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: 26 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: 16,711,830 0.87% 10,063,388 0.52%
           
(2) Cash-settled derivatives:
6,666,659 0.35% 5,527,689 0.29%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,300,000 0.07% 0 0.00%
           
(4)
TOTAL: 24,678,489 1.28% 15,591,077 0.81%
 
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 129 2.4061 GBP
ORD Purchase 415 2.4170 GBP
ORD Purchase 600 2.4085 GBP
ORD Purchase 630 2.4066 GBP
ORD Purchase 703 2.4091 GBP
ORD Purchase 945 2.4260 GBP
ORD Purchase 1,021 2.4055 GBP
ORD Purchase 1,026 2.4141 GBP
ORD Purchase 1,436 2.4105 GBP
ORD Purchase 1,502 2.4040 GBP
ORD Purchase 1,838 2.4250 GBP
ORD Purchase 1,855 2.4115 GBP
ORD Purchase 1,866 2.4084 GBP
ORD Purchase 2,207 2.4070 GBP
ADR Purchase 2,738 12.9075 USD
ORD Purchase 3,241 2.4159 GBP
ORD Purchase 5,251 2.4094 GBP
ORD Purchase 5,600 2.4265 GBP
ORD Purchase 5,610 2.4126 GBP
ORD Purchase 6,587 2.4050 GBP
ORD Purchase 7,051 2.4111 GBP
ORD Purchase 7,391 2.4145 GBP
ORD Purchase 7,682 2.4125 GBP
ORD Purchase 8,803 2.4240 GBP
ORD Purchase 9,181 2.4060 GBP
ADR Purchase 9,554 12.9628 USD
ORD Purchase 9,909 2.4135 GBP
ORD Purchase 10,397 2.4110 GBP
ORD Purchase 11,332 2.4120 GBP
ORD Purchase 12,216 2.4095 GBP
ORD Purchase 13,706 2.4099 GBP
ORD Purchase 13,803 2.4245 GBP
ORD Purchase 14,074 2.4090 GBP
ORD Purchase 14,638 2.4080 GBP
ORD Purchase 14,999 2.4130 GBP
ORD Purchase 15,236 2.4100 GBP
ORD Purchase 15,671 2.4140 GBP
ORD Purchase 27,069 2.4102 GBP
ORD Purchase 30,918 2.4167 GBP
ORD Purchase 36,289 2.4129 GBP
ORD Purchase 53,436 2.4154 GBP
ORD Purchase 91,162 2.4075 GBP
ORD Purchase 117,913 2.4150 GBP
ORD Purchase 199,129 2.4103 GBP
ORD Purchase 307,368 2.4137 GBP
ORD Purchase 427,653 2.4133 GBP
ORD Purchase 428,744 2.4148 GBP
ORD Purchase 583,265 2.4146 GBP
ORD Sale 4 2.4150 GBP
ORD Sale 300 2.4213 GBP
ORD Sale 335 2.4100 GBP
ORD Sale 415 2.4170 GBP
ORD Sale 600 2.4085 GBP
ORD Sale 615 2.4075 GBP
ORD Sale 826 2.4197 GBP
ORD Sale 945 2.4260 GBP
ORD Sale 1,021 2.4055 GBP
ORD Sale 1,067 2.4214 GBP
ORD Sale 1,176 2.4102 GBP
ORD Sale 1,423 2.4110 GBP
ORD Sale 1,436 2.4105 GBP
ORD Sale 1,501 2.4050 GBP
ORD Sale 1,586 2.4115 GBP
ORD Sale 1,838 2.4250 GBP
ORD Sale 1,913 2.4145 GBP
ORD Sale 2,160 2.4060 GBP
ORD Sale 2,315 2.4120 GBP
ORD Sale 2,363 2.4125 GBP
ORD Sale 2,413 2.4254 GBP
ADR Sale 2,738 12.9075 USD
ORD Sale 3,270 2.4174 GBP
ORD Sale 3,331 2.4095 GBP
ORD Sale 3,363 2.4198 GBP
ORD Sale 3,456 2.4114 GBP
ORD Sale 3,706 2.4135 GBP
ORD Sale 4,675 2.4090 GBP
ORD Sale 5,600 2.4265 GBP
ORD Sale 7,978 2.4111 GBP
ORD Sale 8,446 2.4080 GBP
ORD Sale 8,803 2.4240 GBP
ORD Sale 8,833 2.4158 GBP
ADR Sale 9,554 12.9628 USD
ORD Sale 33,871 2.4149 GBP
ORD Sale 41,945 2.4119 GBP
ORD Sale 65,935 2.4122 GBP
ORD Sale 66,889 2.4163 GBP
ORD Sale 1,503,431 2.4140 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 1,000 2.4230 GBP
ORD CFD Long 3,344 2.4199 GBP
ORD SWAP Long 3,456 2.4114 GBP
ORD CFD Long 4,022 2.4253 GBP
ORD SWAP Long 7,656 2.4247 GBP
ORD CFD Long 8,258 2.4111 GBP
ORD CFD Long 33,871 2.4148 GBP
ORD CFD Long 97,374 2.4106 GBP
ORD SWAP Short 400 2.4080 GBP
ORD SWAP Short 5,340 2.4167 GBP
ORD CFD Short 6,708 2.4267 GBP
ORD SWAP Short 7,837 2.4120 GBP
ORD SWAP Short 9,145 2.4110 GBP
ORD SWAP Short 16,295 2.4085 GBP
ORD CFD Short 30,283 2.4084 GBP
ORD CFD Short 427,653 2.4133 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: 30 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.

Companies

Sainsbury (J) (SBRY)
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