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: 04 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: 13,009,702 0.68% 11,698,522 0.61%
           
(2) Cash-settled derivatives:
10,557,410 0.55% 4,705,738 0.24%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,300,000 0.07% 0 0.00%
           
(4)
TOTAL: 24,867,112 1.29% 16,404,260 0.85%
 
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: 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%
           
(4)
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 299 2.2420 GBP
ORD Purchase 614 2.2855 GBP
ORD Purchase 755 2.2625 GBP
ORD Purchase 1,003 2.2850 GBP
ORD Purchase 1,251 2.2815 GBP
ORD Purchase 1,265 2.2810 GBP
ORD Purchase 1,281 2.2800 GBP
ORD Purchase 1,307 2.2860 GBP
ORD Purchase 1,388 2.2780 GBP
ORD Purchase 1,487 2.2620 GBP
ORD Purchase 1,603 2.2430 GBP
ORD Purchase 1,648 2.2840 GBP
ORD Purchase 2,123 2.2775 GBP
ORD Purchase 2,423 2.2630 GBP
ORD Purchase 2,605 2.2729 GBP
ORD Purchase 2,772 2.2251 GBP
ORD Purchase 3,195 2.2665 GBP
ORD Purchase 3,277 2.2455 GBP
ORD Purchase 3,546 2.2465 GBP
ORD Purchase 3,585 2.2495 GBP
ORD Purchase 3,636 2.2835 GBP
ORD Purchase 3,856 2.2370 GBP
ORD Purchase 4,169 2.2380 GBP
ORD Purchase 4,252 2.2645 GBP
ORD Purchase 4,255 2.2830 GBP
ORD Purchase 4,275 2.2450 GBP
ORD Purchase 4,420 2.2700 GBP
ORD Purchase 4,918 2.2705 GBP
ORD Purchase 4,961 2.2440 GBP
ORD Purchase 5,256 2.2360 GBP
ORD Purchase 5,308 2.2760 GBP
ORD Purchase 5,394 2.2480 GBP
ORD Purchase 5,711 2.2460 GBP
ORD Purchase 5,769 2.2765 GBP
ORD Purchase 6,126 2.2755 GBP
ORD Purchase 6,295 2.2675 GBP
ORD Purchase 6,414 2.2790 GBP
ORD Purchase 6,767 2.2650 GBP
ORD Purchase 6,908 2.2626 GBP
ORD Purchase 6,910 2.2682 GBP
ORD Purchase 7,118 2.2640 GBP
ORD Purchase 7,199 2.2805 GBP
ORD Purchase 7,647 2.2733 GBP
ORD Purchase 7,717 2.2715 GBP
ORD Purchase 7,761 2.2454 GBP
ORD Purchase 7,819 2.2670 GBP
ORD Purchase 8,328 2.2655 GBP
ORD Purchase 8,394 2.2725 GBP
ORD Purchase 8,492 2.2470 GBP
ORD Purchase 8,538 2.2693 GBP
ORD Purchase 8,689 2.2785 GBP
ORD Purchase 9,763 2.2660 GBP
ORD Purchase 12,264 2.2750 GBP
ORD Purchase 13,541 2.2795 GBP
ORD Purchase 14,439 2.2735 GBP
ORD Purchase 14,997 2.2695 GBP
ORD Purchase 16,192 2.2680 GBP
ORD Purchase 16,499 2.2745 GBP
ORD Purchase 17,193 2.2690 GBP
ORD Purchase 17,694 2.2740 GBP
ORD Purchase 19,096 2.2681 GBP
ORD Purchase 21,003 2.2730 GBP
ORD Purchase 21,175 2.2756 GBP
ORD Purchase 27,053 2.2720 GBP
ORD Purchase 32,907 2.2635 GBP
ORD Purchase 35,053 2.2569 GBP
ORD Purchase 42,241 2.2691 GBP
ORD Purchase 48,259 2.2633 GBP
ORD Purchase 59,054 2.2560 GBP
ORD Purchase 75,392 2.2685 GBP
ORD Purchase 147,213 2.2710 GBP
ORD Purchase 147,571 2.2601 GBP
ORD Purchase 208,601 2.2709 GBP
ORD Purchase 231,584 2.2250 GBP
ORD Purchase 880,748 2.2686 GBP
ORD Sale 614 2.2855 GBP
ORD Sale 755 2.2625 GBP
ORD Sale 1,003 2.2850 GBP
ORD Sale 1,251 2.2815 GBP
ORD Sale 1,265 2.2810 GBP
ORD Sale 1,307 2.2860 GBP
ORD Sale 1,388 2.2780 GBP
ORD Sale 1,487 2.2620 GBP
