Form 8.3 - WM Morrison Supermarkets PLC

LONDON--()-- 

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:

01 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:

17,112,423

0.71%

15,437,796

0.64%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

14,203,247

0.59%

7,528,076

0.31%

 

 

 

 

(3)

Stock-settled derivatives (including options)

 

 

 

 

and agreements to purchase/sell:

0

0.00%

0

0.00%

 

 

 

 

 

 

 

 

TOTAL:

31,315,670

1.30%

22,965,872

0.95%

 

 

 

 

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

8

2.3910 GBP

10p ordinary

Purchase

457

2.3900 GBP

10p ordinary

Purchase

1,166

2.4110 GBP

10p ordinary

Purchase

1,166

2.4035 GBP

10p ordinary

Purchase

1,197

2.3880 GBP

10p ordinary

Purchase

1,246

2.4120 GBP

10p ordinary

Purchase

1,374

2.3980 GBP

10p ordinary

Purchase

3,085

2.4056 GBP

10p ordinary

Purchase

3,549

2.4544 GBP

10p ordinary

Purchase

6,545

2.4079 GBP

10p ordinary

Purchase

6,969

2.4022 GBP

10p ordinary

Purchase

8,119

2.4105 GBP

10p ordinary

Purchase

12,001

2.4126 GBP

10p ordinary

Purchase

13,671

2.4085 GBP

10p ordinary

Purchase

15,000

2.4130 GBP

10p ordinary

Purchase

17,383

2.4095 GBP

10p ordinary

Purchase

29,119

2.4099 GBP

10p ordinary

Purchase

37,144

2.4171 GBP

10p ordinary

Purchase

73,115

2.4100 GBP

10p ordinary

Purchase

141,116

2.4083 GBP

10p ordinary

Purchase

165,000

2.4197 GBP

10p ordinary

Purchase

257,833

2.4116 GBP

10p ordinary

Sale

8

2.3910 GBP

10p ordinary

Sale

532

2.4110 GBP

10p ordinary

Sale

1,166

2.3800 GBP

10p ordinary

Sale

1,183

2.4035 GBP

10p ordinary

Sale

1,197

2.3880 GBP

10p ordinary

Sale

1,199

2.4070 GBP

10p ordinary

Sale

1,374

2.3980 GBP

10p ordinary

Sale

1,382

2.4310 GBP

10p ordinary

Sale

1,583

2.3955 GBP

10p ordinary

Sale

2,530

2.4076 GBP

10p ordinary

Sale

3,085

2.4053 GBP

10p ordinary

Sale

3,727

2.4061 GBP

10p ordinary

Sale

7,108

2.4205 GBP

10p ordinary

Sale

7,545

2.4246 GBP

10p ordinary

Sale

7,633

2.4098 GBP

10p ordinary

Sale

7,794

2.4251 GBP

10p ordinary

Sale

9,619

2.4215 GBP

10p ordinary

Sale

11,434

2.4084 GBP

10p ordinary

Sale

11,891

2.4254 GBP

10p ordinary

Sale

12,064

2.4109 GBP

10p ordinary

Sale

17,423

2.4181 GBP

10p ordinary

Sale

20,267

2.4130 GBP

10p ordinary

Sale

22,468

2.3956 GBP

10p ordinary

Sale

23,523

2.4204 GBP

10p ordinary

Sale

38,579

2.4165 GBP

10p ordinary

Sale

64,366

2.4196 GBP

10p ordinary

Sale

70,654

2.4100 GBP

10p ordinary

Sale

94,849

2.4158 GBP

10p ordinary

Sale

110,969

2.4174 GBP

10p ordinary

Sale

118,038

2.4096 GBP

10p ordinary

Sale

742,967

2.4175 GBP

ADR

Purchase

18

16.5810 USD

ADR

Sale

18

16.5810 USD

(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

532

2.4108 GBP

10p ordinary

SWAP

Long

939

2.4118 GBP

10p ordinary

SWAP

Long

3,085

2.4053 GBP

10p ordinary

SWAP

Long

6,740

2.4163 GBP

10p ordinary

CFD

Long

7,633

2.4098 GBP

10p ordinary

SWAP

Long

11,070

2.4106 GBP

10p ordinary

CFD

Long

11,434

2.4084 GBP

10p ordinary

SWAP

Long

12,395

2.4069 GBP

10p ordinary

SWAP

Long

30,953

2.4172 GBP

10p ordinary

SWAP

Long

36,621

2.4100 GBP

10p ordinary

SWAP

Long

51,250

2.4137 GBP

10p ordinary

SWAP

Long

53,256

2.4215 GBP

10p ordinary

SWAP

Long

242,193

2.4135 GBP

10p ordinary

SWAP

Long

564,889

2.4189 GBP

10p ordinary

SWAP

Short

735

2.4101 GBP

10p ordinary

SWAP

Short

2,491

2.4110 GBP

10p ordinary

SWAP

Short

3,085

2.4056 GBP

10p ordinary

SWAP

Short

5,000

2.4112 GBP

10p ordinary

SWAP

Short

7,564

2.4105 GBP

10p ordinary

SWAP

Short

15,742

2.4100 GBP

10p ordinary

SWAP

Short

18,747

2.4047 GBP

10p ordinary

SWAP

Short

51,251

2.4067 GBP

10p ordinary

SWAP

Short

110,363

2.4085 GBP

10p ordinary

SWAP

Short

125,588

2.4172 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:

2 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.

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.

Category Code: RET
Sequence Number: 740697
Time of Receipt (offset from UTC): 20210702T110528+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC