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: 01 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: 12,656,254 0.66% 11,842,120 0.61%
           
(2) Cash-settled derivatives:
10,567,954 0.55% 4,234,463 0.22%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,000,000 0.05% 0 0.00%
           
 
TOTAL: 24,224,208 1.26% 16,076,583 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%
           
 
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 225 2.2240 GBP
ORD Purchase 334 2.2230 GBP
ORD Purchase 400 2.2260 GBP
ORD Purchase 400 2.2220 GBP
ORD Purchase 559 2.2234 GBP
ORD Purchase 650 2.2340 GBP
ORD Purchase 800 2.2190 GBP
ADR Purchase 1,600 11.9575 USD
ORD Purchase 1,603 2.2290 GBP
ORD Purchase 1,783 2.2146 GBP
ORD Purchase 2,675 2.2180 GBP
ORD Purchase 3,449 2.2170 GBP
ORD Purchase 3,610 2.2360 GBP
ORD Purchase 4,182 2.2350 GBP
ORD Purchase 6,022 2.2200 GBP
ORD Purchase 6,531 2.2256 GBP
ORD Purchase 17,656 2.2331 GBP
ORD Purchase 18,018 2.2250 GBP
ORD Purchase 18,793 2.2370 GBP
ORD Purchase 18,964 2.2171 GBP
ORD Purchase 19,130 2.2202 GBP
ORD Purchase 21,550 2.2351 GBP
ORD Purchase 22,896 2.2150 GBP
ORD Purchase 23,618 2.2193 GBP
ORD Purchase 26,558 2.2209 GBP
ORD Purchase 28,858 2.2217 GBP
ORD Purchase 29,078 2.2196 GBP
ORD Purchase 57,338 2.2323 GBP
ORD Purchase 73,630 2.2279 GBP
ORD Sale 334 2.2230 GBP
ORD Sale 400 2.2220 GBP
ORD Sale 650 2.2340 GBP
ORD Sale 652 2.2200 GBP
ORD Sale 800 2.2190 GBP
ORD Sale 892 2.2150 GBP
ADR Sale 1,600 11.9575 USD
ORD Sale 2,208 2.2256 GBP
ORD Sale 2,520 2.2365 GBP
ORD Sale 2,684 2.2558 GBP
ORD Sale 3,125 2.2450 GBP
ORD Sale 3,214 2.2147 GBP
ORD Sale 3,449 2.2170 GBP
ORD Sale 3,610 2.2360 GBP
ORD Sale 4,260 2.2343 GBP
ORD Sale 4,464 2.2247 GBP
ORD Sale 4,591 2.2260 GBP
ORD Sale 5,243 2.2290 GBP
ORD Sale 9,149 2.2355 GBP
ORD Sale 9,327 2.2361 GBP
ORD Sale 10,120 2.2226 GBP
ORD Sale 10,868 2.2350 GBP
ORD Sale 18,793 2.2370 GBP
ORD Sale 22,585 2.2347 GBP
ORD Sale 27,425 2.2252 GBP
ORD Sale 35,885 2.2253 GBP
ORD Sale 56,752 2.2293 GBP
ORD Sale 60,449 2.2240 GBP
ORD Sale 68,580 2.2317 GBP
ORD Sale 100,000 2.2203 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 2,673 2.2347 GBP
ORD CFD Long 2,684 2.2558 GBP
ORD CFD Long 3,200 2.2278 GBP
ORD SWAP Long 4,464 2.2247 GBP
ORD CFD Long 6,403 2.2176 GBP
ORD CFD Long 13,771 2.2217 GBP
ORD CFD Long 8,001 2.2376 GBP
ORD SWAP Long 19,912 2.2346 GBP
ORD CFD Long 39,443 2.2357 GBP
ORD SWAP Long 57,238 2.2303 GBP
ORD SWAP Long 68,580 2.2317 GBP
ORD CFD Long 81,868 2.2218 GBP
ORD CFD Short 657 2.2463 GBP
ORD SWAP Short 6,531 2.2256 GBP
ORD CFD Short 17,656 2.2331 GBP
ORD CFD Short 19,220 2.2175 GBP
ORD SWAP Short 20,426 2.2220 GBP
ORD CFD Short 21,550 2.2351 GBP
ORD SWAP Short 22,004 2.2150 GBP
ORD SWAP Short 50,551 2.2221 GBP
ORD CFD Short 57,338 2.2323 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: 2 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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