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: 18 June 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: 28,678 0.02% 173,323 0.12%
           
(2) Cash-settled derivatives:
125,000 0.09% 740,183 0.51%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 14,900 0.01% 36,500 0.03%
           
 
TOTAL: 168,578 0.12% 950,006 0.65%

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 9 32.0400 USD
ORD Purchase 100 32.1000 USD
ORD Purchase 101 32.1400 USD
ORD Purchase 200 32.0700 USD
ORD Purchase 202 32.1202 USD
ORD Purchase 300 32.0066 USD
ORD Purchase 387 31.9457 USD
ORD Purchase 400 32.1350 USD
ORD Purchase 420 32.0821 USD
ORD Purchase 500 31.9986 USD
ORD Purchase 500 32.1399 USD
ORD Purchase 665 32.0656 USD
ORD Purchase 2,111 32.0898 USD
ORD Purchase 2,400 32.1476 USD
ORD Purchase 2,780 32.1702 USD
ORD Purchase 3,601 32.0632 USD
ORD Purchase 4,076 32.1055 USD
ORD Purchase 5,500 32.0593 USD
ORD Purchase 7,765 31.9783 USD
ORD Purchase 8,000 32.0978 USD
ORD Purchase 9,467 32.0704 USD
ORD Purchase 10,500 32.0402 USD
ORD Purchase 11,176 32.0401 USD
ORD Sale 100 32.1300 USD
ORD Sale 200 32.0700 USD
ORD Sale 200 32.1700 USD
ORD Sale 200 32.1719 USD
ORD Sale 240 32.0402 USD
ORD Sale 300 32.0766 USD
ORD Sale 300 32.0950 USD
ORD Sale 300 32.1600 USD
ORD Sale 300 32.1766 USD
ORD Sale 400 32.1500 USD
ORD Sale 400 32.1725 USD
ORD Sale 419 31.9253 USD
ORD Sale 571 32.0667 USD
ORD Sale 581 32.0500 USD
ORD Sale 600 32.0733 USD
ORD Sale 600 32.0800 USD
ORD Sale 600 32.1350 USD
ORD Sale 600 32.1683 USD
ORD Sale 681 32.0798 USD
ORD Sale 700 32.0271 USD
ORD Sale 700 32.1000 USD
ORD Sale 872 32.0660 USD
ORD Sale 880 32.1702 USD
ORD Sale 898 32.0892 USD
ORD Sale 1,050 32.1561 USD
ORD Sale 1,067 31.9600 USD
ORD Sale 1,300 32.0961 USD
ORD Sale 1,400 32.0914 USD
ORD Sale 1,400 32.1123 USD
ORD Sale 2,582 32.0196 USD
ORD Sale 2,666 32.0729 USD
ORD Sale 2,763 32.0551 USD
ORD Sale 4,026 31.9347 USD
ORD Sale 6,205 32.0951 USD
ORD Sale 6,500 32.0805 USD
ORD Sale 6,800 32.0983 USD
ORD Sale 10,478 32.0365 USD
ORD Sale 10,958 32.0401 USD

b) Cash-settled derivative transactions

Class of relevant security   Product description

e.g. CFD

  Nature of dealing

e.g. opening/closing a long/short position, increasing/reducing a long/short position

  Number of reference securities   Price per unit

(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 Selling 500 30 USD American 19 Jun 2015 2.1200 USD
ORD Call Options Selling 100 50 USD American 17 Jul 2015 0.5000 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: 19 Jun 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
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 21 Aug 2015
ORD Put Options Purchased -1,000 32.5000 American 21 Aug 2015
ORD Put Options Written 1,800 25.0000 American 21 Aug 2015
ORD Put Options Written 7,000 30.0000 American 21 Aug 2015
ORD Put Options Written 4,900 40.0000 American 20 Nov 2015
ORD Call Options Purchased 700 25.0000 American 21 Aug 2015
ORD Call Options Purchased 100 30.0000 American 20 Nov 2015
ORD Call Options Purchased 100 35.0000 American 20 Nov 2015
ORD Call Options Purchased 300 37.5000 American 21 Aug 2015
ORD Call Options Written -300 32.5000 American 19 Jun 2015
ORD Call Options Written -1,500 32.5000 American 21 Aug 2015
ORD Call Options Written -200 35.0000 American 19 Jun 2015
ORD Call Options Written -4,000 35.0000 American 17 Jul 2015
ORD Call Options Written -9,700 35.0000 American 21 Aug 2015
ORD Call Options Written -1,400 37.5000 American 19 Jun 2015
ORD Call Options Written -12,100 37.5000 American 20 Nov 2015
ORD Call Options Written -3,800 40.0000 American 19 Jun 2015
ORD Call Options Written -300 40.0000 American 21 Aug 2015
ORD Call Options Written -100 50.0000 American 17 Jul 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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Barclays (BARC)
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