REG-BARCLAYS PLC FORM 8.3 - WM MORRISON SUPERMARKETS PLC
15/07/2021 12:50
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FORM 8.3 - WM MORRISON SUPERMARKETS 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 WM MORRISON SUPERMARKETS 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: 14 July 2021
(f) In addition to the company in 1(c) above, is the discloser making NO
disclosures in respect of any other party to the offer?
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: 10p ordinary
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 17,507,409 0.73% 11,977,585 0.50%
(2) Cash-settled derivatives:
8,958,816 0.37% 6,127,574 0.25%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 26,466,225 1.10% 18,105,159 0.75%
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
10p ordinary Purchase 522 2.6311 GBP
10p ordinary Purchase 2,526 2.6300 GBP
10p ordinary Purchase 3,447 2.6400 GBP
10p ordinary Purchase 8,261 2.6369 GBP
10p ordinary Purchase 10,387 2.6342 GBP
10p ordinary Purchase 13,590 2.6383 GBP
10p ordinary Purchase 14,971 2.6337 GBP
10p ordinary Purchase 15,454 2.6392 GBP
10p ordinary Purchase 28,009 2.6389 GBP
10p ordinary Purchase 31,555 2.6350 GBP
10p ordinary Purchase 45,357 2.6359 GBP
10p ordinary Purchase 783,776 2.6317 GBP
10p ordinary Purchase 1,799,236 2.6310 GBP
10p ordinary Sale 379 2.6530 GBP
10p ordinary Sale 1,036 2.6290 GBP
10p ordinary Sale 1,069 2.6330 GBP
10p ordinary Sale 2,511 2.6302 GBP
10p ordinary Sale 2,526 2.6300 GBP
10p ordinary Sale 4,483 2.6400 GBP
10p ordinary Sale 9,361 2.6343 GBP
10p ordinary Sale 11,296 2.6336 GBP
10p ordinary Sale 11,480 2.6389 GBP
10p ordinary Sale 12,263 2.6333 GBP
10p ordinary Sale 15,278 2.6411 GBP
10p ordinary Sale 20,658 2.6304 GBP
10p ordinary Sale 23,346 2.6383 GBP
10p ordinary Sale 27,934 2.6303 GBP
10p ordinary Sale 33,673 2.6306 GBP
10p ordinary Sale 38,018 2.6312 GBP
10p ordinary Sale 43,261 2.6319 GBP
10p ordinary Sale 66,248 2.6325 GBP
10p ordinary Sale 124,248 2.6311 GBP
10p ordinary Sale 139,791 2.6329 GBP
10p ordinary Sale 158,602 2.6364 GBP
10p ordinary Sale 1,273,082 2.6310 GBP
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
10p ordinary SWAP Long 379 2.6529 GBP
10p ordinary SWAP Long 5,428 2.6397 GBP
10p ordinary SWAP Long 9,373 2.6310 GBP
10p ordinary SWAP Long 17,888 2.6347 GBP
10p ordinary SWAP Long 18,670 2.6367 GBP
10p ordinary SWAP Long 28,123 2.6361 GBP
10p ordinary SWAP Long 40,112 2.6376 GBP
10p ordinary SWAP Long 46,894 2.6308 GBP
10p ordinary CFD Long 50,318 2.6325 GBP
10p ordinary SWAP Long 88,207 2.6384 GBP
10p ordinary SWAP Short 2,745 2.6387 GBP
10p ordinary SWAP Short 13,590 2.6382 GBP
10p ordinary SWAP Short 20,113 2.6372 GBP
10p ordinary SWAP Short 28,009 2.6389 GBP
10p ordinary CFD Short 142,900 2.6310 GBP
10p ordinary CFD Short 143,851 2.6349 GBP
10p ordinary SWAP Short 158,327 2.6309 GBP
10p ordinary SWAP Short 183,236 2.6314 GBP
10p ordinary SWAP Short 368,043 2.6310 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 Expiry date Option money paid/ received per unit
e.g. American, European etc.
(ii) Exercise
Class of relevant security Product description Exercising/ exercised against Number of securities Exercise price per unit
e.g. call option
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
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 Jul 2021
Contact name: Large Holdings Regulatory Operations
Telephone number: 020 3134 7213
Public disclosures under Rule 8 of the Code must be made to a Regulatory
Information Service.
The Panel’s Market Surveillance Unit is available for consultation in
relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.
*If the discloser is a natural person, a telephone number does not need to be
included, provided contact information has been provided to the Panel’s
Market Surveillance Unit.
The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk
(https://cts.businesswire.com/ct/CT?id=smartlink&url=http%3A%2F%2Fwww.thetakeoverpanel.org.uk%2F&esheet=52460384&newsitemid=20210715005574&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=ca1ba1c7a5b3ba5ce142fc283c65c257)
.
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 WM MORRISON SUPERMARKETS 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
10p ordinary Call Options Purchased 291,758 1.9224 European 19 Aug 2021
10p ordinary Call Options Purchased 492,529 1.8728 European 8 Sep 2021
10p ordinary Call Options Purchased 591,982 1.9075 European 25 Aug 2021
10p ordinary Call Options Purchased 591,982 1.9044 European 1 Sep 2021
10p ordinary Call Options Purchased 639,341 1.9121 European 11 Aug 2021
10p ordinary Call Options Purchased 878,792 1.8790 European 14 Sep 2021
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
(https://cts.businesswire.com/ct/CT?id=smartlink&url=http%3A%2F%2Fwww.thetakeoverpanel.org.uk%2F&esheet=52460384&newsitemid=20210715005574&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=71cf97b6f8c201c716aa365fc2d485f0)
.
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