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: 05 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: 10,476,471 0.54% 10,267,871 0.53%
           
(2) Cash-settled derivatives:
8,296,393 0.43% 191,547 0.01%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,000,000 0.05% 0 0.00%
           
 
TOTAL: 19,772,864 1.03% 10,459,418 0.54%
 
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%
           
 
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%
           
 
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 200 15.3500 USD
ORD Purchase 272 2.7190 GBP
ORD Purchase 429 2.7010 GBP
ORD Purchase 726 2.6660 GBP
ORD Purchase 1,291 2.6525 GBP
ORD Purchase 1,291 2.6510 GBP
ORD Purchase 1,536 2.6540 GBP
ORD Purchase 1,603 2.6930 GBP
ORD Purchase 1,711 2.6910 GBP
ORD Purchase 1,860 2.7135 GBP
ORD Purchase 2,140 2.7151 GBP
ORD Purchase 2,323 2.6740 GBP
ORD Purchase 2,687 2.6960 GBP
ORD Purchase 2,853 2.6975 GBP
ORD Purchase 3,303 2.6340 GBP
ORD Purchase 3,641 2.6520 GBP
ORD Purchase 4,344 2.6530 GBP
ORD Purchase 4,854 2.6500 GBP
ORD Purchase 5,998 2.6514 GBP
ORD Purchase 7,358 2.6614 GBP
ORD Purchase 7,465 2.6950 GBP
ORD Purchase 8,911 2.6417 GBP
ORD Purchase 9,648 2.6480 GBP
ORD Purchase 11,087 2.6490 GBP
ORD Purchase 12,474 2.6412 GBP
ORD Purchase 14,617 2.6470 GBP
ORD Purchase 16,790 2.6390 GBP
ORD Purchase 18,457 2.6487 GBP
ORD Purchase 18,499 2.6240 GBP
ORD Purchase 18,611 2.6460 GBP
ORD Purchase 53,536 2.6603 GBP
ORD Purchase 60,780 2.6402 GBP
ORD Purchase 97,224 2.6598 GBP
ORD Purchase 124,886 2.6452 GBP
ORD Purchase 145,660 2.6491 GBP
ORD Purchase 249,071 2.6435 GBP
ORD Purchase 280,530 2.6501 GBP
ORD Purchase 395,885 2.6444 GBP
ADR Sale 200 15.3500 USD
ORD Sale 272 2.7190 GBP
ORD Sale 429 2.7010 GBP
ORD Sale 442 2.7075 GBP
ORD Sale 625 2.6841 GBP
ORD Sale 1,067 2.6554 GBP
ORD Sale 1,221 2.7129 GBP
ORD Sale 1,291 2.6510 GBP
ORD Sale 1,327 2.6295 GBP
ORD Sale 1,536 2.6480 GBP
ORD Sale 1,536 2.6460 GBP
ORD Sale 1,536 2.6530 GBP
ORD Sale 1,536 2.6540 GBP
ORD Sale 1,603 2.6930 GBP
ORD Sale 1,711 2.6910 GBP
ORD Sale 2,272 2.6520 GBP
ORD Sale 2,320 2.6660 GBP
ORD Sale 2,323 2.6740 GBP
ORD Sale 2,687 2.6960 GBP
ORD Sale 2,726 2.6410 GBP
ORD Sale 2,853 2.6975 GBP
ORD Sale 2,901 2.6950 GBP
ORD Sale 3,303 2.6340 GBP
ORD Sale 3,594 2.6806 GBP
ORD Sale 4,030 2.6490 GBP
ORD Sale 5,055 2.6470 GBP
ORD Sale 7,159 2.6891 GBP
ORD Sale 13,991 2.6380 GBP
ORD Sale 18,163 2.6542 GBP
ORD Sale 23,103 2.6642 GBP
ORD Sale 27,917 2.6565 GBP
ORD Sale 86,508 2.6525 GBP
ORD Sale 277,081 2.6595 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 1,100 2.6312 GBP
ORD CFD Long 3,607 2.6657 GBP
ORD CFD Long 7,688 2.6896 GBP
ORD CFD Long 10,875 2.6523 GBP
ORD CFD Long 16,423 2.6556 GBP
ORD SWAP Long 130,432 2.6791 GBP
ORD SWAP Short 3,368 2.6470 GBP
ORD SWAP Short 12,542 2.6454 GBP
ORD SWAP Short 22,914 2.6377 GBP
ORD CFD Short 38,407 2.6887 GBP
ORD SWAP Short 53,536 2.6603 GBP
ORD SWAP Short 97,785 2.6526 GBP
ORD SWAP Short 98,119 2.6535 GBP
ORD SWAP Short 126,410 2.6322 GBP
ORD SWAP Short 133,449 2.6344 GBP
ORD SWAP Short 269,680 2.6579 GBP
ORD CFD Short 273,980 2.6349 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: 6 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.

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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