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: 09 August 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: 14,277,838 0.74% 11,977,158 0.62%
           
(2) Cash-settled derivatives:
10,786,692 0.56% 6,022,293 0.31%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,300,000 0.07% 0 0.00%
           
 
TOTAL: 26,364,530 1.37% 17,999,451 0.93%
 
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: 3,100,000 0.16% 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: 3,100,000 0.16% 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 52 2.3638 GBP
ADR Purchase 902 12.4500 USD
ADR Purchase 1,448 12.5051 USD
ORD Purchase 1,804 2.3630 GBP
ORD Purchase 2,158 2.3515 GBP
ORD Purchase 2,348 2.3637 GBP
ORD Purchase 2,400 2.3640 GBP
ORD Purchase 2,513 2.3523 GBP
ORD Purchase 7,829 2.3590 GBP
ORD Purchase 10,950 2.3531 GBP
ORD Purchase 13,270 2.3532 GBP
ORD Purchase 13,472 2.3668 GBP
ORD Purchase 15,005 2.3671 GBP
ORD Purchase 19,338 2.3670 GBP
ORD Purchase 31,022 2.3546 GBP
ORD Purchase 31,196 2.3589 GBP
ORD Purchase 33,921 2.3586 GBP
ORD Purchase 53,528 2.3572 GBP
ORD Purchase 73,935 2.3649 GBP
Convertible Bond Purchase 1,500,000 102.1250 GBP
ORD Sale 544 2.3620 GBP
ADR Sale 724 12.5051 USD
ADR Sale 902 12.4500 USD
ORD Sale 1,265 2.3550 GBP
ORD Sale 1,580 2.3609 GBP
ORD Sale 2,158 2.3515 GBP
ORD Sale 2,400 2.3640 GBP
ORD Sale 2,484 2.3612 GBP
ORD Sale 3,608 2.3630 GBP
ORD Sale 6,488 2.3585 GBP
ORD Sale 7,745 2.3655 GBP
ORD Sale 10,019 2.3631 GBP
ORD Sale 14,323 2.3591 GBP
ORD Sale 16,470 2.3595 GBP
ORD Sale 29,022 2.3610 GBP
ORD Sale 33,209 2.3629 GBP
ORD Sale 39,095 2.3590 GBP
ORD Sale 89,269 2.3616 GBP
ORD Sale 99,027 2.3672 GBP
ORD Sale 137,862 2.3370 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 1,804 2.3628 GBP
ORD CFD Long 2,258 2.3629 GBP
ORD SWAP Long 15,928 2.3616 GBP
ORD CFD Long 20,815 2.3646 GBP
ORD CFD Long 23,142 2.3637 GBP
ORD CFD Long 24,459 2.3591 GBP
ORD SWAP Long 29,064 2.3588 GBP
ORD CFD Long 28,984 2.3604 GBP
ORD CFD Long 68,001 2.3613 GBP
ORD CFD Short 2,400 2.3641 GBP
ORD CFD Short 2,513 2.3523 GBP
ORD CFD Short 4,840 2.3535 GBP
ORD CFD Short 6,110 2.3527 GBP
ORD SWAP Short 11,711 2.3604 GBP
ORD CFD Short 13,270 2.3532 GBP
ORD CFD Short 13,859 2.3457 GBP
ORD CFD Short 32,131 2.3572 GBP
ORD SWAP Short 91,966 2.3589 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: 10 Aug 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.

143221.01 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
ORD Call Options Purchased 300,000 230.0000 American 16 Sep 2016

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.

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Sainsbury (J) (SBRY)
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