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: 27 April 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: 10,605,264 0.55% 10,081,593 0.52%
           
(2) Cash-settled derivatives:
7,660,299 0.40% 239,647 0.01%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,000,000 0.05% 0 0.00%
           
 
TOTAL: 19,265,563 1.00% 10,321,240 0.54%
 
Class of relevant security: Convertible Bond XS1268412993
Interests Short Positions
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 1,800,000 0.09% 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: 1,800,000 0.09% 0 0.00%
 
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%

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 17 2.8705 GBP
ORD Purchase 57 2.8440 GBP
ADR Purchase 58 16.7665 USD
ORD Purchase 174 2.8765 GBP
ORD Purchase 371 2.8980 GBP
ORD Purchase 636 2.8935 GBP
ORD Purchase 636 2.8415 GBP
ORD Purchase 665 2.8700 GBP
ORD Purchase 665 2.8697 GBP
ORD Purchase 809 2.8635 GBP
ORD Purchase 809 2.8615 GBP
ORD Purchase 809 2.8574 GBP
ORD Purchase 827 2.8655 GBP
ORD Purchase 1,099 2.8755 GBP
ORD Purchase 1,156 2.8820 GBP
ORD Purchase 1,233 2.8465 GBP
ORD Purchase 1,273 2.8480 GBP
ORD Purchase 1,273 2.8850 GBP
ORD Purchase 1,273 2.8690 GBP
ORD Purchase 1,273 2.8960 GBP
ORD Purchase 1,303 2.8570 GBP
ORD Purchase 1,463 2.8685 GBP
ORD Purchase 1,465 2.8790 GBP
ORD Purchase 1,538 2.8830 GBP
ORD Purchase 1,559 2.8385 GBP
ORD Purchase 1,699 2.8825 GBP
ORD Purchase 1,833 2.8835 GBP
ORD Purchase 1,833 2.8785 GBP
ORD Purchase 1,870 2.8950 GBP
ORD Purchase 2,069 2.8475 GBP
ORD Purchase 2,079 2.8405 GBP
ORD Purchase 2,184 2.8900 GBP
ORD Purchase 2,298 2.8970 GBP
ORD Purchase 2,319 2.8485 GBP
ORD Purchase 2,654 2.8925 GBP
ORD Purchase 2,747 2.8410 GBP
ORD Purchase 3,154 2.8455 GBP
ORD Purchase 3,231 2.8445 GBP
ORD Purchase 3,478 2.8815 GBP
ORD Purchase 3,571 2.8425 GBP
ORD Purchase 4,427 2.8795 GBP
ORD Purchase 4,615 2.8910 GBP
ORD Purchase 5,052 2.8460 GBP
ORD Purchase 5,127 2.8470 GBP
ORD Purchase 5,168 2.8805 GBP
ORD Purchase 5,410 2.8420 GBP
ORD Purchase 5,623 2.8430 GBP
ORD Purchase 6,193 2.8915 GBP
ORD Purchase 6,468 2.8400 GBP
ORD Purchase 6,695 2.8810 GBP
ORD Purchase 7,931 2.8831 GBP
ORD Purchase 8,458 2.8885 GBP
ORD Purchase 10,714 2.8752 GBP
ORD Purchase 11,742 2.8895 GBP
ORD Purchase 13,311 2.8905 GBP
ORD Purchase 16,071 2.8734 GBP
ORD Purchase 21,196 2.8557 GBP
ORD Purchase 55,182 2.8650 GBP
ORD Purchase 55,598 2.8725 GBP
ORD Purchase 107,235 2.8535 GBP
ORD Purchase 110,599 2.8586 GBP
ORD Purchase 188,330 2.8794 GBP
ORD Purchase 951,672 2.8739 GBP
ORD Sale 17 2.8705 GBP
