REG-BARCLAYS PLC FORM 8.3 – WM MORRISON SUPERMARKETS PLC
21/07/2021 13:00
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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: 20 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: 16,061,034 0.67% 11,361,569 0.47%
(2) Cash-settled derivatives:
8,042,084 0.33% 5,954,423 0.25%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 24,103,118 1.00% 17,315,992 0.72%
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 1,651 2.6177 GBP
10p ordinary Purchase 2,289 2.6194 GBP
10p ordinary Purchase 2,458 2.6189 GBP
10p ordinary Purchase 2,889 2.6199 GBP
10p ordinary Purchase 3,589 2.6196 GBP
10p ordinary Purchase 4,035 2.6146 GBP
10p ordinary Purchase 4,556 2.6200 GBP
10p ordinary Purchase 4,909 2.6150 GBP
10p ordinary Purchase 5,659 2.6180 GBP
10p ordinary Purchase 6,114 2.6197 GBP
10p ordinary Purchase 6,546 2.6126 GBP
10p ordinary Purchase 9,887 2.6190 GBP
10p ordinary Purchase 13,028 2.6195 GBP
10p ordinary Purchase 13,323 2.6155 GBP
10p ordinary Purchase 15,296 2.6147 GBP
10p ordinary Purchase 16,351 2.6173 GBP
10p ordinary Purchase 19,277 2.6133 GBP
10p ordinary Purchase 24,943 2.6192 GBP
10p ordinary Purchase 29,436 2.6137 GBP
10p ordinary Purchase 42,902 2.6193 GBP
10p ordinary Purchase 43,304 2.6164 GBP
10p ordinary Purchase 43,953 2.6120 GBP
10p ordinary Purchase 47,900 2.6121 GBP
10p ordinary Purchase 57,232 2.6185 GBP
10p ordinary Purchase 63,304 2.6186 GBP
10p ordinary Purchase 66,711 2.6114 GBP
10p ordinary Purchase 83,315 2.6140 GBP
10p ordinary Purchase 280,082 2.6160 GBP
10p ordinary Purchase 332,017 2.6107 GBP
10p ordinary Purchase 660,989 2.6110 GBP
10p ordinary Sale 1,124 2.6185 GBP
10p ordinary Sale 1,380 2.6218 GBP
10p ordinary Sale 2,601 2.6207 GBP
10p ordinary Sale 2,900 2.6170 GBP
10p ordinary Sale 2,940 2.6200 GBP
10p ordinary Sale 3,489 2.6190 GBP
10p ordinary Sale 4,552 2.6175 GBP
10p ordinary Sale 5,035 2.6180 GBP
10p ordinary Sale 6,205 2.6112 GBP
10p ordinary Sale 6,493 2.6196 GBP
10p ordinary Sale 11,576 2.6189 GBP
10p ordinary Sale 34,609 2.6158 GBP
10p ordinary Sale 34,857 2.6187 GBP
10p ordinary Sale 39,956 2.6191 GBP
10p ordinary Sale 46,038 2.6111 GBP
10p ordinary Sale 62,500 2.6147 GBP
10p ordinary Sale 97,300 2.6151 GBP
10p ordinary Sale 167,875 2.6110 GBP
10p ordinary Sale 186,520 2.6138 GBP
10p ordinary Sale 275,639 2.6109 GBP
10p ordinary Sale 352,296 2.6188 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 100 2.6181 GBP
10p ordinary SWAP Long 3,335 2.6108 GBP
10p ordinary SWAP Long 3,579 2.6188 GBP
10p ordinary SWAP Long 4,722 2.6190 GBP
10p ordinary SWAP Long 7,000 2.5997 GBP
10p ordinary SWAP Long 11,575 2.6202 GBP
10p ordinary SWAP Long 17,262 2.6196 GBP
10p ordinary SWAP Long 33,945 2.6178 GBP
10p ordinary SWAP Long 43,400 2.6166 GBP
10p ordinary SWAP Long 51,406 2.6090 GBP
10p ordinary SWAP Short 500 2.6210 GBP
10p ordinary SWAP Short 559 2.6189 GBP
10p ordinary SWAP Short 2,343 2.6132 GBP
10p ordinary SWAP Short 3,335 2.6110 GBP
10p ordinary SWAP Short 4,463 2.6173 GBP
10p ordinary CFD Short 4,909 2.6150 GBP
10p ordinary SWAP Short 6,546 2.6126 GBP
10p ordinary SWAP Short 16,283 2.6170 GBP
10p ordinary SWAP Short 24,943 2.6192 GBP
10p ordinary SWAP Short 64,368 2.6114 GBP
10p ordinary SWAP Short 72,985 2.6121 GBP
10p ordinary SWAP Short 87,105 2.6113 GBP
10p ordinary SWAP Short 183,831 2.6102 GBP
10p ordinary CFD Short 341,312 2.6109 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: 21 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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