Form 8.3 - ARRIS GROUP INC
BARCLAYS PLC
FORM 8.3 | Â | Â | Â | Â | Â | Â | Â | ||||||||
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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") | |||||||||||||||
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1. | KEY INFORMATION | Â | |||||||||||||
(a) | Full name of discloser: | Barclays PLC. | |||||||||||||
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(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 |
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 | 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: | 30 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 | |||||||||||||
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2. | POSITIONS OF THE PERSON MAKING THE DISCLOSURE | ||||||||||||||
(a) | Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any) | ||||||||||||||
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Class of relevant security: | Â | ORD | Â | Â | Â | ||||||||||
Interests | Â | Short Positions | Â | ||||||||||||
 |  | Number | (%) | Number | (%) | ||||||||||
(1) | Relevant securities owned | ||||||||||||||
and/or controlled: | 4,472 | 0.00% | 230,434 | 0.16% | |||||||||||
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(2) | Cash-settled derivatives: | ||||||||||||||
204,531 | 0.14% | 0 | 0.00% | ||||||||||||
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(3) | Stock-settled derivatives (including options) | ||||||||||||||
and agreements to purchase/sell: | 48,500 | 0.03% | 44,400 | 0.03% | |||||||||||
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(4) | |||||||||||||||
TOTAL: | 257,503 | 0.18% | 274,834 | 0.19% | |||||||||||
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(b) | Rights to subscribe for new securities (including directors and other executive | ||||||||||||||
 | options) | ||||||||||||||
Class of relevant security in relation to | |||||||||||||||
which subscription right exists | Â | ||||||||||||||
Details, including nature of the rights | |||||||||||||||
concerned and relevant percentages: | Â | ||||||||||||||
3. | DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE | Â | Â | ||||||||||||
(a) | Purchases and sales | Â | Â | ||||||||||||
Class of relevant | Purchase/sale | Number of | Price per unit | ||||||||||||
security | Â | securities | Â | ||||||||||||
ORD | Purchase | 67 | 33.6682 USD | ||||||||||||
ORD | Purchase | 67 | 33.8337 USD | ||||||||||||
ORD | Purchase | 100 | 33.6100 USD | ||||||||||||
ORD | Purchase | 100 | 33.6150 USD | ||||||||||||
ORD | Purchase | 100 | 33.6300 USD | ||||||||||||
ORD | Purchase | 100 | 34.3940 USD | ||||||||||||
ORD | Purchase | 122 | 33.6600 USD | ||||||||||||
ORD | Purchase | 180 | 33.6700 USD | ||||||||||||
ORD | Purchase | 190 | 34.5689 USD | ||||||||||||
ORD | Purchase | 200 | 33.5850 USD | ||||||||||||
ORD | Purchase | 200 | 34.1775 USD | ||||||||||||
ORD | Purchase | 302 | 33.6035 USD | ||||||||||||
ORD | Purchase | 798 | 33.6362 USD | ||||||||||||
ORD | Purchase | 800 | 33.5875 USD | ||||||||||||
ORD | Purchase | 2,600 | 33.6211 USD | ||||||||||||
ORD | Purchase | 2,900 | 33.6750 USD | ||||||||||||
ORD | Purchase | 3,900 | 34.1786 USD | ||||||||||||
ORD | Purchase | 11,800 | 34.6800 USD | ||||||||||||
ORD | Purchase | 12,000 | 33.9402 USD | ||||||||||||
