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 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: 1 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: 54,367 0.04% 236,316 0.16%
           
(2) Cash-settled derivatives:
211,531 0.14% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 48,500 0.03% 44,400 0.03%
           
 
TOTAL: 314,398 0.22% 280,716 0.19%

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 34.1400 USD
ORD Purchase 2 34.0450 USD
ORD Purchase 20 33.6400 USD
ORD Purchase 100 33.9800 USD
ORD Purchase 200 34.0295 USD
ORD Purchase 300 33.8400 USD
ORD Purchase 700 33.8300 USD
ORD Purchase 1,102 34.1125 USD
ORD Purchase 1,500 33.9326 USD
ORD Purchase 2,400 33.8414 USD
ORD Purchase 3,008 34.0167 USD
ORD Purchase 5,616 33.8219 USD
ORD Purchase 6,398 33.7560 USD
ORD Purchase 6,845 33.8509 USD
ORD Purchase 7,000 33.8391 USD
ORD Purchase 7,300 33.8034 USD
ORD Purchase 7,439 33.8639 USD
ORD Purchase 8,000 33.8520 USD
ORD Purchase 8,692 33.8715 USD
ORD Purchase 8,769 33.8632 USD
ORD Purchase 11,800 33.6750 USD
ORD Purchase 12,975 33.8119 USD
ORD Purchase 25,500 33.8016 USD
ORD Purchase 29,900 33.8231 USD
ORD Purchase 39,300 34.1245 USD
ORD Purchase 49,466 33.8676 USD
ORD Purchase 58,315 33.8504 USD
ORD Sale 1 34.0200 USD
ORD Sale 2 34.1800 USD
ORD Sale 4 34.1212 USD
ORD Sale 8 33.7300 USD
ORD Sale 100 33.7100 USD
ORD Sale 100 33.7600 USD
ORD Sale 100 34.0700 USD
ORD Sale 105 34.3500 USD
ORD Sale 200 33.9850 USD
ORD Sale 200 34.0295 USD
ORD Sale 200 34.3600 USD
ORD Sale 400 33.9975 USD
ORD Sale 400 34.1122 USD
ORD Sale 600 33.6966 USD
ORD Sale 600 33.7566 USD
ORD Sale 600 33.8008 USD
ORD Sale 700 33.7321 USD
ORD Sale 700 33.8300 USD
ORD Sale 700 33.8371 USD
ORD Sale 900 33.8200 USD
ORD Sale 1,237 33.9473 USD
ORD Sale 1,800 34.0925 USD
ORD Sale 2,095 33.8019 USD
ORD Sale 2,846 33.9169 USD
ORD Sale 2,900 33.8317 USD
ORD Sale 3,100 33.8938 USD
ORD Sale 3,700 33.9354 USD
ORD Sale 4,700 33.7664 USD
ORD Sale 10,373 33.8417 USD
ORD Sale 11,800 33.6750 USD
ORD Sale 26,300 33.8071 USD
ORD Sale 27,800 33.8170 USD
ORD Sale 30,822 34.1971 USD
ORD Sale 50,000 33.8432 USD
ORD Sale 50,100 33.8433 USD
ORD Sale 72,442 33.8584 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 07/11/2016 Long 7,000 33.8641 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: 5 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.

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 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

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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