.3614 USD
ORD Purchase 2,143 35.3332 USD
ORD Purchase 2,236 35.3786 USD
ORD Purchase 2,675 35.1068 USD
ORD Purchase 2,901 35.3855 USD
ORD Purchase 3,000 35.2417 USD
ORD Purchase 4,035 35.3762 USD
ORD Purchase 4,054 35.0315 USD
ORD Purchase 4,144 35.2164 USD
ORD Purchase 4,493 35.0829 USD
ORD Purchase 4,800 35.0585 USD
ORD Purchase 6,011 35.1479 USD
ORD Purchase 6,309 34.8941 USD
ORD Purchase 8,877 35.2391 USD
ORD Purchase 10,482 34.9072 USD
ORD Purchase 10,600 35.1616 USD
ORD Purchase 11,118 34.9800 USD
ORD Purchase 11,800 35.7600 USD
ORD Purchase 14,832 35.1361 USD
ORD Purchase 26,600 35.0742 USD
ORD Purchase 27,773 35.3543 USD
ORD Purchase 29,500 35.0906 USD
ORD Purchase 40,416 35.1030 USD
ORD Purchase 45,764 35.2882 USD
ORD Purchase 102,673 35.0821 USD
ORD Sale 7 34.9500 USD
ORD Sale 100 34.9250 USD
ORD Sale 100 35.2800 USD
ORD Sale 174 35.0558 USD
ORD Sale 196 34.9926 USD
ORD Sale 200 34.7403 USD
ORD Sale 200 34.8950 USD
ORD Sale 200 34.9100 USD
ORD Sale 200 34.9125 USD
ORD Sale 200 34.9750 USD
ORD Sale 200 34.9950 USD
ORD Sale 200 35.0100 USD
ORD Sale 201 34.9601 USD
ORD Sale 201 34.9849 USD
ORD Sale 300 34.8900 USD
ORD Sale 300 34.9700 USD
ORD Sale 400 34.9000 USD
ORD Sale 500 34.9140 USD
ORD Sale 500 34.9180 USD
ORD Sale 541 34.9163 USD
ORD Sale 599 34.9775 USD
ORD Sale 600 34.9850 USD
ORD Sale 600 35.0583 USD
ORD Sale 600 35.1500 USD
ORD Sale 691 34.9390 USD
ORD Sale 724 34.9911 USD
ORD Sale 800 34.9740 USD
ORD Sale 801 34.9637 USD
ORD Sale 1,300 34.9707 USD
ORD Sale 1,900 35.1873 USD
ORD Sale 2,800 34.9021 USD
ORD Sale 3,100 35.0387 USD
ORD Sale 3,369 34.9859 USD
ORD Sale 4,101 35.2071 USD
ORD Sale 4,444 34.8741 USD
ORD Sale 4,700 35.0524 USD
ORD Sale 5,241 34.9072 USD
ORD Sale 6,300 35.1130 USD
ORD Sale 6,600 35.0386 USD
ORD Sale 7,866 34.9890 USD
ORD Sale 10,017 34.9800 USD
ORD Sale 11,800 35.7600 USD
ORD Sale 12,100 35.1142 USD
ORD Sale 12,211 35.0819 USD
ORD Sale 16,325 35.1452 USD
ORD Sale 20,208 35.0788 USD
ORD Sale 20,208 35.1030 USD
ORD Sale 20,300 35.0622 USD
ORD Sale 20,400 35.0989 USD
ORD Sale 20,646 35.1124 USD
ORD Sale 58,864 35.0783 USD
ORD Sale 126,746 35.2783 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 35.0872 USD

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

(i) Writing, selling, purchasing or varying

Class of relevant security   Product description e.g. call option   Writing, purchasing, selling, varying etc.   Number of securities to which option relates   Exercise price per unit   Type

e.g. American, European etc.

  Expiry date   Option money paid/ received per unit

(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: 28 Apr 2015
Contact name: James Gibson
Telephone number: 020 3555 4619

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
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.

Companies

Barclays (BARC)
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