15th Dec 2021 16:27
AMENDMENT
FORM 8.5 (EPT/RI)
PUBLIC DEALING DISCLOSURE BY AN EXEMPT PRINCIPAL TRADER WITH RECOGNISED INTERMEDIARY STATUS DEALING IN A CLIENT-SERVING CAPACITY
Rule 8.5 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Name of exempt principal trader: | J.P. Morgan Securities Plc |
(b) Name of offeror/offeree in relation to whose relevant securities this form relates: Use a separate form for each offeror/offeree | Clinigen Group plc |
(c) Name of the party to the offer with which exempt principal trader is connected: | financial adviser to Triton Investment Management |
(d) Date dealing undertaken: | 9 December 2021 |
(e) In addition to the company in 1(b) above, is the exempt principal trader making disclosures in respect of any other party to this offer? If it is a cash offer or possible cash offer, state "N/A" | N/A |
2. DEALINGS 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 2(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 | Purchases/ sales
| Total number of securities | Highest price per unit paid/received | Lowest price per unit paid/received |
0.1p ordinary | Purchase
Sale | 620,978
167,870 | 9.3550 GBP
9.3400 GBP | 9.0558 GBP
9.0691 GBP |
(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 |
0.1p ordinary | Equity Swap | Decrease Long
Decrease Short
Increase Long
Increase Short
Opening a long position
Opening a short position
| 34 4,533 9,160 22,118 1,105 15,067 17,087 23,595 8,185 2,945 8,959
790 1,620 100 5,000 5,000 2,927 1,952 7,357 3,176 1,444 3,632 6,400 17 230 8,889 20,000 2,071 1,410 10,518 1,132 7,698 9,464 63
4,270 2,053 162 13,622
81 99 4,726 6,519 240 5,217 5,540 90,620 20,358 5,217 12,295 77,561
10,000
2,932 89,900 | 9.0707 GBP 9.1373 GBP 9.1764 GBP 9.1771 GBP 9.2225 GBP 9.2314 GBP 9.2376 GBP 9.2592 GBP 9.2652 GBP 9.2994 GBP 9.3000 GBP
9.1472 GBP 9.1479 GBP 9.1550 GBP 9.1585 GBP 9.1588 GBP 9.1598 GBP 9.2006 GBP 9.2023 GBP 9.2122 GBP 9.2345 GBP 9.2354 GBP 9.2399 GBP 9.2400 GBP 9.2510 GBP 9.2576 GBP 9.2677 GBP 9.2687 GBP 9.2707 GBP 9.2778 GBP 9.2790 GBP 9.2972 GBP 9.2995 GBP 9.3000 GBP
9.1296 GBP 9.2748 GBP 9.2763 GBP 9.3000 GBP
9.0701 GBP 9.1251 GBP 9.1792 GBP 9.1886 GBP 9.2608 GBP 9.2846 GBP 9.2872 GBP 9.3000 GBP 9.3019 GBP 9.3047 GBP 9.3052 GBP 9.2655 GBP
9.3398 GBP
9.2452 GBP 9.3370 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) |
|
3. 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
|
| Date of disclosure: | 15 December 2021 |
| Contact name: | Alwyn Basch |
| Telephone number: | 020 7742 7407 |
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 dealing disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.
Related Shares:
CLIN.L