3rd Dec 2021 11:32
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: | 2 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 | 1,588,946
974,896 | 7.9191 GBP
7.8705 GBP | 6.1700 GBP
6.1922 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
| 3,121 15,146 31,463 71 772 9,173 43,975 4,351 11,134 9,584 2,397 3,405 39,141 58,002 29,001 125 21,744 3,655 52 55,440 26,322 9,295 91,567 38
1,933 1,471 2,155 1,903 9,975 2,069 8,249 819 14,098 1,538 2,727 2,249 507 4,250 127,250 8,360 387 48,386
469 4,364 2,612 956 1,046 12,517 34 37,555 34,737 11,179 2,200 5,065 48,866
6,568 14,590 43 1,326 22,000 7,192 2,618 750 154 874 1,598 300 1,885 3,142 70,000 15,979 63,939 191 565 200,000 836 1,917 8,360 5,098 468 66,650 19,970 1 22,027 4,927 48,941
15,000 50,000
15,000 1,967 | 6.1990 GBP 6.8786 GBP 6.9306 GBP 7.0456 GBP 7.0881 GBP 7.1328 GBP 7.1436 GBP 7.1825 GBP 7.1832 GBP 7.3314 GBP 7.3506 GBP 7.3677 GBP 7.3993 GBP 7.4116 GBP 7.4544 GBP 7.4556 GBP 7.4844 GBP 7.4935 GBP 7.5001 GBP 7.5232 GBP 7.5969 GBP 7.6024 GBP 7.6183 GBP 7.7556 GBP
6.1873 GBP 6.1993 GBP 6.2167 GBP 6.2184 GBP 6.2570 GBP 6.2758 GBP 6.3714 GBP 6.6103 GBP 7.0510 GBP 7.1132 GBP 7.1709 GBP 7.1713 GBP 7.2275 GBP 7.3389 GBP 7.4324 GBP 7.7411 GBP 7.7842 GBP 7.7850 GBP
6.2049 GBP 6.2231 GBP 6.2247 GBP 6.2383 GBP 6.2398 GBP 6.6784 GBP 6.7238 GBP 7.1490 GBP 7.2766 GBP 7.3343 GBP 7.7232 GBP 7.7591 GBP 7.7850 GBP
6.2073 GBP 6.2093 GBP 6.2187 GBP 6.2636 GBP 6.3442 GBP 6.4566 GBP 6.4817 GBP 6.5102 GBP 6.5702 GBP 6.6199 GBP 6.7780 GBP 7.1055 GBP 7.2055 GBP 7.3361 GBP 7.3734 GBP 7.3760 GBP 7.4127 GBP 7.4451 GBP 7.4965 GBP 7.5038 GBP 7.5050 GBP 7.5054 GBP 7.5940 GBP 7.6236 GBP 7.6954 GBP 7.7715 GBP 7.7850 GBP 7.7852 GBP 7.7854 GBP 7.7953 GBP 7.8054 GBP
6.6529 GBP 6.6598 GBP
6.4372 GBP 7.7874 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: | 3 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