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

 

31 August 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 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: 14,232,466 0.74% 12,634,152 0.66%
           
(2) Cash-settled derivatives:
11,594,973 0.60% 5,547,280 0.29%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,300,000 0.07% 0 0.00%
           
(4)
TOTAL: 27,127,439 1.41% 18,181,432 0.94%
 
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 412 2.4290 GBP
ORD Purchase 442 2.4015 GBP
ORD Purchase 492 2.4285 GBP
ORD Purchase 513 2.4115 GBP
ORD Purchase 614 2.4100 GBP
ORD Purchase 670 2.3875 GBP
ORD Purchase 742 2.4245 GBP
ORD Purchase 800 2.4075 GBP
ORD Purchase 814 2.3945 GBP
ORD Purchase 887 2.4135 GBP
ORD Purchase 946 2.3965 GBP
ORD Purchase 1,244 2.4045 GBP
ORD Purchase 1,288 2.3885 GBP
ORD Purchase 1,315 2.3955 GBP
ORD Purchase 1,407 2.4175 GBP
ORD Purchase 1,427 2.3925 GBP
ORD Purchase 1,526 2.3845 GBP
ORD Purchase 1,541 2.4205 GBP
ORD Purchase 1,561 2.3920 GBP
ORD Purchase 1,583 2.3935 GBP
ADR Purchase 1,600 12.8425 USD
ORD Purchase 1,693 2.4230 GBP
ORD Purchase 1,858 2.4055 GBP
ORD Purchase 1,969 2.3915 GBP
ORD Purchase 2,023 2.4225 GBP
ORD Purchase 2,154 2.3985 GBP
ORD Purchase 2,240 2.4255 GBP
ORD Purchase 2,435 2.4165 GBP
ORD Purchase 2,449 2.4033 GBP
ORD Purchase 2,565 2.4025 GBP
ORD Purchase 2,606 2.4105 GBP
ORD Purchase 2,749 2.4035 GBP
ORD Purchase 2,762 2.4145 GBP
ORD Purchase 2,892 2.4240 GBP
ORD Purchase 3,056 2.3865 GBP
ORD Purchase 3,097 2.4185 GBP
ORD Purchase 3,099 2.4020 GBP
ORD Purchase 3,244 2.3855 GBP
ORD Purchase 3,320 2.4150 GBP
ORD Purchase 3,322 2.3840 GBP
ORD Purchase 3,837 2.4195 GBP
ORD Purchase 3,996 2.4166 GBP
ORD Purchase 4,072 2.3905 GBP
ORD Purchase 4,164 2.3970 GBP
ORD Purchase 4,235 2.3995 GBP
ORD Purchase 4,314 2.4280 GBP
ADR Purchase 5,000 12.8240 USD
ORD Purchase 5,020 2.4250 GBP
ORD Purchase 5,116 2.4050 GBP
ORD Purchase 5,210 2.3900 GBP
ORD Purchase 5,391 2.4265 GBP
ORD Purchase 5,567 2.3910 GBP
ORD Purchase 5,567 2.4260 GBP
ORD Purchase 5,721 2.4090 GBP
ORD Purchase 6,434 2.4040 GBP
ORD Purchase 6,733 2.4170 GBP
ORD Purchase 6,880 2.4155 GBP
ORD Purchase 6,883 2.4095 GBP
ORD Purchase 7,187 2.3880 GBP
ORD Purchase 7,206 2.4179 GBP
ORD Purchase 7,245 2.4085 GBP
ORD Purchase 7,287 2.4060 GBP
ORD Purchase 7,426 2.4044 GBP
ORD Purchase 7,666 2.4180 GBP
ORD Purchase 7,782 2.4160 GBP
ORD Purchase 8,518 2.3930 GBP
ORD Purchase 8,616 2.4215 GBP
ORD Purchase 8,868 2.4275 GBP
ORD Purchase 9,018 2.4220 GBP
ORD Purchase 9,154 2.4270 GBP
ORD Purchase 9,787 2.4210 GBP
ORD Purchase 9,897 2.4140 GBP
ORD Purchase 11,040 2.3890 GBP
ORD Purchase 14,722 2.3895 GBP
ORD Purchase 15,366 2.4200 GBP
ORD Purchase 19,035 2.4136 GBP
ORD Purchase 19,398 2.4042 GBP
ORD Purchase 20,896 2.4156 GBP
ORD Purchase 22,506 2.4133 GBP
ORD Purchase 32,710 2.4190 GBP
ORD Purchase 41,938 2.4191 GBP
ORD Purchase 51,489 2.4116 GBP
ORD Purchase 61,775 2.4146 GBP
ORD Purchase 66,817 2.4114 GBP
ORD Purchase 85,399 2.4080 GBP
ORD Purchase 90,039 2.4102 GBP
ORD Purchase 95,303 2.4120 GBP
ORD Purchase 179,842 2.4070 GBP
ORD Purchase 189,048 2.4030 GBP
ORD Purchase 210,517 2.4077 GBP
ORD Purchase 489,059 2.4068 GBP
ORD Sale 401 2.4185 GBP
ORD Sale 412 2.4290 GBP
ORD Sale 442 2.4015 GBP
ORD Sale 492 2.4285 GBP
ORD Sale 513 2.4115 GBP
ORD Sale 614 2.4100 GBP
ORD Sale 670 2.3875 GBP