ORD | Purchase | 13,655 | 34.3411 USD | ||||||||||||
ORD | Purchase | 16,411 | 34.0739 USD | ||||||||||||
ORD | Purchase | 16,500 | 34.2164 USD | ||||||||||||
ORD | Purchase | 16,881 | 34.0738 USD | ||||||||||||
ORD | Purchase | 17,135 | 34.0207 USD | ||||||||||||
ORD | Purchase | 17,600 | 34.0621 USD | ||||||||||||
ORD | Purchase | 26,791 | 33.9339 USD | ||||||||||||
ORD | Purchase | 26,791 | 33.9340 USD | ||||||||||||
ORD | Purchase | 32,236 | 33.9768 USD | ||||||||||||
ORD | Purchase | 42,510 | 34.0381 USD | ||||||||||||
ORD | Purchase | 58,684 | 33.9698 USD | ||||||||||||
ORD | Sale | 43 | 34.5001 USD | ||||||||||||
ORD | Sale | 60 | 33.9968 USD | ||||||||||||
ORD | Sale | 67 | 33.6682 USD | ||||||||||||
ORD | Sale | 67 | 33.8337 USD | ||||||||||||
ORD | Sale | 90 | 34.2900 USD | ||||||||||||
ORD | Sale | 100 | 33.6100 USD | ||||||||||||
ORD | Sale | 100 | 34.3800 USD | ||||||||||||
ORD | Sale | 100 | 34.3900 USD | ||||||||||||
ORD | Sale | 100 | 34.3940 USD | ||||||||||||
ORD | Sale | 100 | 34.8200 USD | ||||||||||||
ORD | Sale | 100 | 35.0100 USD | ||||||||||||
ORD | Sale | 103 | 33.4362 USD | ||||||||||||
ORD | Sale | 136 | 33.6750 USD | ||||||||||||
ORD | Sale | 157 | 34.2505 USD | ||||||||||||
ORD | Sale | 200 | 33.9750 USD | ||||||||||||
ORD | Sale | 200 | 34.1600 USD | ||||||||||||
ORD | Sale | 200 | 34.1775 USD | ||||||||||||
ORD | Sale | 301 | 33.4972 USD | ||||||||||||
ORD | Sale | 398 | 34.6893 USD | ||||||||||||
ORD | Sale | 500 | 33.9640 USD | ||||||||||||
ORD | Sale | 600 | 33.5550 USD | ||||||||||||
ORD | Sale | 600 | 34.4883 USD | ||||||||||||
ORD | Sale | 601 | 33.5218 USD | ||||||||||||
ORD | Sale | 700 | 33.8300 USD | ||||||||||||
ORD | Sale | 700 | 34.4700 USD | ||||||||||||
ORD | Sale | 800 | 34.4225 USD | ||||||||||||
ORD | Sale | 1,000 | 34.4240 USD | ||||||||||||
ORD | Sale | 1,127 | 33.6522 USD | ||||||||||||
ORD | Sale | 1,219 | 34.0794 USD | ||||||||||||
ORD | Sale | 1,300 | 33.6150 USD | ||||||||||||
ORD | Sale | 1,366 | 33.7956 USD | ||||||||||||
ORD | Sale | 1,400 | 33.9785 USD | ||||||||||||
ORD | Sale | 1,400 | 33.9835 USD | ||||||||||||
ORD | Sale | 1,500 | 33.6158 USD | ||||||||||||
ORD | Sale | 1,500 | 34.0846 USD | ||||||||||||
ORD | Sale | 2,212 | 34.4878 USD | ||||||||||||
ORD | Sale | 2,410 | 34.5106 USD | ||||||||||||
ORD | Sale | 2,600 | 33.9600 USD | ||||||||||||
ORD | Sale | 2,600 | 34.0151 USD | ||||||||||||
ORD | Sale | 3,200 | 33.9229 USD | ||||||||||||
ORD | Sale | 3,200 | 34.2128 USD | ||||||||||||
ORD | Sale | 3,503 | 33.5576 USD | ||||||||||||
ORD | Sale | 3,600 | 33.7154 USD | ||||||||||||
ORD | Sale | 4,567 | 34.3756 USD | ||||||||||||
ORD | Sale | 4,633 | 33.7438 USD | ||||||||||||
ORD | Sale | 4,922 | 33.6167 USD | ||||||||||||
ORD | Sale | 5,000 | 33.8682 USD | ||||||||||||
ORD | Sale | 5,000 | 34.1338 USD | ||||||||||||
ORD | Sale | 5,339 | 33.9105 USD | ||||||||||||
ORD | Sale | 5,700 | 33.7749 USD | ||||||||||||
ORD | Sale | 5,900 | 33.7311 USD | ||||||||||||
ORD | Sale | 6,100 | 33.8918 USD | ||||||||||||
ORD | Sale | 7,509 | 35.1959 USD | ||||||||||||
ORD | Sale | 7,852 | 33.9342 USD | ||||||||||||
ORD | Sale | 9,000 | 34.0184 USD | ||||||||||||
ORD | Sale | 11,800 | 34.6800 USD | ||||||||||||
ORD | Sale | 13,798 | 33.7094 USD | ||||||||||||
ORD | Sale | 15,200 | 34.2335 USD | ||||||||||||
ORD | Sale | 16,579 | 34.0064 USD | ||||||||||||
ORD | Sale | 16,600 | 33.7471 USD | ||||||||||||
ORD | Sale | 16,646 | 34.0738 USD | ||||||||||||
ORD | Sale | 26,791 | 33.9339 USD | ||||||||||||
ORD | Sale | 36,710 | 34.0863 USD | ||||||||||||
ORD | Sale | 69,911 | 33.9974 USD | ||||||||||||
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(b) | Cash-settled derivative transactions | Â | Â | Â | |||||||||||
Class of | Product | Nature of dealing | Number of | Price per | |||||||||||
relevant | description | reference | unit | ||||||||||||
security | Â | Â | securities | Â | |||||||||||
ORD | SWAP Expires 07/11/2016 | Long | 11,800 | 33.9301 USD | |||||||||||
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(c) | Stock-settled derivative transactions (including options) | ||||||||||||||
(i) | Writing, selling, purchasing or varying | Â | Â | Â | Â | Â | Â | ||||||||
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 | 300 | 37.5 USD | American | 21 Aug 2015 | 1.0000 USD | ||||||||
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(ii) | Exercising | Â | Â | Â | |||||||||||
Class of relevant | Product description | Exercising/ exercised against | Number of | Exercise price per | |||||||||||
security | Â | Â | securities | unit | |||||||||||
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(d) | Other dealings (including subscribing for new securities) | Â | Â | ||||||||||||
Class of relevant | Nature of Dealings | Details | Price per unit (if | ||||||||||||
security | Â | Â | applicable) | ||||||||||||
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4. | OTHER INFORMATION | ||||||||||||||
(a) | Indemnity and other dealings 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: | |||||||||||||||
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 of future acquisition or disposal of any relevant securities to which | |||||||||||||||
any derivative is referenced: | |||||||||||||||
NONE | |||||||||||||||
(c) | Attachments | ||||||||||||||
Is a Supplemental Form 8 (Open Positions) attached? | YES | ||||||||||||||
Date of disclosure: | 1 May 2015 | ||||||||||||||
Contact name: | Jay Supaya | ||||||||||||||
Telephone number: | 020 7773 0635 | ||||||||||||||
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SUPPLEMENTAL FORM 8 (OPEN POSITIONS) | |||||||||||||||
DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO | |||||||||||||||
PURCHASE OR SELL ETC. | |||||||||||||||
Note 5(i) on Rule 8 of the Takeover Code (the "Code") | |||||||||||||||
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1. | KEY INFORMATION | ||||||||||||||
Identity of the person whose positions/dealings | Barclays PLC. | ||||||||||||||
are being disclosed: | Â | ||||||||||||||
Name of offeror/offeree in relation to whose | ARRIS GROUP INC NEW | ||||||||||||||
relevant securities this from relates: | Â | ||||||||||||||
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2. | OPTIONS AND DERIVATIVES | Â | Â | Â | Â | Â | |||||||||
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 | Purchased | -100 | 32.5000 | American | 15 May 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 | 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 | 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 | |||||||||
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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: |