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  5. Form 8.3 - NMC Health plc - Amendment

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Form 8.3 - NMC Health plc - Amendment

19 Feb 2020 15:01

RNS Number : 5106D
D E Shaw & Co LP
19 February 2020
 

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:

D. E. Shaw & Co., L.P.

(b) Owner or controller of interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.

(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

NMC Health plc

(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:

For an opening position disclosure, state the latest practicable date prior to the disclosure

February 14, 2020

(f) In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?

If it is a cash offer or possible cash offer, state "N/A"

N/A

 

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:

(2) Cash-settled derivatives:

 

756,241

0.36

638,752

0.30

(3) Stock-settled derivatives (including options) and agreements to purchase/sell:

1,400,000

0.67

882,000

0.42

 

TOTAL:

2,156,241

1.03

1,520,752

0.72

 

 

Class of relevant security:

 

Convertible bond 2025

 

 

Interests

Short positions

Number

%

Number

%

(1) Relevant securities owned and/or controlled:

(2) Cash-settled derivatives:

 

25,800,000

7.16

(3) Stock-settled derivatives (including options) and agreements to purchase/sell:

 

TOTAL:

25,800,000

7.16

 

 

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 security

Purchase/sale

 

Number of securities

Price per unit

 

 

 

(b) Cash-settled derivative transactions

 

Class of relevant security

Product description

e.g. CFD

Nature of dealing

e.g. opening/closing a long/short position, increasing/reducing a long/short position

