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: 06 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: 10,782,295 0.56% 9,937,956 0.52%
           
(2) Cash-settled derivatives:
8,890,286 0.46% 3,295,520 0.17%
           
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 1,000,000 0.05% 0 0.00%
           
 
TOTAL: 20,672,581 1.07% 13,233,476 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: 3,700,000 0.19% 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: 3,700,000 0.19% 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 377 2.2032 GBP
ORD Purchase 400 2.1610 GBP
ORD Purchase 800 2.1570 GBP
ORD Purchase 800 2.1515 GBP
ORD Purchase 800 2.1535 GBP
ORD Purchase 800 2.1465 GBP
ORD Purchase 800 2.1630 GBP
ORD Purchase 800 2.1545 GBP
ORD Purchase 800 2.1525 GBP
ORD Purchase 1,139 2.1520 GBP
ORD Purchase 1,716 2.1490 GBP
ORD Purchase 1,941 2.1480 GBP
ADR Purchase 2,000 11.0800 USD
ORD Purchase 2,077 2.1370 GBP
ORD Purchase 2,694 2.1510 GBP
ORD Purchase 4,026 2.1657 GBP
ORD Purchase 8,136 2.1479 GBP
ORD Purchase 8,316 2.1614 GBP
ORD Purchase 9,885 2.1501 GBP
ORD Purchase 11,029 2.1492 GBP
ORD Purchase 15,583 2.1468 GBP
ORD Purchase 15,694 2.1470 GBP
ADR Purchase 19,714 11.1575 USD
ORD Purchase 25,000 2.1766 GBP
ORD Purchase 35,089 2.1534 GBP
ORD Purchase 49,556 2.1629 GBP
ORD Purchase 61,615 2.1581 GBP
ORD Purchase 79,450 2.1460 GBP
ORD Purchase 80,858 2.1617 GBP
ORD Purchase 108,880 2.1739 GBP
ORD Purchase 299,749 2.1638 GBP
ORD Purchase 318,546 2.1886 GBP
ORD Purchase 1,120,000 2.1478 GBP
ORD Sale 500 2.1300 GBP
ORD Sale 800 2.1545 GBP
ORD Sale 800 2.1525 GBP
ORD Sale 800 2.1535 GBP
ORD Sale 800 2.1515 GBP
ORD Sale 800 2.1570 GBP
ORD Sale 800 2.1630 GBP
ORD Sale 800 2.1465 GBP
ORD Sale 1,100 2.1745 GBP
ORD Sale 1,137 2.1610 GBP
ORD Sale 1,139 2.1520 GBP
ORD Sale 1,716 2.1490 GBP
ORD Sale 1,941 2.1480 GBP
ADR Sale 2,000 11.0800 USD
ORD Sale 2,246 2.1460 GBP
ORD Sale 2,694 2.1510 GBP
ORD Sale 4,139 2.1478 GBP
ORD Sale 8,952 2.1476 GBP
ORD Sale 12,731 2.1742 GBP
ORD Sale 15,694 2.1470 GBP
ADR Sale 19,714 11.1575 USD
ORD Sale 29,640 2.1532 GBP
ORD Sale 33,623 2.1782 GBP
ORD Sale 38,290 2.1528 GBP
ORD Sale 42,762 2.1672 GBP
ORD Sale 46,052 2.1640 GBP
ORD Sale 50,000 2.1401 GBP
ORD Sale 56,158 2.1731 GBP
ORD Sale 62,436 2.1461 GBP
ORD Sale 76,796 2.1511 GBP
ORD Sale 85,039 2.1524 GBP
ORD Sale 519,711 2.2000 GBP
ORD Sale 935,950 2.1475 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 4,000 2.1458 GBP
ORD SWAP Long 4,334 2.1526 GBP
ORD CFD Long 3,000 2.2007 GBP
ORD CFD Long 26,612 2.1579 GBP
ORD CFD Long 29,640 2.1532 GBP
ORD CFD Long 107,328 2.1770 GBP
ORD CFD Long 519,711 2.2000 GBP
ORD SWAP Short 377 2.2032 GBP
ORD CFD Short 1,280 2.1471 GBP
ORD CFD Short 4,026 2.1657 GBP
ORD SWAP Short 5,286 2.1680 GBP
ORD CFD Short 7,500 2.1581 GBP
ORD SWAP Short 8,316 2.1614 GBP
ORD SWAP Short 8,885 2.1620 GBP
ORD CFD Short 9,400 2.1391 GBP
ORD CFD Short 9,420 2.1542 GBP
ORD SWAP Short 11,500 2.1651 GBP
ORD CFD Short 19,382 2.1871 GBP
ORD CFD Short 46,600 2.1598 GBP
ORD SWAP Short 46,600 2.1598 GBP
ORD CFD Short 49,605 2.1543 GBP
ORD SWAP Short 58,465 2.1623 GBP
ORD CFD Short 172,537 2.1769 GBP
ORD SWAP Short 180,477 2.1591 GBP
ORD CFD Short 318,546 2.1887 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: 7 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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