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: 03 May 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: 10,014,931 0.52% 10,448,175 0.54%
           
(2) Cash-settled derivatives:
8,526,956 0.44% 151,816 0.01%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,000,000 0.05% 0 0.00%
           
(4)
TOTAL: 19,541,887 1.02% 10,599,991 0.55%
 
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%
           
(4)
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%
           
(4)
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 35 2.8735 GBP
ORD Purchase 62 2.8710 GBP
ORD Purchase 163 2.8530 GBP
ORD Purchase 426 2.8860 GBP
ORD Purchase 530 2.8260 GBP
ORD Purchase 653 2.8730 GBP
ORD Purchase 777 2.8825 GBP
ORD Purchase 801 2.8820 GBP
ORD Purchase 1,053 2.8618 GBP
ORD Purchase 1,073 2.8320 GBP
ORD Purchase 1,075 2.8725 GBP
ORD Purchase 1,228 2.8435 GBP
ORD Purchase 1,228 2.8595 GBP
ORD Purchase 1,276 2.8420 GBP
ORD Purchase 1,276 2.8600 GBP
ORD Purchase 1,296 2.8580 GBP
ORD Purchase 1,301 2.8515 GBP
ORD Purchase 1,307 2.8500 GBP
ORD Purchase 1,569 2.8870 GBP
ORD Purchase 1,727 2.8345 GBP
ORD Purchase 1,788 2.8740 GBP
ORD Purchase 1,992 2.8605 GBP
ORD Purchase 2,350 2.8250 GBP
ORD Purchase 2,513 2.8690 GBP
ORD Purchase 2,552 2.8230 GBP
ORD Purchase 2,581 2.8505 GBP
ORD Purchase 2,688 2.8315 GBP
ORD Purchase 3,262 2.8322 GBP
ORD Purchase 3,536 2.8570 GBP
ORD Purchase 3,632 2.8540 GBP
ORD Purchase 4,647 2.8310 GBP
ORD Purchase 4,747 2.8270 GBP
ORD Purchase 5,326 2.8200 GBP
ORD Purchase 5,538 2.8832 GBP
ORD Purchase 5,652 2.8300 GBP
ORD Purchase 5,686 2.8220 GBP
ORD Purchase 6,587 2.8210 GBP
ORD Purchase 7,382 2.8340 GBP
ORD Purchase 7,944 2.8240 GBP
ORD Purchase 8,120 2.8330 GBP
ORD Purchase 9,121 2.8794 GBP
ORD Purchase 21,993 2.8263 GBP
ORD Purchase 38,043 2.8387 GBP
ORD Purchase 43,496 2.8565 GBP
ORD Purchase 68,339 2.8431 GBP
ORD Purchase 155,132 2.8381 GBP
ORD Purchase 183,973 2.8537 GBP
ORD Purchase 245,000 2.8575 GBP
ORD Sale 35 2.8735 GBP
ORD Sale 62 2.8710 GBP
ORD Sale 163 2.8530 GBP
ORD Sale 426 2.8860 GBP
ORD Sale 530 2.8261 GBP
ORD Sale 653 2.8730 GBP
ORD Sale 777 2.8825 GBP
ORD Sale 801 2.8820 GBP
ORD Sale 1,075 2.8725 GBP
ORD Sale 1,228 2.8595 GBP
ORD Sale 1,228 2.8435 GBP
ORD Sale 1,276 2.8420 GBP
ORD Sale 1,276 2.8600 GBP
ORD Sale 1,276 2.8230 GBP
ORD Sale 1,296 2.8580 GBP
ORD Sale 1,301 2.8515 GBP
ORD Sale 1,307 2.8500 GBP
ORD Sale 1,411 2.8345 GBP
ORD Sale 1,474 2.8210 GBP
ORD Sale 1,569 2.8870 GBP
ORD Sale 2,224 2.8840 GBP
ORD Sale 2,513 2.8690 GBP
ORD Sale 2,581 2.8505 GBP
ORD Sale 2,716 2.8310 GBP
ORD Sale 2,955 2.8240 GBP
ORD Sale 3,468 2.8220 GBP
ORD Sale 3,632 2.8540 GBP
ORD Sale 3,691 2.8340 GBP
ORD Sale 4,037 2.8200 GBP
ORD Sale 4,747 2.8270 GBP
ORD Sale 5,196 2.8330 GBP
ORD Sale 5,652 2.8300 GBP
ORD Sale 6,597 2.8570 GBP
ORD Sale 7,185 2.8562 GBP
ORD Sale 14,701 2.8612 GBP
ORD Sale 18,958 2.8611 GBP
ORD Sale 21,014 2.8605 GBP
ORD Sale 21,123 2.8645 GBP
ORD Sale 22,256 2.8658 GBP
ORD Sale 24,786 2.8650 GBP
ORD Sale 39,646 2.8573 GBP
ORD Sale 40,548 2.8591 GBP
ORD Sale 86,103 2.8675 GBP
ORD Sale 95,195 2.8667 GBP
ORD Sale 214,954 2.8564 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 1,604 2.8757 GBP
ORD CFD Long 2,668 2.8873 GBP
ORD SWAP Long 5,170 2.8545 GBP
ORD CFD Long 6,078 2.8523 GBP
ORD CFD Long 20,000 2.8607 GBP
ORD SWAP Long 24,851 2.8650 GBP
ORD SWAP Long 25,216 2.8600 GBP
ORD SWAP Long 38,991 2.8655 GBP
ORD SWAP Long 67,793 2.8702 GBP
ORD SWAP Long 73,320 2.8653 GBP
ORD CFD Short 1,788 2.8740 GBP
ORD SWAP Short 4,387 2.8348 GBP
ORD CFD Short 9,121 2.8794 GBP
ORD SWAP Short 33,236 2.8454 GBP
ORD CFD Short 47,871 2.8497 GBP
ORD SWAP Short 54,542 2.8471 GBP
ORD SWAP Short 76,205 2.8277 GBP
ORD CFD Short 95,895 2.8578 GBP
ORD SWAP Short 128,488 2.8448 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: 4 May 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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