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

 

19 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: 10,641,771 0.55% 9,936,785 0.52%
           
(2) Cash-settled derivatives:
8,415,710 0.44% 449,747 0.02%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,000,000 0.05% 0 0.00%
           
(4)
TOTAL: 20,057,481 1.04% 10,386,532 0.54%
 
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 100 2.5110 GBP
ORD Purchase 715 2.5100 GBP
ADR Purchase 856 14.7700 USD
ORD Purchase 860 2.5120 GBP
ORD Purchase 1,000 2.5060 GBP
ORD Purchase 1,000 2.5180 GBP
ORD Purchase 1,297 2.5230 GBP
ORD Purchase 1,368 2.5193 GBP
ORD Purchase 1,449 2.5080 GBP
ORD Purchase 1,860 2.5152 GBP
ORD Purchase 2,279 2.5160 GBP
ORD Purchase 2,428 2.5190 GBP
ORD Purchase 2,675 2.5223 GBP
ORD Purchase 3,424 2.5310 GBP
ORD Purchase 4,125 2.5303 GBP
ORD Purchase 4,502 2.5280 GBP
ORD Purchase 4,930 2.5272 GBP
ORD Purchase 5,064 2.5195 GBP
ORD Purchase 6,314 2.5232 GBP
ORD Purchase 6,577 2.5332 GBP
ORD Purchase 9,030 2.5261 GBP
ORD Purchase 13,546 2.5165 GBP
ORD Purchase 27,051 2.5237 GBP
ORD Purchase 30,658 2.5114 GBP
ORD Purchase 46,550 2.5216 GBP
ORD Purchase 64,142 2.5298 GBP
ORD Purchase 189,261 2.5251 GBP
ORD Sale 413 2.5265 GBP
ORD Sale 715 2.5100 GBP
ADR Sale 856 14.7700 USD
ORD Sale 1,142 2.5304 GBP
ORD Sale 1,297 2.5230 GBP
ORD Sale 1,712 2.5310 GBP
ORD Sale 1,820 2.5120 GBP
ORD Sale 2,000 2.5180 GBP
ORD Sale 2,165 2.5080 GBP
ORD Sale 2,279 2.5160 GBP
ORD Sale 3,669 2.5158 GBP
ORD Sale 4,132 2.5175 GBP
ORD Sale 5,740 2.5148 GBP
ORD Sale 5,930 2.5196 GBP
ORD Sale 6,130 2.5301 GBP
ORD Sale 9,926 2.5368 GBP
ORD Sale 15,473 2.5232 GBP
ORD Sale 19,496 2.5219 GBP
ORD Sale 19,588 2.5151 GBP
ORD Sale 27,884 2.5147 GBP
ORD Sale 32,965 2.5171 GBP
ORD Sale 36,303 2.5262 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 128 2.5201 GBP
ORD CFD Long 3,242 2.5178 GBP
ORD CFD Long 6,130 2.5301 GBP
ORD CFD Long 6,712 2.5272 GBP
ORD SWAP Long 11,115 2.5345 GBP
ORD CFD Long 12,480 2.5181 GBP
ORD SWAP Long 46,335 2.5155 GBP
ORD CFD Short 1,712 2.5311 GBP
ORD CFD Short 2,378 2.5363 GBP
ORD CFD Short 6,130 2.5190 GBP
ORD SWAP Short 13,546 2.5165 GBP
ORD SWAP Short 16,030 2.5240 GBP
ORD SWAP Short 119,097 2.5232 GBP
ORD CFD Short 168,762 2.5275 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:  

20 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.   OPTIONS AND DERIVATIVES                    
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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