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: 18 July 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 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:                    
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 11,275,088 0.59% 12,788,935 0.66%
           
(2) Cash-settled derivatives:
11,397,356 0.59% 3,286,051 0.17%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,000,000 0.05% 0 0.00%
           
(4)
TOTAL: 23,672,444 1.23% 16,074,986 0.83%
 
Class of relevant security:   Convertible Bond XS1268412993      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 1,200,000 0.06% 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%
           
(4)
TOTAL: 1,200,000 0.06% 0 0.00%
 
Class of relevant security:   Convertible Bond XS1139087933      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 2,300,000 0.12% 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%
           
(4)
TOTAL: 2,300,000 0.12% 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 321 2.3012 GBP
ORD Purchase 1,229 2.3090 GBP
ORD Purchase 1,241 2.2970 GBP
ORD Purchase 1,295 2.3045 GBP
ORD Purchase 1,312 2.3070 GBP
ADR Purchase 1,800 12.2444 USD
ORD Purchase 1,844 2.3015 GBP
ORD Purchase 2,000 2.3120 GBP
ORD Purchase 2,460 2.3140 GBP
ORD Purchase 3,252 2.2990 GBP
ORD Purchase 3,359 2.3030 GBP
ORD Purchase 3,691 2.3190 GBP
ORD Purchase 3,782 2.3010 GBP
ORD Purchase 4,068 2.3098 GBP
ORD Purchase 4,431 2.3000 GBP
ORD Purchase 4,557 2.3117 GBP
ORD Purchase 4,613 2.3160 GBP
ORD Purchase 5,419 2.3150 GBP
ORD Purchase 7,850 2.3020 GBP
ORD Purchase 8,636 2.3040 GBP
ORD Purchase 10,851 2.3105 GBP
ORD Purchase 31,563 2.3035 GBP
ORD Purchase 31,952 2.3100 GBP
ORD Purchase 32,988 2.3122 GBP
ORD Purchase 33,298 2.3099 GBP
ORD Purchase 38,451 2.3094 GBP
ORD Purchase 42,719 2.3044 GBP
ORD Purchase 53,373 2.3050 GBP
ORD Purchase 66,396 2.3079 GBP
ORD Purchase 66,464 2.3078 GBP
ORD Purchase 71,268 2.3080 GBP
ORD Purchase 79,720 2.3054 GBP
ORD Purchase 103,735 2.3074 GBP
ORD Sale 894 2.3046 GBP
ORD Sale 1,229 2.3090 GBP
ORD Sale 1,241 2.2970 GBP
ADR Sale 1,800 12.2444 USD
ORD Sale 1,844 2.3015 GBP
ORD Sale 2,000 2.3120 GBP
ORD Sale 2,460 2.3140 GBP
ORD Sale 2,907 2.3078 GBP
ORD Sale 3,252 2.2990 GBP
ORD Sale 3,428 2.3030 GBP
ORD Sale 3,691 2.3190 GBP
ORD Sale 3,782 2.3010 GBP
ORD Sale 3,968 2.2991 GBP
ORD Sale 4,431 2.3000 GBP
ORD Sale 4,613 2.3160 GBP
ORD Sale 6,426 2.3100 GBP
ORD Sale 6,466 2.3150 GBP
ORD Sale 6,693 2.3149 GBP
ORD Sale 6,709 2.3080 GBP
ORD Sale 7,850 2.3020 GBP
ORD Sale 8,636 2.3040 GBP
ORD Sale 12,652 2.3073 GBP
ORD Sale 23,096 2.3099 GBP
ORD Sale 29,066 2.3050 GBP
ORD Sale 31,892 2.3049 GBP
ORD Sale 32,378 2.3071 GBP
ORD Sale 41,408 2.3064 GBP
ORD Sale 41,463 2.3077 GBP
ORD Sale 49,546 2.3062 GBP
ORD Sale 77,902 2.3082 GBP
ORD Sale 79,375 2.3060 GBP
ORD Sale 129,435 2.3045 GBP
ORD Sale 151,107 2.3083 GBP
ORD Sale 271,532 2.3070 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 100 2.3000 GBP
ORD SWAP Long 2,000 2.3097 GBP
ORD SWAP Long 8,300 2.3113 GBP
ORD SWAP Long 10,194 2.3095 GBP
ORD CFD Long 20,484 2.3105 GBP
ORD CFD Long 20,979 2.3050 GBP
ORD SWAP Long 32,378 2.3071 GBP
ORD CFD Long 35,395 2.3073 GBP
ORD CFD Long 46,136 2.3072 GBP
ORD CFD Long 46,576 2.3047 GBP
ORD CFD Long 104,971 2.3088 GBP
ORD SWAP Long 223,551 2.3054 GBP
ORD SWAP Short 321 2.3012 GBP
ORD CFD Short 1,081 2.3118 GBP
ORD CFD Short 4,372 2.2963 GBP
ORD CFD Short 21,722 2.3122 GBP
ORD SWAP Short 25,507 2.3094 GBP
ORD SWAP Short 34,782 2.3110 GBP
ORD CFD Short 71,188 2.3089 GBP
ORD CFD Short 79,720 2.3054 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: 19 Jul 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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