Number of reference securities

Price per unit

10p ordinary

Swap

Increasing a short position

199

GBP 7.67

10p ordinary

Swap

Increasing a short position

196

GBP 7.88

10p ordinary

Swap

Increasing a short position

102

GBP 7.91

10p ordinary

Swap

Increasing a short position

16,373

GBP 8.06

10p ordinary

Swap

Increasing a short position

189

GBP 8.12

10p ordinary

Swap

Reducing a long position

46

GBP 7.58

10p ordinary

Swap

Reducing a long position

1,560

GBP 7.59

10p ordinary

Swap

Reducing a long position

1,708

GBP 7.60

10p ordinary

Swap

Reducing a long position

740

GBP 7.61

10p ordinary

Swap

Reducing a long position

1,707

GBP 7.62

10p ordinary

Swap

Reducing a long position

918

GBP 7.63

10p ordinary

Swap

Reducing a long position

822

GBP 7.64

10p ordinary

Swap

Reducing a long position

640

GBP 7.65

10p ordinary

Swap

Reducing a long position

478

GBP 7.66

10p ordinary

Swap

Reducing a long position

908

GBP 7.67

10p ordinary

Swap

Reducing a long position

1,088

GBP 7.70

10p ordinary

Swap

Reducing a long position

546

GBP 7.71

10p ordinary

Swap

Reducing a long position

1,017

GBP 7.72

10p ordinary

Swap

Reducing a long position

342

GBP 7.74

10p ordinary

Swap

Reducing a long position

3,157

GBP 7.75

10p ordinary

Swap

Reducing a long position

702

GBP 7.76

10p ordinary

Swap

Reducing a long position

308

GBP 7.79

10p ordinary

Swap

Reducing a long position

1,025

GBP 7.80

10p ordinary

Swap

Reducing a long position

1,596

GBP 7.81

10p ordinary

Swap

Reducing a long position

509

GBP 7.84

10p ordinary

Swap

Reducing a long position

1,418

GBP 7.85

10p ordinary

Swap

Reducing a long position

391

GBP 7.91

10p ordinary

Swap

Reducing a long position

363

GBP 7.94

10p ordinary

Swap

Reducing a long position

99

GBP 7.97

10p ordinary

Swap

Reducing a long position

62

GBP 7.99

10p ordinary

Swap

Reducing a long position

624

GBP 8.00

10p ordinary

Swap

Reducing a long position

266

GBP 8.01

10p ordinary

Swap

Reducing a long position

136

GBP 8.03

10p ordinary

Swap

Reducing a long position

837

GBP 8.04

10p ordinary

Swap

Reducing a long position

292

GBP 8.06

10p ordinary

Swap

Reducing a long position

127

GBP 8.10

10p ordinary

Swap

Reducing a long position

584

GBP 8.24

10p ordinary

Swap

Reducing a short position

133

GBP 7.58

10p ordinary

Swap

Reducing a short position

400

GBP 7.60

10p ordinary

Swap

Reducing a short position

334

GBP 7.61

10p ordinary

Swap

Reducing a short position

150

GBP 7.62

10p ordinary

Swap

Reducing a short position

113

GBP 7.63

10p ordinary

Swap

Reducing a short position

408

GBP 7.64

10p ordinary

Swap

Reducing a short position

30

GBP 7.65

10p ordinary

Swap

Reducing a short position

200

GBP 7.67

10p ordinary

Swap

Reducing a short position

422

GBP 7.68

10p ordinary

Swap

Reducing a short position

481

GBP 7.69

10p ordinary

Swap

Reducing a short position

324

GBP 7.70

10p ordinary

Swap

Reducing a short position

200

GBP 7.71

10p ordinary

Swap

Reducing a short position

239

GBP 7.73

10p ordinary

Swap

Reducing a short position

435

GBP 7.74

10p ordinary

Swap

Reducing a short position

400

GBP 7.76

10p ordinary

Swap

Reducing a short position

600

GBP 7.79

10p ordinary

Swap

Reducing a short position

676

GBP 7.84

10p ordinary

Swap

Reducing a short position

200

GBP 7.86

10p ordinary

Swap

Reducing a short position

156

GBP 7.88

10p ordinary

Swap

Reducing a short position

136

GBP 7.93

10p ordinary

Swap

Reducing a short position

327

GBP 7.95

10p ordinary

Swap

Reducing a short position

64

GBP 7.99

10p ordinary

Swap

Reducing a short position

152

GBP 8.03

10p ordinary

Swap

Reducing a short position

175

GBP 8.05

10p ordinary

Swap

Reducing a short position

355

GBP 8.06

10p ordinary

Swap

Reducing a short position

479

GBP 8.07

10p ordinary

Swap

Reducing a short position

445

GBP 8.08

10p ordinary

Swap

Reducing a short position

536

GBP 8.09

10p ordinary

Swap

Reducing a short position

219

GBP 8.11

10p ordinary

Swap

Reducing a short position

221

GBP 8.12

10p ordinary

Swap

Reducing a short position

266

GBP 8.13

10p ordinary

Swap

Reducing a short position

734

GBP 8.14

10p ordinary

Swap

Reducing a short position

878

GBP 8.16

10p ordinary

Swap

Reducing a short position

314

GBP 8.17

10p ordinary

Swap

Reducing a short position

1,658

GBP 8.18

10p ordinary

Swap

Reducing a short position

662

GBP 8.19

10p ordinary

Swap

Reducing a short position

1,251

GBP 8.22

10p ordinary

Swap

Reducing a short position

81

GBP 8.24

10p ordinary

Swap

Reducing a short position

262

GBP 8.25

10p ordinary

Swap

Reducing a short position

31

GBP 8.27

 

(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"

 

 

 

 

(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"

 

 

 

 

(c) Attachments

 

Is a Supplemental Form 8 (Open Positions) attached?

YES

 

 

Date of disclosure:

February 19, 2020

Contact name:

Kevin Krist (Compliance Department)

Telephone number*:

+44 (0) 20 7409 4420

 

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

 

Full name of person making disclosure:

D. E. Shaw & Co., L.P.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

NMC Health plc

 

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

 

Class of relevant security

Product description e.g. call option

Written or purchased

Number of securities to which option or derivative relates

Exercise price per unit

Type

e.g. American, European etc.

Expiry date

10p ordinary

OTC Call Options

Purchased

175,000

USD 64.40

European

20210409

10p ordinary

OTC Call Options

Purchased

175,000

USD 64.40

European

20210416

10p ordinary

OTC Call Options

Purchased

175,000

USD 64.40

European

20210423

10p ordinary

OTC Call Options

Purchased

175,000

USD 64.40

European

20210430

10p ordinary

OTC Call Options

Written

110,250

USD 49.08

European

20210409

10p ordinary

OTC Call Options

Written

110,250

USD 49.08

European

20210416

10p ordinary

OTC Call Options

Written

110,250

USD 49.08

European

20210423

10p ordinary

OTC Call Options

Written

110,250

USD 49.08

European

20210430

10p ordinary

OTC Put Options

Purchased

110,250

USD 49.08

European

20210409

10p ordinary

OTC Put Options

Purchased

110,250

USD 49.08

European

20210416

10p ordinary

OTC Put Options

Purchased

110,250

USD 49.08

European

20210423

10p ordinary

OTC Put Options

Purchased

110,250

USD 49.08

European

20210430

10p ordinary

OTC Put Options

Written

175,000

USD 41.40

European

20210409

10p ordinary

OTC Put Options

Written

175,000

USD 41.40

European

20210416

10p ordinary

OTC Put Options

Written

175,000

USD 41.40

European

20210423

10p ordinary

OTC Put Options

Written

175,000

USD 41.40

European

20210430

 

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.

 

 

 

 

 

 

 

This information is provided by RNS, the news service of the London Stock Exchange. RNS is approved by the Financial Conduct Authority to act as a Primary Information Provider in the United Kingdom. Terms and conditions relating to the use and distribution of this information may apply. For further information, please contact rns@lseg.com or visit www.rns.com.
 
END
 
 
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