Form 8.3 - SAINSBURY(J) PLC

Form 8.3 - SAINSBURY(J) 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

 

SAINSBURY(J) 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

 

1 FEB 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: 13,240,656 0.69% 12,019,461 0.62%
           
(2) Cash-settled derivatives:
11,094,302 0.58% 704,967 0.04%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
           
(4)
TOTAL: 24,334,958 1.26% 12,724,428 0.66%
 
Class of relevant security:   Convertible Bond XS1268412993      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 1,500,000 0.60% 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: 1,500,000 0.60% 0 0.00%
 
Class of relevant security:   Convertible Bond XS1139087933      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 1,500,000 0.33% 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: 1,500,000 0.33% 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

(a)   Purchases and sales        
Class of relevant Purchase/sale Number of Price per unit
security   securities  
ORD Purchase 196 2.4280 GBP
ORD Purchase 400 2.4241 GBP
ADR Purchase 600 14.1600 USD
ORD Purchase 618 2.4370 GBP
ORD Purchase 933 2.4310 GBP
ORD Purchase 933 2.4330 GBP
ORD Purchase 948 2.4180 GBP
ORD Purchase 1,040 2.4295 GBP
ORD Purchase 1,093 2.4290 GBP
ORD Purchase 1,114 2.4365 GBP
ORD Purchase 1,114 2.4405 GBP
ORD Purchase 1,236 2.4190 GBP
ORD Purchase 1,513 2.4340 GBP
ORD Purchase 2,000 2.4420 GBP
ORD Purchase 2,095 2.4390 GBP
ORD Purchase 2,127 2.4300 GBP
ORD Purchase 2,241 2.4460 GBP
ORD Purchase 2,399 2.4367 GBP
ORD Purchase 2,562 2.4400 GBP
ORD Purchase 2,803 2.4392 GBP
ORD Purchase 3,090 2.4346 GBP
ORD Purchase 5,391 2.4385 GBP
ORD Purchase 5,893 2.4339 GBP
ORD Purchase 6,543 2.4311 GBP
ORD Purchase 12,000 2.4277 GBP
ORD Purchase 12,340 2.4317 GBP
ADR Purchase 15,242 13.9041 USD
ORD Purchase 32,369 2.4354 GBP
ORD Purchase 46,688 2.4363 GBP
ORD Purchase 95,220 2.4331 GBP
ORD Sale 196 2.4280 GBP
ORD Sale 200 2.4450 GBP
ADR Sale 600 14.1600 USD
ORD Sale 618 2.4370 GBP
ORD Sale 948 2.4180 GBP
ORD Sale 1,040 2.4295 GBP
ORD Sale 1,114 2.4365 GBP
ORD Sale 1,114 2.4405 GBP
ORD Sale 1,236 2.4190 GBP
ORD Sale 1,513 2.4340 GBP
ORD Sale 1,866 2.4310 GBP
ORD Sale 1,867 2.4531 GBP
ORD Sale 2,000 2.4420 GBP
ORD Sale 2,095 2.4390 GBP
ORD Sale 2,127 2.4300 GBP
ORD Sale 2,562 2.4400 GBP
ORD Sale 2,933 2.4330 GBP
ORD Sale 3,399 2.4369 GBP
ORD Sale 6,250 2.4387 GBP
ORD Sale 8,327 2.4460 GBP
ORD Sale 12,000 2.4277 GBP
ORD Sale 15,003 2.4356 GBP
ADR Sale 15,242 13.9041 USD
ORD Sale 19,813 2.4455 GBP
ORD Sale 41,425 2.4443 GBP
ORD Sale 46,188 2.4439 GBP
ORD Sale 47,244 2.4380 GBP
ORD Sale 64,144 2.4507 GBP
ORD Sale 123,214 2.4329 GBP
ORD Sale 125,217 2.4451 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 922 2.4569 GBP
ORD SWAP Long 2,909 2.4500 GBP
ORD CFD Long 3,205 2.4418 GBP
ORD CFD Long 2,800 2.4406 GBP
ORD CFD Long 8,930 2.4428 GBP
ORD CFD Long 30,484 2.4343 GBP
ORD SWAP Long 36,003 2.4514 GBP
ORD SWAP Long 59,245 2.4442 GBP
ORD SWAP Long 83,051 2.4557 GBP
ORD CFD Long 83,954 2.4510 GBP
ORD CFD Long 114,663 2.4398 GBP
ORD SWAP Short 1,749 2.4418 GBP
ORD SWAP Short 10,618 2.4329 GBP
ORD SWAP Short 16,886 2.4307 GBP
ORD CFD Short 36,504 2.4509 GBP
ORD SWAP Short 36,686 2.4388 GBP
ORD CFD Short 47,450 2.4510 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”

(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”

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached?  

NO

Date of disclosure:  

2 FEB 2016

Contact name:

Andrew Hurley

Telephone number:

020 7773 0635

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.

Companies

Sainsbury (J) (SBRY)
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