Form 8.3 - ARRIS GROUP INC
Form 8.3 - ARRIS GROUP INC
BARCLAYS PLC
| FORM 8.3 | Â | Â | Â | Â | Â | Â | Â | ||||||||
| Â | |||||||||||||||
| Â | |||||||||||||||
| 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") | |||||||||||||||
| Â | |||||||||||||||
| 1. | KEY INFORMATION | Â | |||||||||||||
| (a) | Full name of discloser: | Barclays PLC. | |||||||||||||
| Â | Â | Â | |||||||||||||
| (b) | Owner or controller of interest and short | ||||||||||||||
| Â | positions disclosed, if different from 1(a): | Â | |||||||||||||
| (c) | Name of offeror/offeree in relation to whose |
ARRIS GROUP INC |
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| Â | relevant securities this form relates: | Â | |||||||||||||
| (d) | If an exempt fund manager connected with an | ||||||||||||||
| offeror/offeree, state this and specify identity of | |||||||||||||||
| Â | offeror/offeree: | Â | |||||||||||||
| (e) | Date position held/dealing undertaken: | 2 July 2015 | |||||||||||||
| (f) | In addition to the company in 1(c) above, is the discloser making | YES: | |||||||||||||
| Â | disclosures in respect of any other party to the offer? | PACE PLC | |||||||||||||
| Â | |||||||||||||||
| 2. | POSITIONS OF THE PERSON MAKING THE DISCLOSURE | ||||||||||||||
| (a) | Interests and short positions in the relevant securities of the offeror or offeree | ||||||||||||||
| Â | to which the disclosure relates following the dealing (if any) | Â | Â | Â | Â | ||||||||||
| Class of relevant security: | Â | ORD | Â | Â | Â | ||||||||||
| Interests | Â | Short Positions | Â | ||||||||||||
| Â | Â | Number | (%) | Number | (%) | ||||||||||
| (1) | Relevant securities owned | ||||||||||||||
| and/or controlled: | 18,936 | 0.01% | 449,443 | 0.31% | |||||||||||
| Â | Â | Â | Â | Â | Â | ||||||||||
| (2) | Cash-settled derivatives: | ||||||||||||||
| 125,000 | 0.09% | 740,183 | 0.51% | ||||||||||||
| Â | Â | Â | Â | Â | Â | ||||||||||
| (3) | Stock-settled derivatives (including options) | ||||||||||||||
| and agreements to purchase/sell: | 17,300 | 0.01% | 32,700 | 0.02% | |||||||||||
| Â | Â | Â | Â | Â | Â | ||||||||||
| (4) | |||||||||||||||
| TOTAL: | 161,236 | 0.11% | 1,222,326 | 0.88% | |||||||||||
| Â | Â | Â | Â | Â | Â | ||||||||||
| (b) | Rights to subscribe for new securities (including directors and other executive | ||||||||||||||
| Â | 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 | 100 | 30.5500 USD | ||||||||||||
| ORD | Purchase | 100 | 30.7600 USD | ||||||||||||
| ORD | Purchase | 100 | 30.8700 USD | ||||||||||||
| ORD | Purchase | 135 | 30.8200 USD | ||||||||||||
| ORD | Purchase | 290 | 30.9268 USD | ||||||||||||
| ORD | Purchase | 400 | 30.9842 USD | ||||||||||||
| ORD | Purchase | 419 | 30.8362 USD | ||||||||||||
| ORD | Purchase | 600 | 30.8027 USD | ||||||||||||
| ORD | Purchase | 800 | 30.7599 USD | ||||||||||||
| ORD | Purchase | 1,031 | 30.7546 USD | ||||||||||||
| ORD | Purchase | 1,222 | 30.8032 USD | ||||||||||||
| ORD | Purchase | 1,371 | 30.8100 USD | ||||||||||||
| ORD | Purchase | 1,418 | 30.7650 USD | ||||||||||||
| ORD | Purchase | 1,500 | 30.8526 USD | ||||||||||||
| ORD | Purchase | 2,024 | 30.7884 USD | ||||||||||||
| ORD | Purchase | 2,244 | 30.7507 USD | ||||||||||||
| ORD | Purchase | 2,500 | 30.7956 USD | ||||||||||||
| ORD | Purchase | 3,503 | 30.8522 USD | ||||||||||||
| ORD | Purchase | 7,464 | 30.7824 USD | ||||||||||||
| ORD | Purchase | 9,071 | 30.8247 USD | ||||||||||||
| ORD | Purchase | 10,964 | 30.8441 USD | ||||||||||||
| ORD | Purchase | 10,964 | 30.8653 USD | ||||||||||||
| ORD | Sale | 27 | 30.8700 USD | ||||||||||||
| ORD | Sale | 100 | 30.7000 USD | ||||||||||||
| ORD | Sale | 100 | 30.7700 USD | ||||||||||||
| ORD | Sale | 100 | 31.0400 USD | ||||||||||||
| ORD | Sale | 100 | 31.0500 USD | ||||||||||||
| ORD | Sale | 100 | 31.1600 USD | ||||||||||||
| ORD | Sale | 200 | 30.7950 USD | ||||||||||||
| ORD | Sale | 200 | 30.8800 USD | ||||||||||||
| ORD | Sale | 320 | 30.6881 USD | ||||||||||||
| ORD | Sale | 356 | 30.6268 USD | ||||||||||||
| ORD | Sale | 373 | 30.8341 USD | ||||||||||||
| ORD | Sale | 600 | 30.8263 USD | ||||||||||||
| ORD | Sale | 700 | 30.7955 USD | ||||||||||||
| ORD | Sale | 700 | 30.7957 USD | ||||||||||||
| ORD | Sale | 1,100 | 30.8641 USD | ||||||||||||
| ORD | Sale | 1,200 | 30.7802 USD | ||||||||||||
| ORD | Sale | 1,322 | 30.9887 USD | ||||||||||||
| ORD | Sale | 1,525 | 30.8696 USD | ||||||||||||
| ORD | Sale | 1,800 | 30.7956 USD | ||||||||||||
| ORD | Sale | 2,300 | 30.8956 USD | ||||||||||||
| ORD | Sale | 2,749 | 30.7632 USD | ||||||||||||
| ORD | Sale | 9,857 | 30.7434 USD | ||||||||||||
| ORD | Sale | 10,734 | 30.8442 USD | ||||||||||||
| ORD | Sale | 11,194 | 30.8441 USD | ||||||||||||
| ORD | Sale | 81,041 | 30.8100 USD | ||||||||||||
| Â | |||||||||||||||
| (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 08/10/2015 | Long | 81,000 | 30.8100 USD | |||||||||||
| Â | |||||||||||||||
| (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 | ||||||||||||||
| Â | Â | Â | relates | Â | Â | Â | Â | ||||||||
| Â | Â | Â | Â | Â | Â | Â | Â | ||||||||
| Â | |||||||||||||||
| (ii) | Exercising | Â | Â | Â | |||||||||||
| Class of relevant | Product description | Exercising/ exercised against | Number of | Exercise price per | |||||||||||
| security | Â | Â | securities | unit | |||||||||||
| Â | Â | Â | Â | Â | |||||||||||
| Â | |||||||||||||||
| (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) | ||||||||||||
| Â | Â | Â | Â | ||||||||||||
| 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: | |||||||||||||||
| Â | |||||||||||||||
| Â | |||||||||||||||
| Â | |||||||||||||||
| 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: |
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| NONE | |||||||||||||||
| (c) | Attachments | ||||||||||||||
| Is a Supplemental Form 8 (Open Positions) attached? | YES | ||||||||||||||
| Date of disclosure: | 3 Jul 2015 | ||||||||||||||
| Contact name: | Jay Supaya | ||||||||||||||
| Telephone number: | 020 7773 0635 | ||||||||||||||
| Â | |||||||||||||||
| 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") | |||||||||||||||
| Â | |||||||||||||||
| 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 | ||||||||||||||
| relevant securities this from relates: | Â | ||||||||||||||
| Â | |||||||||||||||
| 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 | |||||||||||||||
| Â | Â | Â | relates | Â | Â | Â | |||||||||
| ORD | Put Options | Purchased | -2,100 | 27.5000 | American | 21 Aug 2015 | |||||||||
| ORD | Put Options | Purchased | -100 | 30.0000 | American | 17 Jul 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 | 2,400 | 32.5000 | 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 | -500 | 32.5000 | American | 17 Jul 2015 | |||||||||
| ORD | Call Options | Written | -1,500 | 32.5000 | American | 21 Aug 2015 | |||||||||
| ORD | Call Options | Written | -3,500 | 35.0000 | American | 17 Jul 2015 | |||||||||
| ORD | Call Options | Written | -11,500 | 35.0000 | American | 21 Aug 2015 | |||||||||
| ORD | Call Options | Written | -12,100 | 37.5000 | American | 20 Nov 2015 | |||||||||
| ORD | Call Options | Written | -300 | 40.0000 | American | 21 Aug 2015 | |||||||||
| ORD | Call Options | Written | -100 | 50.0000 | American | 17 Jul 2015 | |||||||||
| Â | |||||||||||||||
| 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: | |||||||||||||||
View source version on businesswire.com: http://www.businesswire.com/news/home/20150703005138/en/
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