Form 8.5 (EPT/NON-RI) - Clinigen Group plc

LONDON--()-- 

FORM 8.5 (EPT/NON-RI)

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN

EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY (“RI”) STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)

Rule 8.5 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a) Name of exempt principal trader:     BARCLAYS CAPITAL SECURITIES LTD
(b) Name of offeror/offeree in relation to whose   CLINIGEN GROUP PLC
  relevant securities this form relates:    
(c) Name of the party to the offer with which exempt   Triley Bidco Limited (a newly-formed company indirectly owned by Triton Funds)
  principal trader is connected    
(d) Date position held/dealing undertaken:     08 December 2021
(e) In addition to the company in 1(b) above, is the exempt principal  NO  
  trader making disclosures in respect of any other party to the offer?      

2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER

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(b), 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: 0.1p ordinary  
 

Interests

Short Positions

 

Number

(%)

Number

(%)

(1)

Relevant securities owned

 

 

 

 

  and/or controlled:

67,708

0.05%

1,217,998

0.91%

     

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

   

1,146,147

0.86%

0

0.00%

     

 

 

 

 

(3)

Stock-settled derivatives (including options) 

 

 

 

 

  and agreements to purchase/sell:

0

0.00%

0

0.00%

     

 

 

 

 

   

 

 

 

 

  TOTAL:  

1,213,855

0.91%

1,217,998

0.91%

     

 

 

 

 

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 EXEMPT PRINCIPAL TRADER

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), 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

 

Total number of

 

Highest price per unit

Lowest price per unit

security  

 

 

securities

 

paid/received

paid/received

0.1p ordinary

Purchase

746,441

9.0995 GBP

8.95 GBP

0.1p ordinary

Sale

1,132,505

9.0525 GBP

8.9517 GBP

(b) Cash-settled derivative transactions

Class of  

Product

 

Nature of dealing

 

Number of

Price per

relevant  

description

 

 

 

reference

unit

security  

 

 

 

 

securities

 

0.1p ordinary

 SWAP 

Long

370

9.0091 GBP

0.1p ordinary

 SWAP 

Long

492

9.0092 GBP

0.1p ordinary

 SWAP 

Long

27,266

9.0655 GBP

0.1p ordinary

 SWAP 

Long

32,749

9.0401 GBP

0.1p ordinary

 SWAP 

Long

69,459

9.0323 GBP

0.1p ordinary

 SWAP 

Long

137,682

9.0120 GBP

0.1p ordinary

 SWAP 

Long

331,596

8.9959 GBP

0.1p ordinary

 SWAP 

Long

375,956

9.0347 GBP

0.1p ordinary

 SWAP 

Short

269

9.1000 GBP

0.1p ordinary

 CFD 

Short

349

9.0714 GBP

0.1p ordinary

 SWAP 

Short

1,558

9.0584 GBP

0.1p ordinary

 SWAP 

Short

3,153

9.0585 GBP

0.1p ordinary

 SWAP 

Short

4,698

9.0664 GBP

0.1p ordinary

 SWAP 

Short

12,461

9.0684 GBP

0.1p ordinary

 SWAP 

Short

18,738

9.0259 GBP

0.1p ordinary

 SWAP 

Short

21,692

9.0700 GBP

0.1p ordinary

 SWAP 

Short

23,615

9.0588 GBP

0.1p ordinary

 SWAP 

Short

33,449

8.9544 GBP

0.1p ordinary

 SWAP 

Short

33,449

9.0597 GBP

0.1p ordinary

 CFD 

Short

40,751

9.0323 GBP

0.1p ordinary

 SWAP 

Short

48,009

9.0385 GBP

0.1p ordinary

 SWAP 

Short

100,346

8.9644 GBP

0.1p ordinary

 SWAP 

Short

126,754

9.0212 GBP

0.1p ordinary

 SWAP 

Short

136,215

9.0328 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 exempt principal trader 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 exempt principal trader 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? NO
Date of disclosure:

9 Dec 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.

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

Category Code: FEO
Sequence Number: 752826
Time of Receipt (offset from UTC): 20211209T094844+0000

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC