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: 15 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 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:                    
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 11,665,365 0.61% 11,862,274 0.62%
           
(2) Cash-settled derivatives:
9,872,086 0.51% 1,367,370 0.07%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,000,000 0.05% 0 0.00%
           
(4)
TOTAL: 22,537,451 1.17% 13,229,644 0.69%
 
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  
ADR Purchase 900 13.2071 USD
ORD Purchase 1,627 2.3280 GBP
ORD Purchase 2,262 2.3359 GBP
ORD Purchase 4,121 2.3307 GBP
ADR Purchase 4,200 13.0600 USD
ORD Purchase 6,097 2.3295 GBP
ORD Purchase 7,376 2.3305 GBP
ORD Purchase 9,962 2.3428 GBP
ORD Purchase 10,903 2.3304 GBP
ORD Purchase 19,468 2.3306 GBP
ORD Purchase 19,675 2.3301 GBP
ORD Purchase 20,000 2.3282 GBP
ORD Purchase 20,038 2.3368 GBP
ORD Purchase 21,909 2.3294 GBP
ORD Purchase 29,082 2.3257 GBP
ORD Purchase 35,589 2.3309 GBP
ORD Purchase 140,555 2.3303 GBP
ORD Purchase 198,068 2.3371 GBP
ORD Purchase 203,197 2.3180 GBP
ORD Sale 606 2.3427 GBP
ADR Sale 900 13.2071 USD
ORD Sale 3,254 2.3280 GBP
ORD Sale 4,090 2.3277 GBP
ADR Sale 4,200 13.0600 USD
ORD Sale 4,619 2.3352 GBP
ORD Sale 6,652 2.3380 GBP
ORD Sale 7,997 2.3333 GBP
ORD Sale 9,732 2.3325 GBP
ORD Sale 10,705 2.3239 GBP
ORD Sale 12,742 2.3418 GBP
ORD Sale 19,862 2.3274 GBP
ORD Sale 23,731 2.3355 GBP
ORD Sale 30,000 2.3388 GBP
ORD Sale 32,877 2.3275 GBP
ORD Sale 42,274 2.3289 GBP
ORD Sale 79,257 2.3288 GBP
ORD Sale 98,281 2.3311 GBP
ORD Sale 123,979 2.3377 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 300 2.3489 GBP
ORD SWAP Long 8,009 2.3297 GBP
ORD CFD Long 9,737 2.3353 GBP
ORD CFD Long 19,862 2.3275 GBP
ORD CFD Long 20,624 2.3298 GBP
ORD CFD Long 37,704 2.3332 GBP
ORD CFD Long 98,281 2.3311 GBP
ORD SWAP Long 199,100 2.3338 GBP
ORD CFD Short 1,800 2.3261 GBP
ORD SWAP Short 4,100 2.3462 GBP
ORD CFD Short 11,368 2.3343 GBP
ORD CFD Short 12,282 2.3187 GBP
ORD CFD Short 19,675 2.3301 GBP
ORD CFD Short 20,624 2.3291 GBP
ORD CFD Short 21,909 2.3294 GBP
ORD CFD Short 36,268 2.3306 GBP
ORD SWAP Short 36,268 2.3306 GBP
ORD CFD Short 23,060 2.3228 GBP
ORD CFD Short 98,281 2.3180 GBP
ORD CFD Short 77,863 2.3281 GBP
ORD SWAP Short 208,791 2.3372 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: 16 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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