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

 

27 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:       ORD            

 

Interests   Short Positions  
    Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 11,929,219 0.62% 10,356,221 0.54%
 

 

       
(2) Cash-settled derivatives:
9,318,027 0.48% 2,227,512 0.12%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,000,000 0.05% 0 0.00%
           
(4)
TOTAL: 22,247,246 1.16% 12,583,733 0.65%
 
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: 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%

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 232 2.2030 GBP
ORD Purchase 930 2.2255 GBP
ORD Purchase 992 2.2000 GBP
ORD Purchase 1,603 2.2070 GBP
ORD Purchase 1,603 2.2050 GBP
ORD Purchase 1,603 2.1940 GBP
ORD Purchase 1,603 2.1860 GBP
ORD Purchase 1,603 2.1790 GBP
ORD Purchase 1,604 2.1730 GBP
ORD Purchase 1,604 2.2150 GBP
ORD Purchase 1,604 2.2230 GBP
ORD Purchase 1,624 2.2020 GBP
ORD Purchase 1,689 2.1970 GBP
ORD Purchase 2,000 2.1692 GBP
ORD Purchase 2,233 2.1600 GBP
ORD Purchase 2,532 2.1950 GBP
ORD Purchase 2,757 2.1700 GBP
ORD Purchase 4,990 2.1655 GBP
ORD Purchase 6,378 2.1780 GBP
ORD Purchase 7,373 2.1699 GBP
ADR Purchase 8,400 11.3978 USD
ORD Purchase 13,771 2.1804 GBP
ADR Purchase 20,000 11.5100 USD
ORD Purchase 20,565 2.1720 GBP
ORD Purchase 22,143 2.2242 GBP
ORD Purchase 22,458 2.1897 GBP
ORD Purchase 23,096 2.1830 GBP
ORD Purchase 25,391 2.1992 GBP
ORD Purchase 33,734 2.1702 GBP
ORD Purchase 80,000 2.1009 GBP
ORD Purchase 308,393 2.1880 GBP
ORD Purchase 810,683 2.1853 GBP
ORD Sale 232 2.2030 GBP
ORD Sale 992 2.2000 GBP
ORD Sale 1,300 2.1842 GBP
ORD Sale 1,425 2.2288 GBP
ORD Sale 1,603 2.2070 GBP
ORD Sale 1,603 2.2050 GBP
ORD Sale 1,603 2.1940 GBP
ORD Sale 1,603 2.1790 GBP
ORD Sale 1,603 2.1860 GBP
ORD Sale 1,604 2.1730 GBP
ORD Sale 1,604 2.2150 GBP
ORD Sale 1,604 2.2230 GBP
ORD Sale 1,624 2.2020 GBP
ORD Sale 1,899 2.1931 GBP
ORD Sale 2,050 2.1800 GBP
ORD Sale 2,130 2.1970 GBP
ORD Sale 2,159 2.1943 GBP
ORD Sale 2,211 2.1920 GBP
ORD Sale 2,233 2.1600 GBP
ORD Sale 2,532 2.1950 GBP
ORD Sale 2,757 2.1700 GBP
ORD Sale 3,529 2.1731 GBP
ORD Sale 4,444 2.1695 GBP
ORD Sale 4,638 2.1787 GBP
ORD Sale 6,886 2.1986 GBP
ORD Sale 7,171 2.1684 GBP
ADR Sale 8,400 11.3978 USD
ORD Sale 8,645 2.1953 GBP
ORD Sale 9,682 2.1733 GBP
ORD Sale 12,573 2.1948 GBP
ORD Sale 13,010 2.1974 GBP
ORD Sale 17,755 2.1856 GBP
ORD Sale 19,188 2.1926 GBP
ADR Sale 20,000 11.5100 USD
ORD Sale 28,391 2.1932 GBP
ORD Sale 29,697 2.1890 GBP
ORD Sale 43,563 2.1752 GBP
ORD Sale 54,394 2.1691 GBP
ORD Sale 64,323 2.1952 GBP
ORD Sale 64,379 2.1754 GBP
ORD Sale 94,912 2.1780 GBP
ORD Sale 108,787 2.1744 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 1,425 2.2288 GBP
ORD CFD Long 1,899 2.1931 GBP
ORD SWAP Long 5,647 2.1898 GBP
ORD CFD Long 12,937 2.1956 GBP
ORD CFD Long 17,138 2.1780 GBP
ORD CFD Long 26,425 2.1733 GBP
ORD CFD Long 28,490 2.1999 GBP
ORD SWAP Long 48,159 2.1861 GBP
ORD CFD Long 64,262 2.1969 GBP
ORD SWAP Long 71,212 2.1746 GBP
ORD SWAP Short 930 2.2255 GBP
ORD CFD Short 10,000 2.1781 GBP
ORD CFD Short 16,000 2.1581 GBP
ORD CFD Short 22,143 2.2242 GBP
ORD CFD Short 22,458 2.1897 GBP
ORD CFD Short 25,000 2.1789 GBP
ORD SWAP Short 31,123 2.1837 GBP
ORD CFD Short 80,000 2.1009 GBP
ORD CFD Short 100,000 2.1705 GBP
ORD SWAP Short 193,564 2.1786 GBP
ORD CFD Short 740,855 2.1894 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:

28 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:

SAINSBURY(J)

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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