ORD Sale 57 2.8440 GBP
ADR Sale 58 16.7665 USD
ORD Sale 174 2.8765 GBP
ORD Sale 371 2.8980 GBP
ORD Sale 636 2.8935 GBP
ORD Sale 636 2.8415 GBP
ORD Sale 665 2.8700 GBP
ORD Sale 809 2.8635 GBP
ORD Sale 809 2.8615 GBP
ORD Sale 809 2.8574 GBP
ORD Sale 827 2.8655 GBP
ORD Sale 1,099 2.8755 GBP
ORD Sale 1,156 2.8820 GBP
ORD Sale 1,233 2.8465 GBP
ORD Sale 1,273 2.8690 GBP
ORD Sale 1,273 2.8960 GBP
ORD Sale 1,273 2.8850 GBP
ORD Sale 1,303 2.8570 GBP
ORD Sale 1,463 2.8685 GBP
ORD Sale 1,465 2.8790 GBP
ORD Sale 1,538 2.8830 GBP
ORD Sale 1,559 2.8385 GBP
ORD Sale 1,699 2.8825 GBP
ORD Sale 1,780 2.9030 GBP
ORD Sale 1,833 2.8835 GBP
ORD Sale 1,833 2.8785 GBP
ORD Sale 1,870 2.8950 GBP
ORD Sale 2,069 2.8475 GBP
ORD Sale 2,079 2.8405 GBP
ORD Sale 2,184 2.8900 GBP
ORD Sale 2,298 2.8970 GBP
ORD Sale 2,319 2.8485 GBP
ORD Sale 2,546 2.8480 GBP
ORD Sale 2,654 2.8925 GBP
ORD Sale 2,747 2.8410 GBP
ORD Sale 3,154 2.8455 GBP
ORD Sale 3,173 2.8793 GBP
ORD Sale 3,231 2.8445 GBP
ORD Sale 3,478 2.8815 GBP
ORD Sale 3,571 2.8425 GBP
ORD Sale 4,427 2.8795 GBP
ORD Sale 4,615 2.8910 GBP
ORD Sale 4,664 2.8535 GBP
ORD Sale 5,052 2.8460 GBP
ORD Sale 5,127 2.8470 GBP
ORD Sale 5,168 2.8805 GBP
ORD Sale 5,410 2.8420 GBP
ORD Sale 5,623 2.8430 GBP
ORD Sale 6,193 2.8915 GBP
ORD Sale 6,468 2.8400 GBP
ORD Sale 6,695 2.8810 GBP
ORD Sale 8,458 2.8885 GBP
ORD Sale 9,866 2.8706 GBP
ORD Sale 10,553 2.8667 GBP
ORD Sale 11,742 2.8895 GBP
ORD Sale 13,311 2.8905 GBP
ORD Sale 14,219 2.8796 GBP
ORD Sale 24,872 2.8758 GBP
ORD Sale 44,242 2.8852 GBP
ORD Sale 49,424 2.8625 GBP
ORD Sale 60,051 2.8632 GBP
ORD Sale 67,359 2.8824 GBP
ORD Sale 90,463 2.8645 GBP
ORD Sale 93,455 2.8804 GBP
ORD Sale 95,867 2.8661 GBP
ORD Sale 167,073 2.8650 GBP
ORD Sale 572,785 2.8798 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 899 2.8684 GBP
ORD CFD Long 1,138 2.8806 GBP
ORD SWAP Long 2,500 2.8847 GBP
ORD CFD Long 4,474 2.8545 GBP
ORD SWAP Long 10,023 2.8913 GBP
ORD CFD Long 12,018 2.8906 GBP
ORD SWAP Long 12,881 2.8922 GBP
ORD SWAP Long 25,359 2.8925 GBP
ORD SWAP Long 95,867 2.8662 GBP
ORD SWAP Long 125,805 2.8667 GBP
ORD CFD Short 4,929 2.8681 GBP
ORD SWAP Short 19,983 2.8440 GBP
ORD SWAP Short 22,007 2.8557 GBP
ORD SWAP Short 23,990 2.8521 GBP
ORD SWAP Short 61,880 2.8565 GBP
ORD CFD Short 61,142 2.8676 GBP
ORD SWAP Short 124,271 2.8558 GBP
ORD CFD Short 188,330 2.8794 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: 28 Apr 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.

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Sainsbury (J) (SBRY)
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