9th Dec 2021 11:17
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: | 8 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 | 2,544,669
2,755,567 | 9.1073 GBP
9.1000 GBP | 8.9044 GBP
8.1750 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
| 16,433 49,297 2 582 298 4,205 1,739 31,857 16,433 16,433 6,121 228 483 40,261 2,546 3,019
43,084 2,606 15,000 206,000 417 4,000 4,000 15,850 17,791 2,710 25,000 180 3,427 84 2,274 108,550 6,659 2,455 7,274 25,000 25,000 29,412 3,984 130,801
3,372 24 2,546 16,320 1 77,327
1 6,812 6,119 85,072 42,000 45,000 9,587 1 2,512 2,710 3,329 11,239 2,560 471 4,202 27,552 1,000 60,787
4,323 9,811
5,230 18,829 26,151 14,134 166,578 10,460 10,460 | 8.9545 GBP 8.9645 GBP 8.9854 GBP 8.9973 GBP 9.0002 GBP 9.0080 GBP 9.0215 GBP 9.0419 GBP 9.0598 GBP 9.0645 GBP 9.0684 GBP 9.0713 GBP 9.0817 GBP 9.0952 GBP 9.1001 GBP 9.1008 GBP
9.0001 GBP 9.0015 GBP 9.0089 GBP 9.0115 GBP 9.0232 GBP 9.0279 GBP 9.0281 GBP 9.0320 GBP 9.0400 GBP 9.0495 GBP 9.0502 GBP 9.0512 GBP 9.0520 GBP 9.0525 GBP 9.0551 GBP 9.0582 GBP 9.0628 GBP 9.0648 GBP 9.0673 GBP 9.0791 GBP 9.0852 GBP 9.0974 GBP 9.0996 GBP 9.1000 GBP
8.9999 GBP 9.0150 GBP 9.0499 GBP 9.0500 GBP 9.0600 GBP 9.1000 GBP
8.9609 GBP 8.9735 GBP 9.0118 GBP 9.0121 GBP 9.0172 GBP 9.0173 GBP 9.0268 GBP 9.0309 GBP 9.0394 GBP 9.0455 GBP 9.0461 GBP 9.0496 GBP 9.0549 GBP 9.0553 GBP 9.0575 GBP 9.0634 GBP 9.0700 GBP 9.1001 GBP
8.1750 GBP 9.0248 GBP
8.9045 GBP 9.0103 GBP 9.0165 GBP 9.0196 GBP 9.0403 GBP 9.0591 GBP 9.0895 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: | 9 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