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: 10 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:                    
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 10,649,310 0.55% 9,762,893 0.51%
           
(2) Cash-settled derivatives:
7,841,030 0.41% 210,103 0.01%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,000,000 0.05% 0 0.00%
           
(4)
TOTAL: 19,490,340 1.01% 9,972,996 0.52%
 
Class of relevant security:   Convertible Bond XS1268412993      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 800,000 0.04% 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: 800,000 0.04% 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 162 15.3100 USD
ORD Purchase 317 2.6510 GBP
ORD Purchase 445 2.6650 GBP
ORD Purchase 646 2.6525 GBP
ORD Purchase 800 2.6572 GBP
ORD Purchase 805 2.6530 GBP
ORD Purchase 835 2.6660 GBP
ORD Purchase 1,293 2.6645 GBP
ORD Purchase 1,436 2.6580 GBP
ORD Purchase 1,603 2.6540 GBP
ORD Purchase 1,604 2.6570 GBP
ORD Purchase 1,763 2.6610 GBP
ADR Purchase 2,000 15.2750 USD
ORD Purchase 2,166 2.6600 GBP
ORD Purchase 2,353 2.6620 GBP
ORD Purchase 3,153 2.6640 GBP
ORD Purchase 4,000 2.6480 GBP
ORD Purchase 4,234 2.6590 GBP
ORD Purchase 4,344 2.6550 GBP
ORD Purchase 4,961 2.6460 GBP
ORD Purchase 5,840 2.6583 GBP
ORD Purchase 8,866 2.6581 GBP
ORD Purchase 9,084 2.6587 GBP
ORD Purchase 10,131 2.6558 GBP
ORD Purchase 22,417 2.6571 GBP
ORD Purchase 25,000 2.6538 GBP
ORD Purchase 25,687 2.6579 GBP
ORD Purchase 31,690 2.6549 GBP
ORD Purchase 40,679 2.6575 GBP
ORD Purchase 43,339 2.6548 GBP
ORD Purchase 56,975 2.6560 GBP
ORD Purchase 82,675 2.6588 GBP
ORD Purchase 195,949 2.6553 GBP
ORD Purchase 252,362 2.6555 GBP
ORD Sale 48 2.6460 GBP
ADR Sale 162 15.3100 USD
ORD Sale 317 2.6510 GBP
ORD Sale 445 2.6650 GBP
ORD Sale 805 2.6530 GBP
ORD Sale 835 2.6660 GBP
ORD Sale 1,225 2.6609 GBP
ORD Sale 1,293 2.6645 GBP
ORD Sale 1,398 2.6577 GBP
ORD Sale 1,436 2.6580 GBP
ORD Sale 1,603 2.6540 GBP
ORD Sale 1,763 2.6610 GBP
ORD Sale 2,000 2.6480 GBP
ADR Sale 2,000 15.2750 USD
ORD Sale 2,166 2.6600 GBP
ORD Sale 2,353 2.6620 GBP
ORD Sale 2,385 2.6550 GBP
ORD Sale 2,523 2.6573 GBP
ORD Sale 3,674 2.6564 GBP
ORD Sale 6,021 2.6560 GBP
ORD Sale 6,306 2.6640 GBP
ORD Sale 6,995 2.6538 GBP
ORD Sale 10,650 2.6569 GBP
ORD Sale 12,108 2.6546 GBP
ORD Sale 15,867 2.6525 GBP
ORD Sale 20,119 2.6554 GBP
ORD Sale 20,805 2.6585 GBP
ORD Sale 22,387 2.6598 GBP
ORD Sale 33,705 2.6570 GBP
ORD Sale 42,855 2.6593 GBP
ORD Sale 81,693 2.6579 GBP
ORD Sale 130,558 2.6582 GBP
ORD Sale 182,076 2.6578 GBP
ORD Sale 195,781 2.6543 GBP
ORD Sale 360,634 2.6590 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 300 2.6677 GBP
ORD SWAP Long 5,600 2.6553 GBP
ORD CFD Long 7,112 2.6570 GBP
ORD SWAP Long 7,125 2.6569 GBP
ORD SWAP Long 12,108 2.6547 GBP
ORD CFD Long 16,227 2.6616 GBP
ORD CFD Long 19,856 2.6582 GBP
ORD SWAP Long 20,952 2.6583 GBP
ORD SWAP Long 29,953 2.6579 GBP
ORD SWAP Long 49,500 2.6571 GBP
ORD SWAP Long 65,634 2.6581 GBP
ORD SWAP Long 356,400 2.6590 GBP
ORD SWAP Short 685 2.6541 GBP
ORD SWAP Short 2,280 2.6591 GBP
ORD SWAP Short 2,679 2.6495 GBP
ORD SWAP Short 3,521 2.6505 GBP
ORD SWAP Short 3,565 2.6502 GBP
ORD CFD Short 3,976 2.6496 GBP
ORD CFD Short 9,222 2.6563 GBP
ORD SWAP Short 9,500 2.6472 GBP
ORD SWAP Short 75,328 2.6531 GBP
ORD CFD Short 237,293 2.6571 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: 11 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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