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 interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.

   
(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

 

J SAINSBURY PLC

(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:

For an opening position disclosure, state the latest practicable date prior to the disclosure

 

13 May 2016

(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state “N/A”

 

YES 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: 10,546,801 0.55% 9,813,182 0.51%
           
(2) Cash-settled derivatives:
8,212,745 0.43% 258,830 0.01%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,000,000 0.05% 0 0.00%
           
(4)
TOTAL: 19,759,546 1.03% 10,072,012 0.52%
 
Class of relevant security: Convertible Bond XS1268412993    
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 0 0.00% 200,000 0.01%
           
(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% 200,000 0.01%
 
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  
ORD Purchase 131 2.5300 GBP
ORD Purchase 155 2.5095 GBP
ORD Purchase 174 2.5350 GBP
ORD Purchase 222 2.5420 GBP
ORD Purchase 272 2.5460 GBP
ORD Purchase 300 2.5250 GBP
ORD Purchase 400 2.5400 GBP
ORD Purchase 400 2.5410 GBP
ORD Purchase 444 2.5490 GBP
ORD Purchase 521 2.5470 GBP
ORD Purchase 525 2.5161 GBP
ORD Purchase 574 2.5086 GBP
ORD Purchase 653 2.5081 GBP
ORD Purchase 793 2.5125 GBP
ORD Purchase 820 2.5106 GBP
ORD Purchase 933 2.5116 GBP
ORD Purchase 1,173 2.5146 GBP
ORD Purchase 1,461 2.5131 GBP
ORD Purchase 1,604 2.5240 GBP
ORD Purchase 1,691 2.5126 GBP
ORD Purchase 2,200 2.5481 GBP
ORD Purchase 2,208 2.5419 GBP
ORD Purchase 2,355 2.5510 GBP
ORD Purchase 2,400 2.5519 GBP
ORD Purchase 2,404 2.5440 GBP
ORD Purchase 2,685 2.5142 GBP
ORD Purchase 2,749 2.5500 GBP
ORD Purchase 3,829 2.5222 GBP
ORD Purchase 3,980 2.5160 GBP
ORD Purchase 4,165 2.5163 GBP
ORD Purchase 4,306 2.5430 GBP
ORD Purchase 4,491 2.5167 GBP
ORD Purchase 5,114 2.5130 GBP
ORD Purchase 5,961 2.5520 GBP
ORD Purchase 7,904 2.5143 GBP
ADR Purchase 8,668 14.5803 USD
ORD Purchase 8,758 2.5090 GBP
ORD Purchase 8,949 2.5140 GBP
ORD Purchase 11,780 2.5120 GBP
ORD Purchase 15,738 2.5080 GBP
ORD Purchase 23,093 2.5100 GBP
ORD Purchase 23,364 2.5479 GBP
ORD Purchase 28,538 2.5110 GBP
ORD Purchase 29,040 2.5193 GBP
ORD Purchase 29,693 2.5210 GBP
ORD Purchase 33,389 2.5150 GBP
ORD Purchase 48,014 2.5427 GBP
ORD Purchase 75,911 2.5239 GBP
ORD Purchase 109,653 2.5224 GBP
ORD Sale 60 2.5353 GBP
ORD Sale 114 2.5352 GBP
ORD Sale 131 2.5300 GBP
ORD Sale 174 2.5350 GBP
ORD Sale 222 2.5420 GBP
ORD Sale 272 2.5460 GBP
ORD Sale 300 2.5250 GBP
ORD Sale 400 2.5400 GBP
ORD Sale 400 2.5410 GBP
ORD Sale 444 2.5490 GBP
ORD Sale 521 2.5470 GBP
ORD Sale 793 2.5125 GBP
ORD Sale 1,380 2.5090 GBP
ORD Sale 1,604 2.5240 GBP
ORD Sale 2,355 2.5510 GBP
ORD Sale 2,749 2.5500 GBP
ORD Sale 3,178 2.5120 GBP
ORD Sale 3,498 2.5440 GBP
ORD Sale 3,658 2.5130 GBP
ORD Sale 3,677 2.5481 GBP
ORD Sale 4,100 2.5160 GBP
ORD Sale 5,509 2.5335 GBP
ORD Sale 5,797 2.5367 GBP
ORD Sale 6,011 2.5110 GBP
ORD Sale 6,947 2.5345 GBP
ORD Sale 8,230 2.5140 GBP
ADR Sale 8,668 14.5803 USD
ORD Sale 9,451 2.5338 GBP
ORD Sale 9,506 2.5430 GBP
ORD Sale 12,785 2.5297 GBP
ORD Sale 13,784 2.5312 GBP
ORD Sale 16,929 2.5150 GBP
ORD Sale 22,550 2.5520 GBP
ORD Sale 38,200 2.5354 GBP
ORD Sale 45,324 2.5365 GBP
ORD Sale 82,807 2.5230 GBP
ORD Sale 476,899 2.5238 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 2,757 2.5147 GBP
ORD CFD Long 5,509 2.5335 GBP
ORD SWAP Long 5,797 2.5367 GBP
ORD SWAP Long 9,451 2.5338 GBP
ORD CFD Long 13,313 2.5398 GBP
ORD CFD Long 16,969 2.5376 GBP
ORD CFD Long 24,208 2.5235 GBP
ORD SWAP Long 110,035 2.5278 GBP
ORD SWAP Long 476,899 2.5238 GBP
ORD SWAP Short 2,400 2.5518 GBP
ORD SWAP Short 2,544 2.5169 GBP
ORD SWAP Short 2,833 2.5345 GBP
ORD SWAP Short 4,370 2.5154 GBP
ORD CFD Short 5,509 2.5520 GBP
ORD SWAP Short 9,268 2.5162 GBP
ORD SWAP Short 12,238 2.5177 GBP
ORD CFD Short 17,072 2.5440 GBP
ORD SWAP Short 19,799 2.5157 GBP
ORD CFD Short 28,045 2.5262 GBP
ORD CFD Short 127,205 2.5219 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 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

Full name of person making disclosure:  

Barclays PLC.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

J SAINSBURY PLC

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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