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: 05 July 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:                    
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 10,541,205 0.55% 9,923,326 0.52%
           
(2) Cash-settled derivatives:
8,871,493 0.46% 3,059,750 0.16%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,000,000 0.05% 0 0.00%
           
(4)
TOTAL: 20,412,698 1.06% 12,983,076 0.67%
 
Class of relevant security:   Convertible Bond XS1268412993      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 1,200,000 0.06% 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: 1,200,000 0.06% 0 0.00%
 
Class of relevant security:   Convertible Bond XS1139087933      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 1,700,000 0.09% 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: 1,700,000 0.09% 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 149 2.2930 GBP
ORD Purchase 149 2.2925 GBP
ORD Purchase 175 2.2550 GBP
ADR Purchase 364 11.6000 USD
ORD Purchase 384 2.2458 GBP
ORD Purchase 400 2.2330 GBP
ORD Purchase 570 2.2450 GBP
ORD Purchase 663 2.2340 GBP
ORD Purchase 800 2.2230 GBP
ORD Purchase 883 2.2500 GBP
ORD Purchase 886 2.2593 GBP
ORD Purchase 1,100 2.2548 GBP
ORD Purchase 1,229 2.2240 GBP
ORD Purchase 1,387 2.2305 GBP
ORD Purchase 1,444 2.2225 GBP
ORD Purchase 1,805 2.2732 GBP
ORD Purchase 1,825 2.2379 GBP
ORD Purchase 2,800 2.2883 GBP
ORD Purchase 2,834 2.2385 GBP
ORD Purchase 2,931 2.2365 GBP
ORD Purchase 3,200 2.2360 GBP
ORD Purchase 4,080 2.2325 GBP
ORD Purchase 4,589 2.2527 GBP
ORD Purchase 4,675 2.2684 GBP
ORD Purchase 4,969 2.2295 GBP
ORD Purchase 6,446 2.2380 GBP
ORD Purchase 6,733 2.2345 GBP
ORD Purchase 7,351 2.2355 GBP
ORD Purchase 8,764 2.2395 GBP
ORD Purchase 8,969 2.2375 GBP
ADR Purchase 9,600 11.6629 USD
ORD Purchase 16,558 2.2335 GBP
ORD Purchase 17,169 2.2410 GBP
ORD Purchase 18,874 2.2364 GBP
ORD Purchase 24,090 2.2390 GBP
ORD Purchase 25,723 2.2398 GBP
ORD Purchase 26,645 2.2436 GBP
ORD Purchase 29,000 2.2401 GBP
ORD Purchase 32,837 2.2260 GBP
ORD Purchase 42,334 2.2400 GBP
ORD Purchase 45,506 2.2556 GBP
ORD Purchase 59,419 2.2310 GBP
ORD Purchase 65,441 2.2290 GBP
ORD Purchase 67,297 2.2426 GBP
ORD Purchase 74,693 2.2466 GBP
ORD Purchase 405,476 2.2485 GBP
ORD Sale 149 2.2930 GBP
ORD Sale 175 2.2550 GBP
ADR Sale 364 11.6000 USD
ORD Sale 400 2.2330 GBP
ORD Sale 500 2.2610 GBP
ORD Sale 570 2.2450 GBP
ORD Sale 589 2.2315 GBP
ORD Sale 800 2.2230 GBP
ORD Sale 847 2.3168 GBP
ORD Sale 973 2.3588 GBP
ORD Sale 1,229 2.2240 GBP
ORD Sale 1,387 2.2305 GBP
ORD Sale 1,444 2.2225 GBP
ORD Sale 1,525 2.2589 GBP
ORD Sale 1,766 2.2500 GBP
ORD Sale 1,825 2.2379 GBP
ORD Sale 2,000 2.2260 GBP
ORD Sale 2,150 2.2876 GBP
ORD Sale 2,385 2.2538 GBP
ORD Sale 2,421 2.2534 GBP
ORD Sale 2,457 2.2569 GBP
ORD Sale 2,834 2.2385 GBP
ORD Sale 2,931 2.2365 GBP
ORD Sale 3,355 2.2346 GBP
ORD Sale 4,026 2.2273 GBP
ORD Sale 4,231 2.2325 GBP
ORD Sale 4,367 2.2390 GBP
ORD Sale 4,525 2.2250 GBP
ORD Sale 4,563 2.2899 GBP
ORD Sale 4,969 2.2295 GBP
ORD Sale 5,588 2.2270 GBP
ORD Sale 5,888 2.2612 GBP
ORD Sale 5,961 2.2320 GBP
ORD Sale 6,663 2.2380 GBP
ORD Sale 6,733 2.2345 GBP
ORD Sale 7,351 2.2355 GBP
ORD Sale 7,489 2.2310 GBP
ORD Sale 8,764 2.2395 GBP
ORD Sale 8,789 2.2350 GBP
ORD Sale 8,969 2.2375 GBP
ORD Sale 9,045 2.2360 GBP
ADR Sale 9,600 11.6629 USD
ORD Sale 12,304 2.2382 GBP
ORD Sale 13,056 2.2527 GBP
ORD Sale 14,393 2.2400 GBP
ORD Sale 15,000 2.2296 GBP
ORD Sale 16,558 2.2335 GBP
ORD Sale 17,169 2.2410 GBP
ORD Sale 21,646 2.2318 GBP
ORD Sale 33,756 2.2658 GBP
ORD Sale 34,834 2.2293 GBP
ORD Sale 42,576 2.2340 GBP
ORD Sale 44,917 2.2573 GBP
ORD Sale 60,883 2.2333 GBP
ORD Sale 88,153 2.2297 GBP
ORD Sale 93,051 2.2290 GBP
ORD Sale 346,474 2.2650 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 600 2.2313 GBP
ORD SWAP Long 600 2.2559 GBP
ORD CFD Long 847 2.3168 GBP
ORD SWAP Long 973 2.3588 GBP
ORD CFD Long 4,026 2.2273 GBP
ORD CFD Long 12,304 2.2382 GBP
ORD CFD Long 12,519 2.2596 GBP
ORD SWAP Long 16,701 2.2682 GBP
ORD CFD Long 25,337 2.2584 GBP
ORD CFD Long 29,512 2.2340 GBP
ORD CFD Long 34,834 2.2294 GBP
ORD CFD Long 44,917 2.2573 GBP
ORD CFD Long 346,474 2.2650 GBP
ORD SWAP Short 384 2.2458 GBP
ORD CFD Short 886 2.2593 GBP
ORD SWAP Short 5,315 2.2424 GBP
ORD SWAP Short 5,900 2.2403 GBP
ORD CFD Short 8,396 2.2636 GBP
ORD SWAP Short 9,082 2.2429 GBP
ORD SWAP Short 17,065 2.2688 GBP
ORD CFD Short 18,000 2.2324 GBP
ORD CFD Short 26,645 2.2435 GBP
ORD CFD Short 30,837 2.2260 GBP
ORD CFD Short 229,279 2.2537 GBP
ORD SWAP Short 229,279 2.2537 GBP
ORD SWAP Short 314,729 2.2433 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: 6 Jul 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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