ORD Sale 742 2.4245 GBP
ORD Sale 800 2.4075 GBP
ORD Sale 814 2.3945 GBP
ORD Sale 887 2.4135 GBP
ORD Sale 946 2.3965 GBP
ORD Sale 1,244 2.4045 GBP
ORD Sale 1,288 2.3885 GBP
ORD Sale 1,315 2.3955 GBP
ORD Sale 1,407 2.4175 GBP
ORD Sale 1,427 2.3925 GBP
ORD Sale 1,526 2.3845 GBP
ORD Sale 1,541 2.4205 GBP
ORD Sale 1,583 2.3935 GBP
ADR Sale 1,600 12.8425 USD
ORD Sale 1,672 2.4051 GBP
ORD Sale 1,693 2.4230 GBP
ORD Sale 1,858 2.4055 GBP
ORD Sale 1,969 2.3915 GBP
ORD Sale 2,023 2.4225 GBP
ORD Sale 2,154 2.3985 GBP
ORD Sale 2,240 2.4255 GBP
ORD Sale 2,435 2.4165 GBP
ORD Sale 2,459 2.4026 GBP
ORD Sale 2,514 2.4076 GBP
ORD Sale 2,606 2.4105 GBP
ORD Sale 2,749 2.4035 GBP
ORD Sale 2,892 2.4240 GBP
ORD Sale 3,056 2.3865 GBP
ORD Sale 3,099 2.4020 GBP
ORD Sale 3,221 2.4145 GBP
ORD Sale 3,244 2.3855 GBP
ORD Sale 3,320 2.4150 GBP
ORD Sale 3,322 2.3840 GBP
ORD Sale 3,409 2.4253 GBP
ORD Sale 3,818 2.4219 GBP
ORD Sale 3,837 2.4195 GBP
ORD Sale 4,009 2.4180 GBP
ORD Sale 4,072 2.3905 GBP
ORD Sale 4,164 2.3970 GBP
ORD Sale 4,235 2.3995 GBP
ORD Sale 4,314 2.4280 GBP
ORD Sale 4,678 2.4120 GBP
ADR Sale 5,000 12.8240 USD
ORD Sale 5,020 2.4250 GBP
ORD Sale 5,116 2.4050 GBP
ORD Sale 5,210 2.3900 GBP
ORD Sale 5,391 2.4265 GBP
ORD Sale 5,567 2.3910 GBP
ORD Sale 5,567 2.4260 GBP
ORD Sale 5,721 2.4090 GBP
ORD Sale 6,434 2.4040 GBP
ORD Sale 6,733 2.4170 GBP
ORD Sale 6,880 2.4155 GBP
ORD Sale 6,883 2.4095 GBP
ORD Sale 7,187 2.3880 GBP
ORD Sale 7,245 2.4085 GBP
ORD Sale 7,287 2.4060 GBP
ORD Sale 7,356 2.4148 GBP
ORD Sale 7,418 2.4222 GBP
ORD Sale 7,706 2.3920 GBP
ORD Sale 7,782 2.4160 GBP
ORD Sale 8,518 2.3930 GBP
ORD Sale 8,868 2.4275 GBP
ORD Sale 9,154 2.4270 GBP
ORD Sale 9,787 2.4210 GBP
ORD Sale 9,897 2.4140 GBP
ORD Sale 9,904 2.4220 GBP
ORD Sale 9,920 2.4079 GBP
ORD Sale 11,040 2.3890 GBP
ORD Sale 11,983 2.4199 GBP
ORD Sale 12,303 2.4215 GBP
ORD Sale 12,582 2.4080 GBP
ORD Sale 12,933 2.4070 GBP
ORD Sale 14,722 2.3895 GBP
ORD Sale 16,992 2.4109 GBP
ORD Sale 23,425 2.4196 GBP
ORD Sale 25,533 2.4166 GBP
ORD Sale 32,710 2.4190 GBP
ORD Sale 35,970 2.4126 GBP
ORD Sale 54,872 2.4131 GBP
ORD Sale 55,094 2.4143 GBP
ORD Sale 66,398 2.4146 GBP
ORD Sale 134,402 2.4102 GBP
ORD Sale 175,000 2.4028 GBP
ORD Sale 190,366 2.4200 GBP
ORD Sale 222,659 2.4030 GBP
ORD Sale 1,502,074 2.4032 GBP
ORD Sale 5,628,707 2.4025 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 3,771 2.4036 GBP
ORD CFD Long 10,000 2.4204 GBP
ORD CFD Long 9,476 2.4043 GBP
ORD SWAP Long 55,094 2.4143 GBP
ORD CFD Long 62,045 2.4213 GBP
ORD SWAP Long 110,000 2.4126 GBP
ORD SWAP Long 117,807 2.4124 GBP
ORD CFD Long 175,000 2.4028 GBP
ORD CFD Long 175,000 2.4200 GBP
ORD CFD Long 5,626,142 2.4025 GBP
ORD SWAP Short 455 2.4093 GBP
ORD SWAP Short 700 2.4094 GBP
ORD SWAP Short 2,449 2.4033 GBP
ORD CFD Short 3,200 2.4189 GBP
ORD SWAP Short 3,996 2.4166 GBP
ORD CFD Short 10,497 2.3947 GBP
ORD SWAP Short 11,364 2.4249 GBP
ORD CFD Short 7,401 2.4223 GBP
ORD CFD Short 19,398 2.4042 GBP
ORD CFD Short 21,189 2.3892 GBP
ORD CFD Short 61,775 2.4146 GBP
ORD SWAP Short 102,740 2.4056 GBP
ORD CFD Short 241,676 2.4116 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:

1 Sept 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.

143221.01

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
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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