Form 8.3 - J SAINSBURY PLC

Form 8.3 - J SAINSBURY PLC

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 J SAINSBURY PLC
  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: 31 May 2016
(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? HOME RETAIL GROUP

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: 9,797,458 0.51% 11,256,740 0.58%
           
(2) Cash-settled derivatives:
10,062,341 0.52% 281,503 0.01%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,000,000 0.05% 0 0.00%
           
 
TOTAL: 20,859,799 1.08% 11,538,243 0.60%
 
Class of relevant security:   Convertible Bond XS1268412993      
Interests Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 0 0.00% 200,000 0.01%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
           
 
TOTAL: 0 0.00% 200,000 0.01%
 
Class of relevant security:   Convertible Bond XS1139087933      
Interests Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 4,700,000 0.24% 0 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
           
 
TOTAL: 4,700,000 0.24% 0 0.00%
 
Class of relevant security:   ADR      
Interests Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 0 0.00% 0 0.00%
           
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
           
 
TOTAL: 0 0.00% 0 0.00%

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 418 2.6819 GBP
ORD Purchase 1,088 2.6877 GBP
ORD Purchase 1,277 2.6892 GBP
ORD Purchase 1,344 2.6810 GBP
ORD Purchase 1,746 2.6820 GBP
ORD Purchase 2,074 2.6840 GBP
ORD Purchase 2,098 2.6870 GBP
ORD Purchase 2,364 2.6900 GBP
ORD Purchase 2,591 2.6880 GBP
ORD Purchase 3,019 2.6852 GBP
ORD Purchase 3,113 2.6800 GBP
ORD Purchase 3,207 2.6960 GBP
ORD Purchase 4,062 2.6851 GBP
ORD Purchase 4,207 2.6898 GBP
ORD Purchase 4,402 2.6885 GBP
ORD Purchase 4,575 2.6821 GBP
ORD Purchase 5,914 2.6858 GBP
ORD Purchase 6,207 2.6841 GBP
ORD Purchase 8,254 2.6830 GBP
ORD Purchase 8,604 2.6902 GBP
ADR Purchase 8,876 15.6128 USD
ORD Purchase 23,807 2.6848 GBP
ORD Purchase 29,344 2.6850 GBP
ORD Purchase 73,344 2.6855 GBP
ORD Purchase 178,546 2.6853 GBP
ORD Sale 87 2.6820 GBP
ORD Sale 220 2.6741 GBP
ORD Sale 652 2.6877 GBP
ORD Sale 1,055 2.6974 GBP
ORD Sale 1,344 2.6810 GBP
ORD Sale 1,603 2.6830 GBP
ORD Sale 1,800 2.6788 GBP
ORD Sale 1,800 2.6797 GBP
ORD Sale 1,965 2.6924 GBP
ORD Sale 2,448 2.6900 GBP
ORD Sale 2,591 2.6880 GBP
ORD Sale 3,113 2.6800 GBP
ORD Sale 3,207 2.6960 GBP
ORD Sale 3,849 2.6870 GBP
ORD Sale 4,812 2.6792 GBP
ORD Sale 5,531 2.6832 GBP
ORD Sale 5,798 2.6802 GBP
ADR Sale 8,876 15.6128 USD
ORD Sale 12,707 2.6818 GBP
ORD Sale 27,472 2.6884 GBP
ORD Sale 37,445 2.6855 GBP
ORD Sale 52,183 2.6828 GBP
ORD Sale 75,764 2.6878 GBP
ORD Sale 88,804 2.6848 GBP
ORD Sale 98,494 2.6850 GBP
ORD Sale 249,386 2.6849 GBP

(b) Cash-settled derivative transactions

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD SWAP Long 335 2.6848 GBP
ORD SWAP Long 600 2.6870 GBP
ORD CFD Long 652 2.6877 GBP
ORD SWAP Long 1,100 2.6940 GBP
ORD CFD Long 1,800 2.6797 GBP
ORD SWAP Long 2,023 2.6876 GBP
ORD CFD Long 5,798 2.6802 GBP
ORD SWAP Long 9,826 2.6891 GBP
ORD SWAP Long 11,439 2.6899 GBP
ORD SWAP Long 12,707 2.6818 GBP
ORD CFD Long 14,194 2.6831 GBP
ORD CFD Long 15,228 2.6894 GBP
ORD CFD Long 8,236 2.6966 GBP
ORD SWAP Long 16,539 2.6932 GBP
ORD SWAP Long 42,945 2.6843 GBP
ORD CFD Long 52,183 2.6829 GBP
ORD CFD Long 73,344 2.6850 GBP
ORD CFD Long 146,296 2.6844 GBP
ORD SWAP Short 711 2.6950 GBP
ORD SWAP Short 746 2.6806 GBP
ORD SWAP Short 1,354 2.6804 GBP
ORD CFD Short 1,800 2.6852 GBP
ORD SWAP Short 4,100 2.6805 GBP
ORD SWAP Short 5,290 2.6854 GBP
ORD CFD Short 4,032 2.6984 GBP
ORD CFD Short 21,459 2.6870 GBP
ORD CFD Short 33,406 2.6850 GBP
ORD CFD Short 73,344 2.6855 GBP

(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”

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”

None

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached?   YES
Date of disclosure: 1 Jun 2016
Contact name: Pinar Coktas
Telephone number: 020 7116 1165

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 J SAINSBURY PLC
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 Written 1,000,000 260.0000 American 15 Dec 2017

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

Sainsbury (J) (SBRY)
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