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: 20 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:   ORD
  Interests   Short Positions
    Number   (%) Number   (%)
(1) Relevant securities owned
and/or controlled: 11,447,525 0.59% 12,480,832 0.65%
           
(2) Cash-settled derivatives:
11,368,088 0.59% 3,419,612 0.18%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,000,000 0.05% 0 0.00%
           
 
TOTAL: 23,815,613 1.24% 15,900,444 0.83%
 
Class of relevant security: Convertible Bond XS1268412993
Interests Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 0 0.00% 300,000 0.02%
           
(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% 300,000 0.02%
 
Class of relevant security: Convertible Bond XS1139087933
Interests Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 1,600,000 0.08% 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: 1,600,000 0.08% 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 21 2.2752 GBP
ORD Purchase 55 2.2755 GBP
ORD Purchase 309 2.2812 GBP
ORD Purchase 511 2.2825 GBP
ORD Purchase 615 2.2751 GBP
ORD Purchase 615 2.2761 GBP
ORD Purchase 1,025 2.2815 GBP
ORD Purchase 1,094 2.2821 GBP
ORD Purchase 1,128 2.2805 GBP
ORD Purchase 1,136 2.2775 GBP
ORD Purchase 1,162 2.2838 GBP
ADR Purchase 1,200 12.0100 USD
ORD Purchase 1,200 2.2970 GBP
ORD Purchase 1,410 2.2840 GBP
ORD Purchase 1,443 2.2730 GBP
ORD Purchase 1,610 2.2765 GBP
ORD Purchase 1,715 2.2950 GBP
ORD Purchase 2,041 2.2785 GBP
ADR Purchase 3,860 12.0329 USD
ORD Purchase 5,120 2.2928 GBP
ORD Purchase 5,229 2.2980 GBP
ORD Purchase 5,765 2.2811 GBP
ORD Purchase 8,325 2.2790 GBP
ORD Purchase 11,114 2.2800 GBP
ORD Purchase 11,629 2.2740 GBP
ORD Purchase 12,825 2.2760 GBP
ORD Purchase 13,397 2.2770 GBP
ORD Purchase 13,406 2.2810 GBP
ORD Purchase 15,499 2.2828 GBP
ORD Purchase 15,870 2.2820 GBP
ORD Purchase 16,575 2.2830 GBP
ORD Purchase 20,084 2.2797 GBP
ORD Purchase 22,308 2.2780 GBP
ORD Purchase 36,683 2.2789 GBP
ORD Purchase 69,543 2.2807 GBP
ORD Purchase 95,271 2.2750 GBP
ORD Purchase 122,597 2.2791 GBP
ORD Purchase 179,073 2.2801 GBP
ORD Sale 21 2.2890 GBP
ORD Sale 55 2.2755 GBP
ORD Sale 511 2.2825 GBP
ORD Sale 549 2.2815 GBP
ORD Sale 727 2.2888 GBP
ORD Sale 840 2.2795 GBP
ORD Sale 970 2.2765 GBP
ADR Sale 1,200 12.0100 USD
ORD Sale 1,229 2.2800 GBP
ORD Sale 1,341 2.2785 GBP
ORD Sale 1,410 2.2840 GBP
ORD Sale 1,930 2.2822 GBP
ORD Sale 2,287 2.2780 GBP
ORD Sale 2,621 2.2971 GBP
ORD Sale 3,229 2.2980 GBP
ORD Sale 3,507 2.2750 GBP
ORD Sale 3,609 2.2793 GBP
ADR Sale 3,860 12.0329 USD
ORD Sale 4,127 2.2898 GBP
ORD Sale 4,370 2.2950 GBP
ORD Sale 4,677 2.2775 GBP
ORD Sale 4,878 2.2790 GBP
ORD Sale 6,465 2.2939 GBP
ORD Sale 7,129 2.2824 GBP
ORD Sale 8,029 2.2806 GBP
ORD Sale 8,085 2.2791 GBP
ORD Sale 8,085 2.2842 GBP
ORD Sale 9,060 2.2820 GBP
ORD Sale 11,261 2.2774 GBP
ORD Sale 12,599 2.2970 GBP
ORD Sale 15,901 2.2830 GBP
ORD Sale 18,590 2.2805 GBP
ORD Sale 23,600 2.2759 GBP
ORD Sale 23,642 2.2924 GBP
ORD Sale 40,176 2.2949 GBP
ORD Sale 51,664 2.2810 GBP
ORD Sale 77,869 2.2767 GBP
ORD Sale 111,331 2.2925 GBP
Convertible Bond XS1268412993 Sale 1,500,000 91.5000 GBP

(b) Cash-settled derivative transactions

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD CFD Long 21 2.2890 GBP
ORD CFD Long 727 2.2888 GBP
ORD CFD Long 3,541 2.2775 GBP
ORD CFD Long 5,200 2.2863 GBP
ORD CFD Long 8,085 2.2791 GBP
ORD CFD Long 8,085 2.2842 GBP
ORD CFD Long 11,399 2.2970 GBP
ORD SWAP Long 24,028 2.2920 GBP
ORD CFD Long 30,612 2.2810 GBP
ORD CFD Long 16,236 2.2732 GBP
ORD CFD Long 40,176 2.2949 GBP
ORD SWAP Long 71,757 2.2795 GBP
ORD CFD Long 79,344 2.2757 GBP
ORD CFD Long 111,331 2.2925 GBP
ORD CFD Short 21 2.2752 GBP
ORD SWAP Short 309 2.2812 GBP
ORD CFD Short 1,162 2.2838 GBP
ORD SWAP Short 2,000 2.2950 GBP
ORD SWAP Short 2,000 2.2960 GBP
ORD CFD Short 2,400 2.2795 GBP
ORD SWAP Short 3,000 2.2970 GBP
ORD CFD Short 4,158 2.2883 GBP
ORD SWAP Short 25,093 2.2818 GBP
ORD SWAP Short 36,683 2.2789 GBP
ORD CFD Short 55,174 2.2794 GBP
ORD SWAP Short 89,377 2.2788 GBP
ORD SWAP Short 188,808 2.2796 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: 21 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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