ORD Sale 1,603 2.2430 GBP
ORD Sale 1,648 2.2840 GBP
ORD Sale 1,860 2.2635 GBP
ORD Sale 2,123 2.2775 GBP
ORD Sale 2,289 2.2589 GBP
ORD Sale 2,325 2.2439 GBP
ORD Sale 2,423 2.2630 GBP
ORD Sale 2,645 2.2704 GBP
ORD Sale 2,693 2.2714 GBP
ORD Sale 3,195 2.2665 GBP
ORD Sale 3,277 2.2455 GBP
ORD Sale 3,454 2.2453 GBP
ORD Sale 3,454 2.2347 GBP
ORD Sale 3,454 2.2464 GBP
ORD Sale 3,546 2.2465 GBP
ORD Sale 3,585 2.2495 GBP
ORD Sale 3,636 2.2835 GBP
ORD Sale 3,753 2.2420 GBP
ORD Sale 3,856 2.2370 GBP
ORD Sale 4,252 2.2645 GBP
ORD Sale 4,255 2.2830 GBP
ORD Sale 4,275 2.2450 GBP
ORD Sale 4,420 2.2700 GBP
ORD Sale 4,492 2.2710 GBP
ORD Sale 4,870 2.2676 GBP
ORD Sale 4,918 2.2705 GBP
ORD Sale 4,961 2.2440 GBP
ORD Sale 5,256 2.2360 GBP
ORD Sale 5,308 2.2760 GBP
ORD Sale 5,394 2.2480 GBP
ORD Sale 5,711 2.2460 GBP
ORD Sale 5,769 2.2765 GBP
ORD Sale 6,126 2.2755 GBP
ORD Sale 6,295 2.2675 GBP
ORD Sale 6,414 2.2790 GBP
ORD Sale 6,767 2.2650 GBP
ORD Sale 6,868 2.2615 GBP
ORD Sale 6,966 2.2614 GBP
ORD Sale 6,996 2.2380 GBP
ORD Sale 7,118 2.2640 GBP
ORD Sale 7,199 2.2805 GBP
ORD Sale 7,717 2.2715 GBP
ORD Sale 8,394 2.2725 GBP
ORD Sale 8,689 2.2785 GBP
ORD Sale 8,892 2.2470 GBP
ORD Sale 9,422 2.2678 GBP
ORD Sale 9,763 2.2660 GBP
ORD Sale 9,952 2.2670 GBP
ORD Sale 12,264 2.2750 GBP
ORD Sale 13,541 2.2795 GBP
ORD Sale 13,551 2.2667 GBP
ORD Sale 14,439 2.2735 GBP
ORD Sale 14,997 2.2695 GBP
ORD Sale 16,499 2.2745 GBP
ORD Sale 17,193 2.2690 GBP
ORD Sale 17,694 2.2740 GBP
ORD Sale 21,003 2.2730 GBP
ORD Sale 22,368 2.2568 GBP
ORD Sale 25,671 2.2685 GBP
ORD Sale 27,053 2.2720 GBP
ORD Sale 27,424 2.2655 GBP
ORD Sale 30,819 2.2637 GBP
ORD Sale 32,588 2.2577 GBP
ORD Sale 68,528 2.2578 GBP
ORD Sale 69,713 2.2624 GBP
ORD Sale 107,073 2.2680 GBP
ORD Sale 145,281 2.2800 GBP
ORD Sale 1,439,785 2.2694 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 2,105 2.2740 GBP
ORD CFD Long 3,454 2.2347 GBP
ORD CFD Long 3,454 2.2420 GBP
ORD CFD Long 3,454 2.2453 GBP
ORD CFD Long 3,454 2.2464 GBP
ORD CFD Long 4,870 2.2676 GBP
ORD SWAP Long 6,868 2.2614 GBP
ORD SWAP Long 8,454 2.2735 GBP
ORD SWAP Long 8,646 2.2733 GBP
ORD CFD Long 9,422 2.2678 GBP
ORD SWAP Long 12,208 2.2359 GBP
ORD CFD Long 14,000 2.2677 GBP
ORD CFD Long 15,525 2.2646 GBP
ORD CFD Long 19,096 2.2655 GBP
ORD CFD Long 19,226 2.2685 GBP
ORD SWAP Long 51,980 2.2632 GBP
ORD SWAP Long 55,145 2.2694 GBP
ORD CFD Long 200,630 2.2609 GBP
ORD SWAP Expires 05/09/2016 Long 630,439 2.2250 GBP
ORD CFD Short 2,772 2.2251 GBP
ORD CFD Short 6,908 2.2626 GBP
ORD CFD Short 6,910 2.2682 GBP
ORD CFD Short 7,761 2.2454 GBP
ORD CFD Short 19,096 2.2681 GBP
ORD SWAP Short 22,878 2.2614 GBP
ORD CFD Short 31,047 2.2635 GBP
ORD CFD Short 39,432 2.2434 GBP
ORD CFD Short 105,190 2.2655 GBP
ORD SWAP Short 117,417 2.2590 GBP
ORD CFD Short 231,584 2.2250 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: 5 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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Sainsbury (J) (SBRY)
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