Form 38.5(b) REPORT - OSMOTICA PHARMACEUTICALS PLC

LONDON--()-- 

FORM 38.5(b)

IRISH TAKEOVER PANEL

DISCLOSURE UNDER RULE 38.5(b) OF THE IRISH TAKEOVER PANEL ACT, 1997, TAKEOVER RULES, 2013

DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS WITHOUT RECOGNISED INTERMEDIARY STATUS, OR WITH RECOGNISED INTERMEDIARY STATUS BUT NOT DEALING IN A CLIENT-SERVING CAPACITY

1. KEY INFORMATION

Name of exempt principal trader: BARCLAYS CAPITAL INC
Company dealt in OSMOTICA PHARMACEUTICALS PLC
Class of relevant security to which the US$0.01 ordinary shares
dealings being disclosed relate
Date of dealing

31 March 2021

2. INTERESTS AND SHORT POSITIONS

a. Interests and short positions (following dealing) in the class of relevant security dealt in (Note 2)

Class of relevant security: ORD
Interests Short Positions
Number (%) Number (%)

(1)

Relevant securities owned

320

0.00%

0

0.00%

 

(2)

Derivatives (other than options):

0

0.00%

0

0.00%

 

(3)

Options and agreements to
purchase/sell:

0

0.00%

0

0.00%

 
 
TOTAL:

320

0.00%

0

0.00%

 

b. Interests and short positions in relevant securities of the company, other than the class dealt in (Note 2)

Class of relevant security:

Long

Short

 

Number

 

(%)

Number

 

(%)

(1) Relevant securities

 

 

(2) Derivatives (other than options)

 

 

(3) Options and agreements to purchase/sell

 

 

Total

 

 

 

3. DEALINGS (Note 3)

a. Purchases and sales

Purchase/sale Number of Price per unit
securities

Purchase

5

3.2600 USD

Purchase

88

3.2300 USD

Purchase

100

3.2950 USD

Purchase

212

3.2580 USD

Purchase

300

3.2816 USD

Purchase

300

3.2433 USD

Purchase

400

3.2350 USD

Purchase

1,909

3.2356 USD

Sale

5

3.2600 USD

Sale

3,309

3.2435 USD

b. Derivatives transactions (other than options transactions)

Product name,

e.g. CFD

Nature of transaction

(Note 5)

Number of relevant securities

(Note 6)

Price per unit

(Note 4)

 

 

 

 

c. Options transactions in respect of existing relevant securities

i. Writing, selling, purchasing or varying

Product name,

e.g. call option

Writing, selling, purchasing, varying etc.

Number of securities to which the option relates (Note 7)

Exercise price

Type, e.g. American, European etc.

Expiry date

Option money paid/received per unit (Note 4)

 

 

 

 

 

 

 

ii. Exercising

Product name,

e.g. call option

Number of securities

Exercise price per unit (Note 4)

 

 

 

d. Other dealings (including transactions in respect of new securities) (Note 3)

Nature of transaction

(Note 7)

Details

Price per unit

(if applicable) (Note 4)

 

 

 

 

4. OTHER INFORMATION

Agreements, arrangements or understandings relating to options or derivatives

Full details of any agreement, arrangement or understanding between the person disclosing and any other person relating to the voting rights of any relevant securities under any option referred to on this form or relating to the voting rights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form is referenced. If none, this should be stated.

None

Is a Supplemental Form 38.5(b) attached?

NO

Date of disclosure:

01 Apr 2021

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213

Name of offeree/offeror with which connected

 

Nature of connection

 

 

Category Code: MSCH
Sequence Number: 734428
Time of Receipt (offset from UTC): 20210401T110110+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC