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: 13 June 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:        
Interests       Short Positions    
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 10,883,195 0.57% 11,874,005 0.62%
           
(2) Cash-settled derivatives:
9,875,796 0.51% 705,276 0.04%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,000,000 0.05% 0 0.00%
           
(4)
TOTAL: 21,758,991 1.13% 12,579,281 0.65%
 
Class of relevant security:   Convertible Bond XS1268412993      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 1,300,000 0.07% 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: 1,300,000 0.07% 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 500 2.4010 GBP
ORD Purchase 529 2.3880 GBP
ADR Purchase 1,466 13.6036 USD
ORD Purchase 1,603 2.4260 GBP
ORD Purchase 1,604 2.3870 GBP
ORD Purchase 2,000 2.3940 GBP
ORD Purchase 2,160 2.3920 GBP
ORD Purchase 3,426 2.4101 GBP
ORD Purchase 3,600 2.3760 GBP
ORD Purchase 4,000 2.3790 GBP
ADR Purchase 7,200 13.5213 USD
ORD Purchase 7,984 2.4088 GBP
ORD Purchase 10,316 2.4362 GBP
ORD Purchase 16,979 2.3890 GBP
ORD Purchase 19,678 2.4059 GBP
ORD Purchase 20,606 2.4270 GBP
ORD Purchase 23,891 2.3866 GBP
ORD Purchase 29,727 2.3821 GBP
ORD Purchase 36,430 2.3820 GBP
ORD Purchase 59,603 2.3763 GBP
ORD Purchase 190,333 2.3803 GBP
ORD Purchase 361,599 2.3831 GBP
ORD Purchase 1,757,535 2.3815 GBP
ORD Sale 130 2.4180 GBP
ORD Sale 529 2.3880 GBP
ORD Sale 1,332 2.3920 GBP
ADR Sale 1,466 13.6036 USD
ORD Sale 1,603 2.4260 GBP
ORD Sale 1,604 2.3870 GBP
ORD Sale 1,660 2.3778 GBP
ORD Sale 2,000 2.3940 GBP
ORD Sale 2,003 2.4196 GBP
ORD Sale 3,600 2.3760 GBP
ORD Sale 4,000 2.3790 GBP
ORD Sale 6,757 2.3890 GBP
ADR Sale 7,200 13.5213 USD
ORD Sale 7,310 2.4092 GBP
ORD Sale 9,200 2.3804 GBP
ORD Sale 10,303 2.4271 GBP
ORD Sale 10,303 2.4270 GBP
ORD Sale 10,316 2.4098 GBP
ORD Sale 11,396 2.4201 GBP
ORD Sale 18,573 2.3825 GBP
ORD Sale 22,132 2.3820 GBP
ORD Sale 22,209 2.3891 GBP
ORD Sale 29,288 2.3900 GBP
ORD Sale 32,339 2.3857 GBP
ORD Sale 53,043 2.3908 GBP
ORD Sale 68,681 2.3808 GBP
ORD Sale 75,130 2.3966 GBP
ORD Sale 97,577 2.3785 GBP
ORD Sale 216,442 2.3764 GBP
ORD Sale 326,090 2.3848 GBP
ORD Sale 474,337 2.3762 GBP
ORD Sale 668,942 2.3854 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 3,371 2.4046 GBP
ORD SWAP Long 3,491 2.3928 GBP
ORD CFD Long 3,718 2.4279 GBP
ORD SWAP Long 4,591 2.4203 GBP
ORD CFD Long 10,316 2.4098 GBP
ORD CFD Long 14,320 2.3820 GBP
ORD CFD Long 14,400 2.3771 GBP
ORD SWAP Long 15,082 2.3801 GBP
ORD CFD Long 15,658 2.3821 GBP
ORD CFD Long 16,681 2.3890 GBP
ORD CFD Long 19,038 2.3799 GBP
ORD CFD Long 28,284 2.4080 GBP
ORD CFD Long 97,577 2.3785 GBP
ORD SWAP Long 117,471 2.3901 GBP
ORD SWAP Short 2,486 2.3994 GBP
ORD CFD Short 2,932 2.3867 GBP
ORD CFD Short 3,426 2.4101 GBP
ORD CFD Short 10,316 2.4362 GBP
ORD CFD Short 11,922 2.3692 GBP
ORD CFD Short 12,156 2.3929 GBP
ORD SWAP Short 23,891 2.3866 GBP
ORD CFD Short 28,634 2.3884 GBP
ORD CFD Short 29,727 2.3821 GBP
ORD CFD Short 59,603 2.3763 GBP
ORD CFD Short 161,035 2.3722 GBP
ORD CFD Short 375,893 2.3865 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: 14 Jun 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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