FORM 8.3 - WM MORRISON SUPERMARKETS PLC

·7 min read

LONDON, July 26, 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:

23 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:

13,888,148

0.58%

12,531,516

0.52%

(2)

Cash-settled derivatives:

10,630,013

0.44%

5,284,577

0.22%

(3)

Stock-settled derivatives (including options)

and agreements to purchase/sell:

0

0.00%

0

0.00%

(4)

TOTAL:

24,518,161

1.02%

17,816,093

0.74%

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

812

2.6594 GBP

10p ordinary

Purchase

2,843

2.6686 GBP

10p ordinary

Purchase

3,068

2.6644 GBP

10p ordinary

Purchase

5,086

2.6684 GBP

10p ordinary

Purchase

5,903

2.6790 GBP

10p ordinary

Purchase

6,760

2.6642 GBP

10p ordinary

Purchase

12,137

2.6633 GBP

10p ordinary

Purchase

16,256

2.6713 GBP

10p ordinary

Purchase

19,278

2.6651 GBP

10p ordinary

Purchase

24,400

2.6715 GBP

10p ordinary

Purchase

35,253

2.6648 GBP

10p ordinary

Purchase

46,079

2.6647 GBP

10p ordinary

Purchase

48,448

2.6521 GBP

10p ordinary

Purchase

116,162

2.6632 GBP

10p ordinary

Purchase

341,815

2.6730 GBP

10p ordinary

Purchase

411,681

2.6656 GBP

10p ordinary

Purchase

853,279

2.6650 GBP

10p ordinary

Sale

30

2.6712 GBP

10p ordinary

Sale

993

2.6690 GBP

10p ordinary

Sale

1,391

2.6680 GBP

10p ordinary

Sale

1,936

2.6579 GBP

10p ordinary

Sale

2,461

2.6557 GBP

10p ordinary

Sale

3,441

2.6518 GBP

10p ordinary

Sale

4,192

2.6689 GBP

10p ordinary

Sale

4,495

2.6619 GBP

10p ordinary

Sale

5,715

2.6519 GBP

10p ordinary

Sale

5,728

2.6630 GBP

10p ordinary

Sale

10,869

2.6520 GBP

10p ordinary

Sale

13,918

2.6624 GBP

10p ordinary

Sale

17,812

2.6657 GBP

10p ordinary

Sale

20,687

2.6652 GBP

10p ordinary

Sale

24,870

2.6623 GBP

10p ordinary

Sale

28,373

2.6625 GBP

10p ordinary

Sale

49,728

2.6618 GBP

10p ordinary

Sale

125,236

2.6642 GBP

10p ordinary

Sale

132,818

2.6647 GBP

10p ordinary

Sale

867,503

2.6790 GBP

10p ordinary

Sale

2,742,467

2.6650 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

20

2.6689 GBP

10p ordinary

CFD

Long

30

2.6643 GBP

10p ordinary

CFD

Long

108

2.6642 GBP

10p ordinary

CFD

Long

534

2.6888 GBP

10p ordinary

SWAP

Long

4,172

2.6688 GBP

10p ordinary

SWAP

Long

7,359

2.6648 GBP

10p ordinary

SWAP

Long

12,592

2.6603 GBP

10p ordinary

SWAP

Long

19,898

2.6707 GBP

10p ordinary

SWAP

Long

28,996

2.6649 GBP

10p ordinary

SWAP

Long

46,534

2.6614 GBP

10p ordinary

SWAP

Long

84,367

2.6647 GBP

10p ordinary

SWAP

Long

421,777

2.6650 GBP

10p ordinary

SWAP

Long

867,503

2.6790 GBP

10p ordinary

CFD

Long

2,319,573

2.6650 GBP

10p ordinary

SWAP

Short

548

2.6519 GBP

10p ordinary

SWAP

Short

595

2.6684 GBP

10p ordinary

SWAP

Short

2,843

2.6686 GBP

10p ordinary

SWAP

Short

3,325

2.6619 GBP

10p ordinary

SWAP

Short

5,903

2.6790 GBP

10p ordinary

CFD

Short

22,849

2.6647 GBP

10p ordinary

SWAP

Short

25,010

2.6651 GBP

10p ordinary

CFD

Short

39,975

2.6660 GBP

10p ordinary

SWAP

Short

106,779

2.6681 GBP

10p ordinary

SWAP

Short

341,815

2.6730 GBP

10p ordinary

CFD

Short

424,143

2.6650 GBP

10p ordinary

SWAP

Short

723,735

2.6650 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:

26 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/20210726005467/en/

Contacts

BARCLAYS PLC

Our goal is to create a safe and engaging place for users to connect over interests and passions. In order to improve our community experience, we are temporarily suspending article commenting