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: 29 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: 12,777,128 0.66% 11,900,573 0.62%
           
(2) Cash-settled derivatives:
10,578,173 0.55% 4,336,986 0.23%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,000,000 0.05% 0 0.00%
           
 
TOTAL: 24,355,301 1.26% 16,237,559 0.84%
 
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: 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%
           
 
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 2.2315 GBP
ORD Purchase 7 2.2305 GBP
ORD Purchase 47 2.2470 GBP
ORD Purchase 401 2.2410 GBP
ORD Purchase 500 2.2520 GBP
ADR Purchase 728 12.0900 USD
ORD Purchase 848 2.2350 GBP
ADR Purchase 1,000 12.0460 USD
ORD Purchase 1,119 2.2375 GBP
ORD Purchase 1,229 2.2295 GBP
ORD Purchase 1,229 2.2385 GBP
ORD Purchase 1,604 2.2280 GBP
ORD Purchase 1,647 2.2290 GBP
ORD Purchase 3,019 2.2330 GBP
ORD Purchase 3,571 2.2300 GBP
ORD Purchase 4,612 2.2320 GBP
ORD Purchase 5,651 2.2380 GBP
ORD Purchase 6,806 2.2340 GBP
ORD Purchase 7,669 2.2370 GBP
ORD Purchase 7,865 2.2310 GBP
ORD Purchase 8,001 2.2348 GBP
ORD Purchase 11,738 2.2355 GBP
ORD Purchase 12,665 2.2360 GBP
ORD Purchase 48,614 2.2306 GBP
ORD Purchase 59,588 2.2430 GBP
ORD Purchase 61,729 2.2390 GBP
ORD Purchase 87,564 2.2386 GBP
ORD Purchase 113,588 2.2404 GBP
ORD Purchase 160,935 2.2400 GBP
ORD Sale 3 2.2315 GBP
ORD Sale 7 2.2305 GBP
ORD Sale 102 2.2411 GBP
ORD Sale 278 2.2412 GBP
ORD Sale 338 2.2370 GBP
ORD Sale 410 2.2518 GBP
ORD Sale 422 2.2410 GBP
ORD Sale 614 2.2295 GBP
ADR Sale 728 12.0900 USD
ADR Sale 1,000 12.0460 USD
ORD Sale 1,010 2.2300 GBP
ORD Sale 1,119 2.2375 GBP
ORD Sale 1,229 2.2390 GBP
ORD Sale 1,229 2.2385 GBP
ORD Sale 1,604 2.2280 GBP
ORD Sale 1,765 2.2380 GBP
ORD Sale 2,035 2.2288 GBP
ORD Sale 2,666 2.2310 GBP
ORD Sale 2,833 2.2320 GBP
ORD Sale 3,093 2.2318 GBP
ORD Sale 4,795 2.2400 GBP
ORD Sale 6,346 2.2352 GBP
ORD Sale 7,083 2.2364 GBP
ORD Sale 8,178 2.2381 GBP
ORD Sale 13,195 2.2360 GBP
ORD Sale 14,305 2.2384 GBP
ORD Sale 26,739 2.2427 GBP
ORD Sale 35,593 2.2368 GBP
ORD Sale 51,128 2.2404 GBP
ORD Sale 53,571 2.2424 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 100 2.2320 GBP
ORD CFD Long 410 2.2518 GBP
ORD CFD Long 2,000 2.2390 GBP
ORD CFD Long 3,285 2.2303 GBP
ORD SWAP Long 6,346 2.2352 GBP
ORD SWAP Long 8,557 2.2383 GBP
ORD CFD Long 4,364 2.2257 GBP
ORD CFD Long 18,777 2.2377 GBP
ORD CFD Long 26,739 2.2427 GBP
ORD CFD Long 30,043 2.2381 GBP
ORD CFD Long 51,128 2.2405 GBP
ORD CFD Long 53,571 2.2424 GBP
ORD CFD Short 1,456 2.2411 GBP
ORD SWAP Short 18,712 2.2371 GBP
ORD CFD Short 44,487 2.2360 GBP
ORD SWAP Short 48,614 2.2306 GBP
ORD SWAP Short 63,849 2.2386 GBP
ORD CFD Short 32,578 2.2410 GBP
ORD SWAP Short 261,505 2.2407 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: 1 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.

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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