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: 25 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: 11,833,532 0.61% 12,158,477 0.63%
           
(2) Cash-settled derivatives:
10,946,674 0.57% 3,793,506 0.20%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,000,000 0.05% 0 0.00%
           
(4)
TOTAL: 23,780,206 1.23% 15,951,983 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%
           
(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 16 2.2570 GBP
ORD Purchase 199 2.2834 GBP
ORD Purchase 209 2.2743 GBP
ORD Purchase 400 2.2900 GBP
ORD Purchase 1,193 2.2625 GBP
ORD Purchase 1,501 2.2581 GBP
ORD Purchase 1,800 2.2540 GBP
ORD Purchase 1,883 2.2831 GBP
ORD Purchase 3,489 2.2800 GBP
ORD Purchase 3,673 2.2842 GBP
ORD Purchase 3,868 2.2595 GBP
ORD Purchase 4,442 2.2913 GBP
ADR Purchase 5,200 12.1584 USD
ORD Purchase 5,688 2.2770 GBP
ORD Purchase 6,000 2.2848 GBP
ORD Purchase 6,800 2.2810 GBP
ORD Purchase 7,000 2.2785 GBP
ORD Purchase 7,000 2.2887 GBP
ORD Purchase 8,000 2.2760 GBP
ORD Purchase 8,883 2.2639 GBP
ADR Purchase 11,600 12.1265 USD
ORD Purchase 13,439 2.2845 GBP
ADR Purchase 20,000 12.1500 USD
ORD Purchase 20,000 2.2860 GBP
ADR Purchase 20,144 12.1851 USD
ORD Purchase 24,266 2.2791 GBP
ORD Purchase 70,021 2.2801 GBP
ORD Purchase 75,568 2.2754 GBP
ORD Purchase 123,115 2.2734 GBP
ORD Purchase 131,034 2.2778 GBP
ORD Purchase 212,865 2.2780 GBP
ORD Purchase 297,120 2.2706 GBP
ORD Sale 16 2.2570 GBP
ORD Sale 400 2.2900 GBP
ORD Sale 918 2.2664 GBP
ORD Sale 1,193 2.2625 GBP
ORD Sale 1,800 2.2540 GBP
ORD Sale 1,998 2.2774 GBP
ORD Sale 2,289 2.2800 GBP
ORD Sale 2,344 2.2897 GBP
ORD Sale 3,868 2.2595 GBP
ORD Sale 4,572 2.2776 GBP
ORD Sale 4,843 2.2691 GBP
ORD Sale 5,065 2.2766 GBP
ADR Sale 5,200 12.1584 USD
ORD Sale 5,586 2.2770 GBP
ORD Sale 6,800 2.2810 GBP
ORD Sale 7,152 2.2822 GBP
ORD Sale 7,360 2.2771 GBP
ORD Sale 8,000 2.2760 GBP
ORD Sale 9,534 2.2690 GBP
ORD Sale 9,908 2.2778 GBP
ADR Sale 11,600 12.1265 USD
ORD Sale 11,855 2.2782 GBP
ORD Sale 15,312 2.2805 GBP
ORD Sale 17,388 2.2848 GBP
ORD Sale 18,132 2.2792 GBP
ORD Sale 18,390 2.2772 GBP
ORD Sale 19,198 2.2788 GBP
ORD Sale 19,361 2.2753 GBP
ADR Sale 20,000 12.1500 USD
ORD Sale 20,000 2.2860 GBP
ADR Sale 20,144 12.1851 USD
ORD Sale 49,476 2.2672 GBP
ORD Sale 59,886 2.2809 GBP
ORD Sale 87,000 2.2887 GBP
ORD Sale 219,676 2.2780 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 1,700 2.2780 GBP
ORD SWAP Long 1,998 2.2774 GBP
ORD SWAP Long 2,400 2.2796 GBP
ORD CFD Long 4,061 2.2809 GBP
ORD CFD Long 4,572 2.2776 GBP
ORD SWAP Long 7,360 2.2771 GBP
ORD CFD Long 9,908 2.2778 GBP
ORD SWAP Long 14,971 2.2808 GBP
ORD CFD Long 18,390 2.2772 GBP
ORD CFD Long 23,200 2.2793 GBP
ORD CFD Long 35,086 2.2781 GBP
ORD CFD Long 52,902 2.2823 GBP
ORD CFD Long 80,000 2.2887 GBP
ORD SWAP Short 291 2.2780 GBP
ORD CFD Short 1,501 2.2581 GBP
ORD SWAP Short 23,750 2.2769 GBP
ORD CFD Short 24,266 2.2791 GBP
ORD CFD Short 37,510 2.2675 GBP
ORD CFD Short 44,714 2.2744 GBP
ORD SWAP Short 70,021 2.2801 GBP
ORD SWAP Short 82,574 2.2803 GBP
ORD CFD Short 86,936 2.2691 GBP
ORD CFD Short 138,506 2.2762 GBP
ORD SWAP Short 159,103 2.2731 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: 26 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.

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

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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