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: 17 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

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: 14,090,381 0.73% 12,151,443 0.63%
           
(2) Cash-settled derivatives:
11,167,238 0.58% 5,766,767 0.30%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,300,000 0.07% 0 0.00%
           
(4)
TOTAL: 26,557,619 1.38% 17,918,210 0.93%
 
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%
           
(4)
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: 3,100,000 0.16% 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: 3,100,000 0.16% 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 12 2.3605 GBP
ORD Purchase 50 2.3565 GBP
ORD Purchase 244 2.3320 GBP
ORD Purchase 253 2.3610 GBP
ADR Purchase 400 12.3500 USD
ORD Purchase 448 2.3615 GBP
ORD Purchase 528 2.3350 GBP
ORD Purchase 607 2.3611 GBP
ORD Purchase 614 2.3635 GBP
ORD Purchase 934 2.3453 GBP
ORD Purchase 1,003 2.3501 GBP
ORD Purchase 1,087 2.3255 GBP
ORD Purchase 1,229 2.3405 GBP
ORD Purchase 1,250 2.3330 GBP
ORD Purchase 1,306 2.3400 GBP
ORD Purchase 1,445 2.3505 GBP
ORD Purchase 1,555 2.3457 GBP
ORD Purchase 1,683 2.3595 GBP
ORD Purchase 1,815 2.3390 GBP
ORD Purchase 1,817 2.3515 GBP
ORD Purchase 1,864 2.3380 GBP
ORD Purchase 1,995 2.3360 GBP
ORD Purchase 2,220 2.3285 GBP
ORD Purchase 2,390 2.3370 GBP
ORD Purchase 2,486 2.3620 GBP
ORD Purchase 2,601 2.3555 GBP
ORD Purchase 2,700 2.3345 GBP
ORD Purchase 2,750 2.3498 GBP
ORD Purchase 2,766 2.3425 GBP
ORD Purchase 2,847 2.3435 GBP
ORD Purchase 2,892 2.3340 GBP
ORD Purchase 2,933 2.3520 GBP
ORD Purchase 2,957 2.3275 GBP
ORD Purchase 2,960 2.3295 GBP
ORD Purchase 3,021 2.3365 GBP
ORD Purchase 3,170 2.3395 GBP
ORD Purchase 3,179 2.3455 GBP
ORD Purchase 3,449 2.3535 GBP
ORD Purchase 3,525 2.3280 GBP
ORD Purchase 4,018 2.3315 GBP
ORD Purchase 4,337 2.3590 GBP
ORD Purchase 4,344 2.3580 GBP
ORD Purchase 4,381 2.3260 GBP
ORD Purchase 4,396 2.3325 GBP
ORD Purchase 4,504 2.3335 GBP
ORD Purchase 4,633 2.3545 GBP
ORD Purchase 4,773 2.3250 GBP
ORD Purchase 4,854 2.3305 GBP
ORD Purchase 4,922 2.3500 GBP
ORD Purchase 5,119 2.3570 GBP
ORD Purchase 5,126 2.3290 GBP
ORD Purchase 5,160 2.3265 GBP
ORD Purchase 5,225 2.3527 GBP
ORD Purchase 5,717 2.3572 GBP
ORD Purchase 5,778 2.3550 GBP
ORD Purchase 6,013 2.3575 GBP
ORD Purchase 6,066 2.3375 GBP
ORD Purchase 6,263 2.3270 GBP
ORD Purchase 6,270 2.3355 GBP
ORD Purchase 6,431 2.3525 GBP
ORD Purchase 7,171 2.3560 GBP
ORD Purchase 7,622 2.3310 GBP
ORD Purchase 7,947 2.3420 GBP
ORD Purchase 8,262 2.3585 GBP
ORD Purchase 8,318 2.3445 GBP
ORD Purchase 9,642 2.3530 GBP
ORD Purchase 9,727 2.3479 GBP
ORD Purchase 10,054 2.3600 GBP
ORD Purchase 11,597 2.3510 GBP
ORD Purchase 13,360 2.3300 GBP
ORD Purchase 14,886 2.3468 GBP
ORD Purchase 16,834 2.3538 GBP
ORD Purchase 19,438 2.3475 GBP
ORD Purchase 21,994 2.3460 GBP
ORD Purchase 23,014 2.3450 GBP
ORD Purchase 23,810 2.3470 GBP
ORD Purchase 25,706 2.3490 GBP
ORD Purchase 27,310 2.3465 GBP
ORD Purchase 28,605 2.3540 GBP
ORD Purchase 43,429 2.3485 GBP
ORD Purchase 47,266 2.3495 GBP
ORD Purchase 59,380 2.3443 GBP
ORD Purchase 60,824 2.3440 GBP
ORD Purchase 107,567 2.3480 GBP
ORD Purchase 2,930,000 2.3433 GBP
ORD Sale 12 2.3605 GBP
ORD Sale 50 2.3565 GBP
ORD Sale 244 2.3320 GBP
ORD Sale 253 2.3610 GBP
