11 Mar 2022 10:18
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: | Â | 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: | 10 March 2022 | |||||
(e) | In addition to the company in 1(b) above, is the exempt principal | NO | Â | Â | |||
 | 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 | Â | Â | ||||
 | Interests | Short Positions | |||||
 | Number | (%) | Number | (%) | |||
(1) | Relevant securities owned | Â | Â | Â | Â | ||
 | and/or controlled: | 1,064,791 | 0.80% | 251,018 | 0.19% | ||
 |  |  |  |  |  |  | |
(2) | Cash-settled derivatives: | Â | Â | Â | Â | ||
 |  |  | 104,563 | 0.08% | 406,193 | 0.30% | |
 |  |  |  |  |  |  | |
(3) | Stock-settled derivatives (including options) | Â | Â | Â | Â | ||
 | and agreements to purchase/sell: | 0 | 0.00% | 0 | 0.00% | ||
 |  |  |  |  |  |  | |
 |  |  |  |  |  |  | |
 | TOTAL: |  | 1,169,354 | 0.88% | 657,211 | 0.49% | |
 |  |  |  |  |  |  | |
(b) | Rights to subscribe for new securities (including directors and other executive | ||||||
 | options) |  |  |  |  |  |  |
Class of relevant security in relation to | Â | ||||||
which subscription right exists | Â | ||||||
Details, including nature of the rights | Â | ||||||
concerned and relevant percentages: | |||||||
3. | DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER | ||||||
(a) | Purchases and sales | Â | Â | Â | Â | Â | |
Class of relevant | Â | Purchase/sale | Â | Total number of | Â | Highest price per unit | Lowest price per unit |
security | Â | Â | Â | securities | Â | paid/received | paid/received |
0.1p ordinary | Purchase | 11,839 | 9.2075 GBP | 9.2 GBP | |||
0.1p ordinary | Sale | 58,608 | 9.2092 GBP | 9.2021 GBP | |||
 |  |  |  |  |  |  |  |
(b) | Cash-settled derivative transactions | Â | Â | Â | |||
Class of | Â | Product | Â | Nature of dealing | Â | Number of | Price per |
relevant | Â | description | Â | Â | Â | reference | unit |
security | Â | Â | Â | Â | Â | securities | Â |
0.1p ordinary | Â SWAP | Increasing Long | 1,861 | 9.2005 GBP | |||
0.1p ordinary | Â SWAP | Increasing Long | 2,473 | 9.2052 GBP | |||
0.1p ordinary | Â SWAP | Increasing Long | 6,704 | 9.2074 GBP | |||
0.1p ordinary | Â SWAP | Increasing Long | 15,788 | 9.2043 GBP | |||
0.1p ordinary | Â SWAP | Increasing Long | 21,033 | 9.2008 GBP | |||
0.1p ordinary | Â CFD | Increasing Short | 66 | 9.2012 GBP | |||
 |  |  |  |  |  |  |  |
(c) | Stock-settled derivative transactions (including options) | Â | Â | ||||
(i) | Writing, selling, purchasing or varying | Â | Â | Â | |||
Class | Product | Writing, | Number | Exercise | Type | Expiry | Option |
of | description | purchasing, | of | price | Â | date | money |
relevant | Â | selling, | securities | per unit | Â | Â | paid/ |
security | Â | varying etc | to which | Â | Â | Â | received |
 |  |  | option |  |  |  | per unit |
 |  |  | relates |  |  |  |  |
 |  |  |  |  |  |  |  |
 |  |  |  |  |  |  |  |
(ii) | Exercising | Â | Â | Â | Â | Â | Â |
Class of relevant | Product description | Exercising/ exercised against | Number of | Exercise price per | |||
security | Â | Â | Â | securities | unit | ||
 |  |  |  |  | |||
 |  |  |  |  |  |  |  |
(d) | Other dealings (including subscribing for new securities) | Â | Â | ||||
Class of relevant | Â | Nature of Dealings | Â | Details | Price per unit (if | Â | |
security | Â | Â | Â | applicable) | Â | ||
 |  |  |  | ||||
4. | OTHER INFORMATION | ||||||
(a) | Indemnity and other dealings arrangements | Â | Â | Â | |||
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: | Â | Â | |||||
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: | Â | ||||||
(i) the voting rights of any relevant securities under any option; or | Â | Â | |||||
(ii) the voting rights of future acquisition or disposal of any relevant securities to which | |||||||
any derivative is referenced: | Â | Â | Â | Â | Â | ||
NONE | |||||||
(c) | Attachments | Â | Â | Â | Â | Â | |
Is a Supplemental Form 8 (Open Positions) attached? | NO | ||||||
Date of disclosure: | 11 Mar 2022 |  |  |  | |||
Contact name: | Large Holdings Regulatory Operations | ||||||
Telephone number: | 020 3134 7213 | Â | Â |
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