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 interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.

   
(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

 

J SAINSBURY PLC

(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:

For an opening position disclosure, state the latest practicable date prior to the disclosure

 

21 July 2016

(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state “N/A”

 

YES

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: 11,500,299 0.60% 12,418,528 0.64%
           
(2) Cash-settled derivatives:
11,258,687 0.58% 3,437,150 0.18%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,000,000 0.05% 0 0.00%
           
(4)
TOTAL: 23,758,986 1.23% 15,855,678 0.82%
 
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%
           
(4)
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%
           
(4)
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 3 2.2860 GBP
ORD Purchase 303 2.2845 GBP
ORD Purchase 580 2.2780 GBP
ORD Purchase 800 2.2830 GBP
ORD Purchase 800 2.2770 GBP
ORD Purchase 1,320 2.2820 GBP
ADR Purchase 1,530 12.0500 USD
ORD Purchase 1,720 2.2813 GBP
ORD Purchase 1,998 2.2827 GBP
ORD Purchase 2,425 2.2786 GBP
ORD Purchase 2,495 2.2734 GBP
ORD Purchase 3,929 2.2764 GBP
ORD Purchase 4,323 2.2794 GBP
ORD Purchase 5,747 2.2829 GBP
ORD Purchase 5,954 2.2776 GBP
ORD Purchase 9,085 2.2968 GBP
ORD Purchase 11,254 2.2817 GBP
ORD Purchase 13,873 2.3011 GBP
ORD Purchase 15,237 2.2831 GBP
ORD Purchase 20,768 2.2875 GBP
ORD Purchase 22,828 2.2801 GBP
ORD Purchase 23,205 2.2840 GBP
ORD Purchase 30,134 2.2818 GBP
ORD Purchase 30,945 2.2806 GBP
ORD Purchase 35,563 2.2863 GBP
ADR Purchase 64,240 12.1071 USD
ORD Purchase 69,979 2.2800 GBP
ORD Sale 5 2.2880 GBP
ORD Sale 520 2.2820 GBP
ORD Sale 580 2.2780 GBP
ORD Sale 740 2.2860 GBP
ORD Sale 920 2.2732 GBP
ADR Sale 1,530 12.0500 USD
ORD Sale 1,632 2.2794 GBP
ORD Sale 2,000 2.2770 GBP
ORD Sale 2,164 2.2830 GBP
ORD Sale 5,154 2.2904 GBP
ORD Sale 5,712 2.2804 GBP
ORD Sale 6,665 2.2803 GBP
ORD Sale 7,881 2.2814 GBP
ORD Sale 9,085 2.3008 GBP
ORD Sale 10,394 2.2819 GBP
ORD Sale 10,712 2.2817 GBP
ORD Sale 11,254 2.2795 GBP
ORD Sale 17,200 2.2789 GBP
ORD Sale 19,591 2.2800 GBP
ORD Sale 23,788 2.2851 GBP
ORD Sale 35,074 2.2787 GBP
ORD Sale 48,101 2.2799 GBP
ADR Sale 64,240 12.1071 USD

(b) Cash-settled derivative transactions

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD CFD Long 5,712 2.2804 GBP
ORD CFD Long 6,780 2.2922 GBP
ORD CFD Long 9,085 2.3008 GBP
ORD CFD Long 11,254 2.2795 GBP
ORD SWAP Long 12,230 2.2895 GBP
ORD CFD Long 16,407 2.2794 GBP
ORD CFD Long 19,231 2.2809 GBP
ORD CFD Long 54,755 2.2787 GBP
ORD SWAP Short 303 2.2845 GBP
ORD SWAP Short 500 2.2860 GBP
ORD CFD Short 2,425 2.2786 GBP
ORD CFD Short 3,933 2.2806 GBP
ORD CFD Short 9,085 2.2968 GBP
ORD CFD Short 11,254 2.2817 GBP
ORD SWAP Short 11,425 2.2763 GBP
ORD CFD Short 13,873 2.3011 GBP
ORD SWAP Short 23,139 2.2833 GBP
ORD CFD Short 24,492 2.2801 GBP
ORD SWAP Short 30,134 2.2818 GBP
ORD CFD Short 34,846 2.2911 GBP
ORD CFD Short 43,095 2.2800 GBP
ORD SWAP Short 53,889 2.2820 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:

22 July 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

Full name of person making disclosure:

Barclays PLC.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

J SAINSBURY PLC

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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