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: 07 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: 10,844,206 0.56% 10,063,264 0.52%
           
(2) Cash-settled derivatives:
8,960,244 0.47% 3,305,843 0.17%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,000,000 0.05% 0 0.00%
           
 
TOTAL: 20,804,450 1.08% 13,369,107 0.69%
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%
           
 
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: 2,500,000 0.13% 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%
           
 
TOTAL: 2,500,000 0.13% 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 369 2.1632 GBP
ORD Purchase 443 2.1705 GBP
ORD Purchase 447 2.1940 GBP
ORD Purchase 800 2.1770 GBP
ADR Purchase 800 11.2025 USD
ORD Purchase 800 2.1790 GBP
ORD Purchase 917 2.1830 GBP
ORD Purchase 1,481 2.1745 GBP
ORD Purchase 1,600 2.1780 GBP
ORD Purchase 3,225 2.1670 GBP
ORD Purchase 4,271 2.1720 GBP
ORD Purchase 4,770 2.1695 GBP
ADR Purchase 5,200 11.2753 USD
ORD Purchase 7,550 2.1710 GBP
ORD Purchase 8,773 2.1700 GBP
ORD Purchase 10,323 2.1814 GBP
ORD Purchase 12,085 2.1740 GBP
ORD Purchase 14,781 2.1801 GBP
ORD Purchase 17,017 2.1829 GBP
ORD Purchase 21,892 2.1797 GBP
ORD Purchase 23,945 2.1746 GBP
ORD Purchase 27,350 2.1757 GBP
ORD Purchase 33,389 2.1794 GBP
ORD Purchase 77,841 2.1782 GBP
ORD Purchase 106,184 2.1785 GBP
ORD Purchase 279,552 2.1730 GBP
Convertible Bond XS1139087933 Purchase 300,000 99.4900 GBP
Convertible Bond XS1139087933 Purchase 500,000 99.4200 GBP
ORD Sale 443 2.1705 GBP
ORD Sale 639 2.1908 GBP
ORD Sale 699 2.1860 GBP
ADR Sale 800 11.2025 USD
ORD Sale 900 2.1855 GBP
ORD Sale 952 2.1580 GBP
ORD Sale 1,229 2.1755 GBP
ORD Sale 1,481 2.1745 GBP
ORD Sale 1,598 2.1950 GBP
ORD Sale 1,840 2.1725 GBP
ORD Sale 2,195 2.1751 GBP
ORD Sale 2,575 2.1805 GBP
ORD Sale 2,813 2.1900 GBP
ORD Sale 2,885 2.1935 GBP
ORD Sale 3,893 2.1920 GBP
ORD Sale 4,211 2.1850 GBP
ORD Sale 4,945 2.1840 GBP
ORD Sale 5,079 2.1712 GBP
ORD Sale 5,197 2.1820 GBP
ADR Sale 5,200 11.2753 USD
ORD Sale 5,407 2.1670 GBP
ORD Sale 5,530 2.1798 GBP
ORD Sale 6,115 2.1928 GBP
ORD Sale 6,974 2.1830 GBP
ORD Sale 7,033 2.1918 GBP
ORD Sale 7,436 2.1688 GBP
ORD Sale 8,126 2.1863 GBP
ORD Sale 8,716 2.1760 GBP
ORD Sale 9,304 2.1790 GBP
ORD Sale 10,333 2.1824 GBP
ORD Sale 10,730 2.1765 GBP
ORD Sale 12,146 2.1720 GBP
ORD Sale 12,595 2.1710 GBP
ORD Sale 15,154 2.1910 GBP
ORD Sale 16,395 2.1700 GBP
ORD Sale 17,757 2.1800 GBP
ORD Sale 22,384 2.1750 GBP
ORD Sale 24,192 2.1740 GBP
ORD Sale 26,950 2.1735 GBP
ORD Sale 28,583 2.1809 GBP
ORD Sale 29,809 2.1775 GBP
ORD Sale 29,823 2.1722 GBP
ORD Sale 32,373 2.1930 GBP
ORD Sale 52,487 2.1770 GBP
ORD Sale 55,115 2.1730 GBP
ORD Sale 82,099 2.1810 GBP
ORD Sale 133,563 2.1780 GBP

(b) Cash-settled derivative transactions

Class of   Product   Nature of dealing   Number of   Price per
relevant description reference unit
security     securities  
ORD CFD Long 2,195 2.1751 GBP
ORD SWAP Long 7,005 2.1783 GBP
ORD CFD Long 7,436 2.1688 GBP
ORD CFD Long 11,340 2.1724 GBP
ORD CFD Long 26,950 2.1735 GBP
ORD CFD Long 36,794 2.1812 GBP
ORD CFD Long 63,904 2.1807 GBP
ORD CFD Long 132,334 2.1779 GBP
ORD SWAP Short 369 2.1632 GBP
ORD SWAP Short 1,538 2.1838 GBP
ORD CFD Short 4,770 2.1695 GBP
ORD SWAP Short 10,323 2.1814 GBP
ORD CFD Short 15,200 2.1725 GBP
ORD SWAP Short 16,844 2.1787 GBP
ORD SWAP Short 33,415 2.1804 GBP
ORD CFD Short 145,864 2.1798 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: 8 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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