30 Mar 2022 10:35
FORM 8.5 (EPT/NON-RI) |
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PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN |
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EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS |
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(OR WHERE RI STATUS IS NOT APPLICABLE) |
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Rule 8.5 of the Takeover Code (the "Code") |
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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: | 29 March 2022 | ||||
(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 | ||||||
(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: | 1,547,544 | 1.16% | 541,332 | 0.41% | |||
(2) | Cash-settled derivatives: | ||||||
541,332 | 0.41% | 1,391,889 | 1.04% | ||||
(3) | Stock-settled derivatives (including options) | ||||||
and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | |||
TOTAL: | 2,088,876 | 1.57% | 1,933,221 | 1.45% | |||
(b) | Rights to subscribe for new securities (including directors and other executive |
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options) |
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Class of relevant security in relation to |
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which subscription right exists |
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Details, including nature of the rights |
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concerned and relevant percentages: |
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3. | DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER | |||||||||||||
(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 | 16,135 | 9.2189 GBP | 9.2095 GBP | ||||||||||
0.1p ordinary | Sale | 253,025 | 9.2137 GBP | 9.21 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 | Decreasing Short | 1,057 | 9.2129 GBP | |||
0.1p ordinary | SWAP | Decreasing Short | 1,290 | 9.2100 GBP | |||
0.1p ordinary | CFD | Decreasing Short | 1,711 | 9.2141 GBP | |||
0.1p ordinary | SWAP | Decreasing Short | 5,172 | 9.2100 GBP | |||
0.1p ordinary | SWAP | Decreasing Short | 6,382 | 9.2145 GBP | |||
0.1p ordinary | SWAP | Decreasing Short | 12,387 | 9.2108 GBP | |||
0.1p ordinary | SWAP | Decreasing Short | 13,237 | 9.2202 GBP | |||
(c) | Stock-settled derivative transactions (including options) | ||||||
(i) | Writing, selling, purchasing or varying | ||||||
Class | Product | Writing, | Number | Exercise | Type | Expiry | Option |
of | description | purchasing, | of | price | date | money | |
relevant | selling, | securities | per unit | paid/ | |||
security | varying etc | to which | received | ||||
option | per unit | ||||||
relates | |||||||
(ii) | Exercising | ||||||
Class of relevant | Product description | Exercising/ exercised against | Number of | Exercise price per | |||
security | securities | unit | |||||
(d) | Other dealings (including subscribing for new securities) | ||||||
Class of relevant | Nature of Dealings | Details | Price per unit (if | ||||
security | applicable) | ||||||
4. | OTHER INFORMATION | ||||||
(a) | Indemnity and other dealings 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: | |||||||
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 of future acquisition or disposal of any relevant securities to which | |||||||
any derivative is referenced: | |||||||
NONE | |||||||
(c) | Attachments | ||||||
Is a Supplemental Form 8 (Open Positions) attached? | NO | ||||||
Date of disclosure: | 30 Mar 2022 | ||||||
Contact name: | Large Holdings Regulatory Operations | ||||||
Telephone number: | 020 3134 7213 | ||||||