TR-1: Standard form for notification of major holdings
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NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and to the FCA in Microsoft Word format if possible)i |
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1a. Identity of the issuer or the underlying issuer of existing shares to which voting rights are attachedii: |
Sophos Group plc |
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1b. Please indicate if the issuer is a non- |
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Non- |
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2. Reason for the notification (please mark the appropriate box or boxes with an "X") |
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An acquisition or disposal of voting rights |
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An acquisition or disposal of financial instruments |
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An event changing the breakdown of voting rights |
X |
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Other (please specify)iii: |
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3. Details of person subject to the notification obligationiv |
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Name |
HBK Investments L.P. |
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City and country of registered office (if applicable) |
National Corporate Research, Ltd. 615 South Dupont Highway |
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4. Full name of shareholder(s) (if different from 3.)v |
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Name |
Credit Suisse Securities ( (in respect of holding in ordinary shares only) |
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City and country of registered office (if applicable) |
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5. Date on which the threshold was crossed or reachedvi: |
27/02/2020 |
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6. Date on which issuer notified (DD/MM/YYYY): |
28/02/2020 |
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7. Total positions of person(s) subject to the notification obligation |
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% of voting rights attached to shares (total of 8. A) |
% of voting rights through financial instruments |
Total of both in % (8.A + 8.B) |
Total number of voting rights of issuervii |
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Resulting situation on the date on which threshold was crossed or reached |
0.00% |
10.56% |
10.56% |
515,319,328 |
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Position of previous notification (if applicable) |
0.00% |
11.06% |
11.06% |
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8. Notified details of the resulting situation on the date on which the threshold was crossed or reachedviii |
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A: Voting rights attached to shares |
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Class/type of ISIN code (if possible) |
Number of voting rightsix |
% of voting rights |
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Direct (Art 9 of Directive 2004/109/EC) (DTR5.1) |
Indirect (Art 10 of Directive 2004/109/EC) (DTR5.2.1) |
Direct (Art 9 of Directive 2004/109/EC) (DTR5.1) |
Indirect (Art 10 of Directive 2004/109/EC) (DTR5.2.1) |
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Common Stock (GB00BYZFZ918)
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100 |
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0.00% |
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SUBTOTAL 8. A |
100 |
0.00% |
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B 1: Financial Instruments according to Art. 13(1)(a) of Directive 2004/109/EC (DTR5.3.1.1 (a)) |
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Type of financial instrument |
Expiration |
Exercise/ |
Number of voting rights that may be acquired if the instrument is exercised/converted. |
% of voting rights |
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SUBTOTAL 8. B 1 |
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B 2: Financial Instruments with similar economic effect according to Art. 13(1)(b) of Directive 2004/109/EC (DTR5.3.1.1 (b)) |
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Type of financial instrument |
Expiration |
Exercise/ |
Physical or cash settlementxii |
Number of voting rights |
% of voting rights |
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Total Return Swap |
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Cash Settlement |
54,439,241 |
10.56% |
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SUBTOTAL 8.B.2 |
54,439,241 |
10.56% |
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9. Information in relation to the person subject to the notification obligation (please mark the applicable box with an "X") |
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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) issuerxiii |
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Full chain of controlled undertakings through which the voting rights and/or the |
X |
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Namexv |
% of voting rights if it equals or is higher than the notifiable threshold |
% of voting rights through financial instruments if it equals or is higher than the notifiable threshold |
Total of both if it equals or is higher than the notifiable threshold |
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HBK Management LLC |
0.00% |
10.56% |
10.56% |
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HBK Partners II |
0.00% |
10.56% |
10.56% |
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HBK Investments L.P. |
0.00% |
10.56% |
10.56% |
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10. In case of proxy voting, please identify: |
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Name of the proxy holder |
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The number and % of voting rights held |
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The date until which the voting rights will be held |
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11. Additional informationxvi |
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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. |
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Place of completion |
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Date of completion |
28 February 2020 |
This information is provided by RNS, the news service of the London Stock Exchange. RNS is approved by the Financial Conduct Authority to act as a Primary Information Provider in the