Form 8.3 - WM MORRISON SUPERMARKETS PLC

LONDON--(BUSINESS WIRE)-- 

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 interests and short positions disclosed, if different from 1(a): The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.
(c) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree	WM MORRISON SUPERMARKETS PLC
(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: For an opening position disclosure, state the latest practicable date prior to the disclosure	03 August 2021
(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer? If it is a cash offer or possible cash offer, state “N/A”	NO

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:	14,595,783	0.60%	12,851,649	0.53%
(2)	Cash-settled derivatives:
		9,728,138	0.40%	5,174,458	0.21%
(3)	Stock-settled derivatives (including options)
	and agreements to purchase/sell:	0	0.00%	0	0.00%
(4)
	TOTAL:	24,323,921	1.01%	18,026,107	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	1,669	2.7210 GBP
10p ordinary	Purchase	1,936	2.7292 GBP
10p ordinary	Purchase	1,942	2.7200 GBP
10p ordinary	Purchase	2,134	2.7272 GBP
10p ordinary	Purchase	2,202	2.7256 GBP
10p ordinary	Purchase	2,306	2.7214 GBP
10p ordinary	Purchase	3,199	2.7245 GBP
10p ordinary	Purchase	3,209	2.7282 GBP
10p ordinary	Purchase	3,333	2.7265 GBP
10p ordinary	Purchase	3,385	2.7255 GBP
10p ordinary	Purchase	3,928	2.7224 GBP
10p ordinary	Purchase	4,146	2.7260 GBP
10p ordinary	Purchase	5,780	2.7222 GBP
10p ordinary	Purchase	7,191	2.7261 GBP
10p ordinary	Purchase	7,320	2.7236 GBP
10p ordinary	Purchase	8,450	2.7247 GBP
10p ordinary	Purchase	10,154	2.7248 GBP
10p ordinary	Purchase	11,931	2.7262 GBP
10p ordinary	Purchase	17,096	2.7268 GBP
10p ordinary	Purchase	27,481	2.7368 GBP
10p ordinary	Purchase	137,831	2.7258 GBP
10p ordinary	Purchase	140,014	2.7362 GBP
10p ordinary	Purchase	248,953	2.7370 GBP
10p ordinary	Sale	393	2.7247 GBP
10p ordinary	Sale	4,388	2.7255 GBP
10p ordinary	Sale	4,472	2.7269 GBP
10p ordinary	Sale	4,677	2.7203 GBP
10p ordinary	Sale	13,941	2.7202 GBP
10p ordinary	Sale	15,400	2.7234 GBP
10p ordinary	Sale	43,847	2.7257 GBP
10p ordinary	Sale	62,100	2.7327 GBP
10p ordinary	Sale	73,700	2.7332 GBP
10p ordinary	Sale	120,836	2.7293 GBP
10p ordinary	Sale	148,175	2.7370 GBP
10p ordinary	Sale	645,575	2.7361 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	3,039	2.7222 GBP
10p ordinary	CFD	Long	5,002	2.7369 GBP
10p ordinary	SWAP	Long	14,755	2.7234 GBP
10p ordinary	SWAP	Long	86,725	2.7369 GBP
10p ordinary	SWAP	Long	111,453	2.7344 GBP
10p ordinary	SWAP	Long	112,682	2.7370 GBP
10p ordinary	CFD	Long	120,836	2.7293 GBP
10p ordinary	SWAP	Long	197,511	2.7341 GBP
10p ordinary	CFD	Long	266,022	2.7368 GBP
10p ordinary	SWAP	Short	44	2.7240 GBP
10p ordinary	SWAP	Short	260	2.7246 GBP
10p ordinary	SWAP	Short	371	2.7244 GBP
10p ordinary	SWAP	Short	530	2.7209 GBP
10p ordinary	SWAP	Short	1,936	2.7292 GBP
10p ordinary	SWAP	Short	2,134	2.7272 GBP
10p ordinary	SWAP	Short	2,568	2.7245 GBP
10p ordinary	SWAP	Short	3,928	2.7224 GBP
10p ordinary	SWAP	Short	5,780	2.7222 GBP
10p ordinary	SWAP	Short	6,346	2.7261 GBP
10p ordinary	SWAP	Short	7,320	2.7236 GBP
10p ordinary	SWAP	Short	12,776	2.7262 GBP
10p ordinary	SWAP	Short	18,559	2.7238 GBP
10p ordinary	CFD	Short	30,828	2.7293 GBP
10p ordinary	CFD	Short	51,530	2.7370 GBP
10p ordinary	SWAP	Short	77,825	2.7252 GBP
10p ordinary	SWAP	Short	81,151	2.7371 GBP
10p ordinary	SWAP	Short	153,007	2.7370 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:	04 August 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 [phone].

*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

Full name of person making disclosure:	Barclays PLC.
Name of offeror/offeree in relation to whose relevant securities the disclosure relates:	WM MORRISON SUPERMARKETS PLC

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	0 Jan 1900

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 [phone].

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.