ADR Sale 400 12.3500 USD
ORD Sale 448 2.3615 GBP
ORD Sale 528 2.3350 GBP
ORD Sale 614 2.3635 GBP
ORD Sale 1,087 2.3255 GBP
ORD Sale 1,229 2.3405 GBP
ORD Sale 1,250 2.3330 GBP
ORD Sale 1,306 2.3400 GBP
ORD Sale 1,312 2.3608 GBP
ORD Sale 1,445 2.3505 GBP
ORD Sale 1,683 2.3595 GBP
ORD Sale 1,815 2.3390 GBP
ORD Sale 1,817 2.3515 GBP
ORD Sale 1,864 2.3380 GBP
ORD Sale 1,995 2.3360 GBP
ORD Sale 2,220 2.3285 GBP
ORD Sale 2,486 2.3620 GBP
ORD Sale 2,601 2.3555 GBP
ORD Sale 2,700 2.3345 GBP
ORD Sale 2,766 2.3425 GBP
ORD Sale 2,847 2.3435 GBP
ORD Sale 2,892 2.3340 GBP
ORD Sale 2,933 2.3520 GBP
ORD Sale 2,957 2.3275 GBP
ORD Sale 2,960 2.3295 GBP
ORD Sale 3,021 2.3365 GBP
ORD Sale 3,058 2.3370 GBP
ORD Sale 3,170 2.3395 GBP
ORD Sale 3,449 2.3535 GBP
ORD Sale 3,525 2.3280 GBP
ORD Sale 3,724 2.3457 GBP
ORD Sale 4,018 2.3315 GBP
ORD Sale 4,337 2.3590 GBP
ORD Sale 4,344 2.3580 GBP
ORD Sale 4,381 2.3260 GBP
ORD Sale 4,396 2.3325 GBP
ORD Sale 4,504 2.3335 GBP
ORD Sale 4,633 2.3545 GBP
ORD Sale 4,773 2.3250 GBP
ORD Sale 4,854 2.3305 GBP
ORD Sale 4,922 2.3500 GBP
ORD Sale 5,119 2.3570 GBP
ORD Sale 5,126 2.3290 GBP
ORD Sale 5,160 2.3265 GBP
ORD Sale 5,250 2.3484 GBP
ORD Sale 5,778 2.3550 GBP
ORD Sale 5,779 2.3441 GBP
ORD Sale 6,066 2.3375 GBP
ORD Sale 6,263 2.3270 GBP
ORD Sale 6,270 2.3355 GBP
ORD Sale 6,431 2.3525 GBP
ORD Sale 6,628 2.3575 GBP
ORD Sale 7,171 2.3560 GBP
ORD Sale 7,622 2.3310 GBP
ORD Sale 7,841 2.3463 GBP
ORD Sale 7,947 2.3420 GBP
ORD Sale 8,262 2.3585 GBP
ORD Sale 8,318 2.3445 GBP
ORD Sale 9,642 2.3530 GBP
ORD Sale 10,054 2.3600 GBP
ORD Sale 13,360 2.3300 GBP
ORD Sale 14,439 2.3373 GBP
ORD Sale 16,268 2.3526 GBP
ORD Sale 19,438 2.3475 GBP
ORD Sale 21,994 2.3460 GBP
ORD Sale 23,810 2.3470 GBP
ORD Sale 25,466 2.3501 GBP
ORD Sale 25,505 2.3450 GBP
ORD Sale 25,706 2.3490 GBP
ORD Sale 27,310 2.3465 GBP
ORD Sale 28,605 2.3540 GBP
ORD Sale 32,007 2.3466 GBP
ORD Sale 43,429 2.3485 GBP
ORD Sale 48,206 2.3473 GBP
ORD Sale 48,351 2.3458 GBP
ORD Sale 62,211 2.3483 GBP
ORD Sale 65,671 2.3440 GBP
ORD Sale 71,926 2.3521 GBP
ORD Sale 82,012 2.3408 GBP
ORD Sale 89,991 2.3467 GBP
ORD Sale 93,297 2.3412 GBP
ORD Sale 107,567 2.3480 GBP
ORD Sale 113,383 2.3351 GBP
ORD Sale 138,834 2.3510 GBP
ORD Sale 222,555 2.3469 GBP
ORD Sale 373,051 2.3455 GBP
ORD Sale 403,489 2.3364 GBP
ORD Sale 509,061 2.3511 GBP
ORD Sale 984,762 2.3495 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 668 2.3370 GBP
ORD CFD Long 1,312 2.3608 GBP
ORD SWAP Long 3,724 2.3457 GBP
ORD CFD Long 13,726 2.3467 GBP
ORD CFD Long 21,468 2.3318 GBP
ORD CFD Long 22,202 2.3477 GBP
ORD SWAP Long 48,351 2.3458 GBP
ORD SWAP Long 51,842 2.3536 GBP
ORD SWAP Long 77,317 2.3342 GBP
ORD CFD Long 119,251 2.3427 GBP
ORD CFD Short 607 2.3611 GBP
ORD CFD Short 755 2.3471 GBP
ORD CFD Short 1,003 2.3500 GBP
ORD CFD Short 3,200 2.3570 GBP
ORD SWAP Short 4,425 2.3469 GBP
ORD CFD Short 5,080 2.3443 GBP
ORD SWAP Short 10,758 2.3498 GBP
ORD SWAP Short 11,932 2.3488 GBP
ORD SWAP Short 13,890 2.3536 GBP
ORD CFD Short 16,408 2.3468 GBP
ORD SWAP Short 16,408 2.3468 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: 18 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
ORD Call Options Purchased 300,000 230.0000 American 16 Sep 2016

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.

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