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Form 8.3 - WM Morrison Supermarkets plc

·7 min read

LONDON, July 22, 2021--(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 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:

21 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:

16,182,686

0.67%

12,100,605

0.50%

(2)

Cash-settled derivatives:

8,756,235

0.36%

6,143,433

0.25%

(3)

Stock-settled derivatives (including options)

and agreements to purchase/sell:

0

0.00%

0

0.00%

TOTAL:

24,938,921

1.03%

18,244,038

0.76%

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

866

2.6429 GBP

10p ordinary

Purchase

1,310

2.6400 GBP

10p ordinary

Purchase

1,362

2.6319 GBP

10p ordinary

Purchase

3,993

2.6402 GBP

10p ordinary

Purchase

4,603

2.6315 GBP

10p ordinary

Purchase

4,821

2.6305 GBP

10p ordinary

Purchase

6,989

2.6404 GBP

10p ordinary

Purchase

6,998

2.6452 GBP

10p ordinary

Purchase

7,587

2.6434 GBP

10p ordinary

Purchase

10,925

2.6395 GBP

10p ordinary

Purchase

11,526

2.6412 GBP

10p ordinary

Purchase

14,115

2.6393 GBP

10p ordinary

Purchase

24,848

2.6421 GBP

10p ordinary

Purchase

25,369

2.6430 GBP

10p ordinary

Purchase

26,513

2.6425 GBP

10p ordinary

Purchase

33,500

2.6419 GBP

10p ordinary

Purchase

38,685

2.6407 GBP

10p ordinary

Purchase

85,878

2.6420 GBP

10p ordinary

Purchase

153,346

2.6510 GBP

10p ordinary

Purchase

221,366

2.6489 GBP

10p ordinary

Purchase

409,843

2.6320 GBP

10p ordinary

Sale

10

2.6391 GBP

10p ordinary

Sale

600

2.6347 GBP

10p ordinary

Sale

695

2.6436 GBP

10p ordinary

Sale

1,221

2.6385 GBP

10p ordinary

Sale

1,896

2.6360 GBP

10p ordinary

Sale

10,640

2.6441 GBP

10p ordinary

Sale

10,925

2.6395 GBP

10p ordinary

Sale

11,609

2.6407 GBP

10p ordinary

Sale

15,873

2.6414 GBP

10p ordinary

Sale

19,457

2.6512 GBP

10p ordinary

Sale

35,635

2.6315 GBP

10p ordinary

Sale

78,612

2.6401 GBP

10p ordinary

Sale

80,662

2.6400 GBP

10p ordinary

Sale

179,091

2.6511 GBP

10p ordinary

Sale

276,718

2.6510 GBP

10p ordinary

Sale

988,183

2.6485 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

14

2.6379 GBP

10p ordinary

CFD

Long

298

2.6347 GBP

10p ordinary

CFD

Long

302

2.6348 GBP

10p ordinary

SWAP

Long

695

2.6436 GBP

10p ordinary

SWAP

Long

1,207

2.6385 GBP

10p ordinary

CFD

Long

2,000

2.6396 GBP

10p ordinary

SWAP

Long

3,149

2.6508 GBP

10p ordinary

SWAP

Long

3,335

2.6510 GBP

10p ordinary

SWAP

Long

8,739

2.6387 GBP

10p ordinary

SWAP

Long

43,951

2.6400 GBP

10p ordinary

SWAP

Long

52,654

2.6405 GBP

10p ordinary

SWAP

Long

109,217

2.6457 GBP

10p ordinary

CFD

Long

175,894

2.6509 GBP

10p ordinary

CFD

Long

221,775

2.6508 GBP

10p ordinary

SWAP

Long

287,819

2.6475 GBP

10p ordinary

SWAP

Long

412,791

2.6477 GBP

10p ordinary

SWAP

Short

372

2.6410 GBP

10p ordinary

SWAP

Short

395

2.6448 GBP

10p ordinary

SWAP

Short

431

2.6381 GBP

10p ordinary

SWAP

Short

496

2.6445 GBP

10p ordinary

SWAP

Short

550

2.6369 GBP

10p ordinary

SWAP

Short

558

2.6379 GBP

10p ordinary

SWAP

Short

1,028

2.6423 GBP

10p ordinary

SWAP

Short

1,061

2.6426 GBP

10p ordinary

SWAP

Short

1,074

2.6405 GBP

10p ordinary

SWAP

Short

2,245

2.6408 GBP

10p ordinary

SWAP

Short

3,299

2.6371 GBP

10p ordinary

SWAP

Short

3,378

2.6446 GBP

10p ordinary

SWAP

Short

5,466

2.6462 GBP

10p ordinary

SWAP

Short

6,388

2.6424 GBP

10p ordinary

SWAP

Short

6,411

2.6404 GBP

10p ordinary

SWAP

Short

8,411

2.6413 GBP

10p ordinary

SWAP

Short

9,628

2.6421 GBP

10p ordinary

SWAP

Short

10,258

2.6403 GBP

10p ordinary

SWAP

Short

13,694

2.6412 GBP

10p ordinary

SWAP

Short

16,541

2.6420 GBP

10p ordinary

SWAP

Short

16,892

2.6433 GBP

10p ordinary

SWAP

Short

22,014

2.6419 GBP

10p ordinary

SWAP

Short

24,183

2.6407 GBP

10p ordinary

SWAP

Short

57,220

2.6380 GBP

10p ordinary

SWAP

Short

178,904

2.6510 GBP

10p ordinary

SWAP

Short

407,802

2.6320 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:

22 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.

View source version on businesswire.com: https://www.businesswire.com/news/home/20210722005566/en/

Contacts

BARCLAYS PLC