Sophos Group Plc Holding(s) in Company (5397E)
28 Février 2020 - 2:53PM
UK Regulatory
TIDMSOPH
RNS Number : 5397E
Sophos Group Plc
28 February 2020
TR-1: S tandard form for notification of major holdings
NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and
to the FCA in Microsoft Word format if possible) (i)
1a. Identity of the issuer or the Sophos Group plc
underlying issuer of existing shares
to which voting rights are attached
(ii) :
--------------------------------------------
1b. Please indicate if the issuer is a non-UK issuer (please mark with
an "X" if appropriate)
Non-UK issuer
----
2. Reason for the notification (please mark the appropriate box or boxes
with an "X")
An acquisition or disposal of voting rights
----
An acquisition or disposal of financial instruments
----
An event changing the breakdown of voting rights X
----
Other (please specify)(iii) :
----
3. Details of person subject to the notification obligation (iv)
Name HBK Investments L.P.
City and country of registered office National Corporate Research, Ltd.
(if applicable) 615 South Dupont Highway
Dover, Delaware 19901, US
4. Full name of shareholder(s) (if different from 3.) (v)
Name Credit Suisse Securities (USA) LLC.
(in respect of holding in ordinary
shares only)
--------------------------------------------
City and country of registered office Delaware, USA
(if applicable)
--------------------------------------------
5. Date on which the threshold was 27/02/2020
crossed or reached (vi) :
--------------------------------------------
6. Date on which issuer notified (DD/MM/YYYY): 28/02/2020
--------------------------------------------
7. Total positions of person(s) subject to the notification obligation
% of voting % of voting rights Total of both Total number
rights attached through financial in % (8.A + of voting rights
to shares (total instruments 8.B) of issuer (vii)
of 8. A) (total of 8.B
1 + 8.B 2)
------------------ --------------------- -------------- --------------------
Resulting situation
on the date
on which threshold
was crossed
or reached 0.00% 10.56% 10.56% 515,319,328
------------------ --------------------- -------------- --------------------
Position of
previous notification
(if
applicable) 0.00% 11.06% 11.06%
------------------ --------------------- -------------- --------------------
8. Notified details of the resulting situation on the date on which
the threshold was crossed or reached (viii)
A: Voting rights attached to shares
Class/type of Number of voting rights % of voting rights
shares (ix)
ISIN code (if
possible)
Direct Indirect Direct Indirect
(Art 9 of Directive (Art 10 of Directive (Art 9 of Directive (Art 10 of Directive
2004/109/EC) 2004/109/EC) 2004/109/EC) (DTR5.1) 2004/109/EC)
(DTR5.1) (DTR5.2.1) (DTR5.2.1)
---------------------------
Common Stock
(GB00BYZFZ918) 100 0.00%
---------------------- --------------------------- ------------------------- ---------------------
SUBTOTAL 8. A 100 0.00%
--------------------------------------------------- ------------------------------------------------
B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC
(DTR5.3.1.1 (a))
Type of financial Expiration Exercise/ Number of voting % of voting
instrument date Conversion Period rights that may rights
(x) (xi) be acquired if
the instrument
is
exercised/converted.
----------- ------------------------------- -------------------------------- ---------------------
SUBTOTAL 8. B 1
------------------------------- -------------------------------- ---------------------
B 2: Financial Instruments with similar economic effect according to
Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b))
Type of Expiration Exercise/ Physical or Number of % of voting
financial date (x) Conversion cash voting rights rights
instrument Period (xi) settlement
(xii)
----------------- -------------------- --------------------- --------------------
Total Return
Swap Cash Settlement 54,439,241 10.56%
----------- -------------------- --------------------- --------------------
SUBTOTAL 8.B.2 54,439,241 10.56%
--------------------- --------------------
9. Information in relation to the person subject to the notification
obligation (please mark the
applicable box with an "X")
Person subject to the notification obligation is not controlled
by any natural person or legal entity and does not control any other
undertaking(s) holding directly or indirectly an interest in the
(underlying) issuer (xiii)
Full chain of controlled undertakings through which the voting rights X
and/or the
financial instruments are effectively held starting with the ultimate
controlling natural person or legal entity (xiv) (please add additional
rows as necessary)
Name (xv) % of voting rights % of voting rights Total of both if
if it equals or through financial it equals or is
is higher than the instruments if it higher than the
notifiable threshold equals or is higher notifiable threshold
than the notifiable
threshold
---------------------- --------------------- ------------------------
HBK Management LLC 0.00% 10.56% 10.56%
---------------------- --------------------- ------------------------
HBK Partners II 0.00% 10.56% 10.56%
---------------------- --------------------- ------------------------
HBK Investments
L.P. 0.00% 10.56% 10.56%
---------------------- --------------------- ------------------------
10. In case of proxy voting, please identify:
Name of the proxy holder
-----------------------------------------------
The number and % of voting rights
held
-----------------------------------------------
The date until which the voting rights
will be held
-----------------------------------------------
11. Additional information (xvi)
HBK acts as investment manager for various underlying accounts which
are the beneficial owners of the position.
Please note that the great majority of HBK's position is held through
Total Return Swap, which is a cash-settled derivative and gives no access
to voting rights in the company. HBK is however 'deemed' to hold voting
rights pursuant to DTR 5.3.
Place of completion London, United Kingdom
Date of completion 28 February 2020
-----------------------
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END
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