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

 

14 June 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:                    
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 11,235,977 0.58% 13,008,142 0.68%
           
(2) Cash-settled derivatives:
9,718,639 0.50% 1,071,519 0.06%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,000,000 0.05% 0 0.00%
           
(4)
TOTAL: 21,954,616 1.14% 14,079,661 0.73%
 
Class of relevant security:   Convertible Bond XS1268412993      
Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 1,300,000 0.07% 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: 1,300,000 0.07% 0 0.00%
 
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 154 2.3197 GBP
ORD Purchase 439 2.3426 GBP
ORD Purchase 608 2.3150 GBP
ORD Purchase 814 2.3425 GBP
ORD Purchase 817 2.3440 GBP
ORD Purchase 864 2.3365 GBP
ORD Purchase 1,253 2.3155 GBP
ADR Purchase 1,400 13.0500 USD
ORD Purchase 1,524 2.3170 GBP
ORD Purchase 1,551 2.3670 GBP
ORD Purchase 1,603 2.3330 GBP
ORD Purchase 1,603 2.3580 GBP
ORD Purchase 1,604 2.3750 GBP
ORD Purchase 1,631 2.3760 GBP
ORD Purchase 1,642 2.3680 GBP
ORD Purchase 1,850 2.3430 GBP
ORD Purchase 2,100 2.3560 GBP
ORD Purchase 3,206 2.3590 GBP
ORD Purchase 3,208 2.3550 GBP
ADR Purchase 3,304 13.0061 USD
ORD Purchase 3,483 2.3350 GBP
ORD Purchase 3,497 2.3600 GBP
ORD Purchase 3,797 2.3141 GBP
ORD Purchase 5,531 2.3320 GBP
ORD Purchase 5,841 2.3400 GBP
ORD Purchase 6,428 2.3715 GBP
ORD Purchase 7,616 2.3101 GBP
ORD Purchase 9,403 2.3410 GBP
ORD Purchase 11,112 2.3420 GBP
ORD Purchase 11,552 2.3293 GBP
ORD Purchase 12,063 2.3287 GBP
ORD Purchase 12,596 2.3390 GBP
ORD Purchase 13,136 2.3397 GBP
ORD Purchase 13,402 2.3360 GBP
ORD Purchase 13,650 2.3198 GBP
ORD Purchase 14,624 2.3175 GBP
ORD Purchase 15,758 2.3380 GBP
ORD Purchase 20,584 2.3370 GBP
ORD Purchase 24,667 2.3289 GBP
ORD Purchase 25,515 2.3339 GBP
ORD Purchase 25,719 2.3359 GBP
ORD Purchase 27,330 2.3421 GBP
ORD Purchase 36,735 2.3271 GBP
ORD Purchase 61,939 2.3336 GBP
ORD Purchase 63,585 2.3396 GBP
ORD Purchase 70,010 2.3398 GBP
ORD Purchase 71,368 2.3404 GBP
ORD Purchase 86,515 2.3201 GBP
ORD Purchase 140,274 2.3343 GBP
ORD Purchase 223,873 2.3100 GBP
ORD Purchase 316,512 2.3384 GBP
ORD Sale 49 2.3145 GBP
ORD Sale 263 2.3636 GBP
ORD Sale 273 2.3338 GBP
ORD Sale 608 2.3150 GBP
ORD Sale 700 2.3173 GBP
ORD Sale 800 2.3350 GBP
ORD Sale 814 2.3425 GBP
ORD Sale 817 2.3440 GBP
ORD Sale 864 2.3365 GBP
ORD Sale 1,253 2.3155 GBP
ADR Sale 1,400 13.0500 USD
ORD Sale 1,524 2.3170 GBP
ORD Sale 1,551 2.3670 GBP
ORD Sale 1,603 2.3330 GBP
ORD Sale 1,603 2.3580 GBP
ORD Sale 1,604 2.3750 GBP
ORD Sale 1,631 2.3760 GBP
ORD Sale 1,642 2.3680 GBP
ORD Sale 1,850 2.3430 GBP
ORD Sale 2,100 2.3560 GBP
ORD Sale 2,408 2.3149 GBP
ORD Sale 2,504 2.3549 GBP
ORD Sale 3,206 2.3590 GBP
ORD Sale 3,208 2.3550 GBP
ADR Sale 3,304 13.0061 USD
ORD Sale 3,497 2.3600 GBP
ORD Sale 4,538 2.3494 GBP
ORD Sale 5,531 2.3320 GBP
ORD Sale 8,273 2.3337 GBP
ORD Sale 8,795 2.3420 GBP
ORD Sale 8,808 2.3318 GBP
ORD Sale 9,403 2.3410 GBP
ORD Sale 10,120 2.3459 GBP
ORD Sale 10,393 2.3360 GBP
ORD Sale 12,596 2.3390 GBP
ORD Sale 14,505 2.3098 GBP
ORD Sale 15,758 2.3380 GBP
ORD Sale 31,388 2.3438 GBP
ORD Sale 32,625 2.3100 GBP
ORD Sale 43,996 2.3165 GBP
ORD Sale 55,589 2.3370 GBP
ORD Sale 74,653 2.3300 GBP
ORD Sale 78,015 2.3301 GBP
ORD Sale 94,800 2.3288 GBP
ORD Sale 95,060 2.3241 GBP
ORD Sale 126,125 2.3331 GBP
ORD Sale 131,768 2.3221 GBP
ORD Sale 212,994 2.3345 GBP
ORD Sale 387,390 2.3400 GBP
ORD Sale 566,741 2.3415 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 263 2.3636 GBP
ORD SWAP Long 400 2.3394 GBP
ORD CFD Long 800 2.3348 GBP
ORD CFD Long 5,390 2.3606 GBP
ORD SWAP Long 12,000 2.3313 GBP
ORD CFD Long 14,505 2.3098 GBP
ORD CFD Long 20,640 2.3491 GBP
ORD SWAP Long 23,357 2.3418 GBP
ORD CFD Long 43,996 2.3165 GBP
ORD CFD Long 95,060 2.3241 GBP
ORD CFD Long 126,125 2.3331 GBP
ORD SWAP Short 2,000 2.3210 GBP
ORD CFD Short 4,419 2.3296 GBP
ORD CFD Short 4,608 2.3112 GBP
ORD CFD Short 5,839 2.3172 GBP
ORD CFD Short 7,616 2.3101 GBP
ORD CFD Short 8,989 2.3283 GBP
ORD CFD Short 11,259 2.3290 GBP
ORD SWAP Short 20,847 2.3482 GBP
ORD SWAP Short 25,719 2.3359 GBP
ORD CFD Short 27,237 2.3142 GBP
ORD CFD Short 77,196 2.3439 GBP
ORD SWAP Short 88,101 2.3336 GBP
ORD CFD Short 223,702 2.3100 GBP
ORD CFD Short 358,404 2.3402 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:

15 June 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. 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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