REG-BARCLAYS PLC FORM 8.3 – WM MORRISON SUPERMARKETS PLC
19/07/2021 13:15
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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: 16 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: 16,232,657 0.67% 11,722,601 0.49%
(2) Cash-settled derivatives:
8,475,701 0.35% 5,978,953 0.25%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 24,708,358 1.03% 17,701,554 0.73%
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 4 2.6380 GBP
10p ordinary Purchase 5 2.6250 GBP
10p ordinary Purchase 326 2.6260 GBP
10p ordinary Purchase 2,198 2.6343 GBP
10p ordinary Purchase 3,910 2.6239 GBP
10p ordinary Purchase 7,217 2.6261 GBP
10p ordinary Purchase 10,055 2.6229 GBP
10p ordinary Purchase 18,887 2.6308 GBP
10p ordinary Purchase 21,943 2.6277 GBP
10p ordinary Purchase 27,735 2.6249 GBP
10p ordinary Purchase 35,990 2.6252 GBP
10p ordinary Purchase 50,000 2.6200 GBP
10p ordinary Purchase 77,402 2.6273 GBP
10p ordinary Purchase 130,525 2.6270 GBP
10p ordinary Sale 322 2.6260 GBP
10p ordinary Sale 880 2.6369 GBP
10p ordinary Sale 1,046 2.6220 GBP
10p ordinary Sale 1,444 2.6370 GBP
10p ordinary Sale 1,519 2.6225 GBP
10p ordinary Sale 2,947 2.6340 GBP
10p ordinary Sale 3,288 2.6239 GBP
10p ordinary Sale 3,383 2.6236 GBP
10p ordinary Sale 4,191 2.6232 GBP
10p ordinary Sale 4,262 2.6215 GBP
10p ordinary Sale 5,124 2.6210 GBP
10p ordinary Sale 6,074 2.6306 GBP
10p ordinary Sale 7,876 2.6289 GBP
10p ordinary Sale 7,940 2.6221 GBP
10p ordinary Sale 9,216 2.6235 GBP
10p ordinary Sale 12,045 2.6247 GBP
10p ordinary Sale 37,330 2.6240 GBP
10p ordinary Sale 50,000 2.6216 GBP
10p ordinary Sale 57,130 2.6271 GBP
10p ordinary Sale 63,500 2.6252 GBP
10p ordinary Sale 65,177 2.6263 GBP
10p ordinary Sale 68,297 2.6241 GBP
10p ordinary Sale 69,963 2.6270 GBP
10p ordinary Sale 82,458 2.6272 GBP
10p ordinary Sale 125,483 2.6350 GBP
10p ordinary Sale 196,266 2.6266 GBP
10p ordinary Sale 449,044 2.6268 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 138 2.6352 GBP
10p ordinary SWAP Long 742 2.6371 GBP
10p ordinary SWAP Long 9,289 2.6270 GBP
10p ordinary SWAP Long 21,140 2.6267 GBP
10p ordinary SWAP Long 29,618 2.6253 GBP
10p ordinary SWAP Long 32,183 2.6256 GBP
10p ordinary CFD Long 63,792 2.6269 GBP
10p ordinary SWAP Long 65,733 2.6250 GBP
10p ordinary CFD Long 68,297 2.6241 GBP
10p ordinary CFD Long 85,985 2.6268 GBP
10p ordinary SWAP Short 50 2.6274 GBP
10p ordinary SWAP Short 1,336 2.6300 GBP
10p ordinary SWAP Short 2,517 2.6278 GBP
10p ordinary SWAP Short 3,910 2.6239 GBP
10p ordinary SWAP Short 3,993 2.6246 GBP
10p ordinary CFD Short 6,198 2.6270 GBP
10p ordinary SWAP Short 18,016 2.6273 GBP
10p ordinary CFD Short 27,735 2.6249 GBP
10p ordinary SWAP Short 35,990 2.6252 GBP
10p ordinary SWAP Short 41,494 2.6270 GBP
10p ordinary SWAP Short 75,681 2.6277 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: 19 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
(http://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 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.
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