Barclays PLC Form 8.5 (EPT/NON-RI) Clinigen Group plc (4823F)
March 21 2022 - 10:37AM
UK Regulatory
TIDMBARC TIDMCLIN
RNS Number : 4823F
Barclays PLC
21 March 2022
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 BARCLAYS CAPITAL SECURITIES LTD
trader:
-----------------------------------------------------
(b) Name of offeror/offeree in CLINIGEN GROUP PLC
relation to whose
-----------------------------------------
relevant securities this
form relates:
------- ----------------------------------------------------- -------------------------------------
(c) Name of the party to the Triley Bidco Limited (a newly-formed
offer with which exempt company indirectly owned by Triton
Funds)
-----------------------------------------
principal trader is connected
------- --------------------------------------------------- -------------------------------------
(d) Date position held/dealing 18 March 2022
undertaken:
------- ----------------------------------------------------- -----------------------------------------
(e) In addition to the company NO
in 1(b) above, is the exempt
principal
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
-------------------- ------------------
Interests Short Positions
-------------------- ------------------
Number (%) Number (%)
------------------------------------------------- ---------- -------- --------- -------
(1) Relevant securities owned
and/or controlled: 1,108,984 0.83% 117,690 0.09%
(2) Cash-settled derivatives:
22,913 0.02% 629,927 0.47%
(3) Stock-settled derivatives
(including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 1,131,897 0.85% 747,617 0.56%
(b) Rights to subscribe for new securities (including
directors and other executive
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 EXEMPT PRINCIPAL
TRADER
(a) Purchases
and sales
------------------ ---------------- -------------- -------------- --------------
Class of relevant Purchase/sale Total number Highest price Lowest price
of per unit per unit
security securities paid/received paid/received
------------------ -------------- -------------- -------------- --------------
0.1p ordinary Purchase 102,679 9.2170 GBP 9.2026 GBP
---------------- ---------------- -------------- --------------
0.1p ordinary Sale 25,391 9.2156 GBP 9.1997 GBP
---------------- ---------------- -------------- --------------
(b) Cash-settled derivative transactions
-------------- ------------------------------------------- ----------- -----------
Class of Product Nature of dealing Number Price per
of
relevant description reference unit
security securities
-------------- --------------- ---------------------- ----------- -----------
0.1p ordinary SWAP Decreasing Short 44 9.2156 GBP
----------------- ------------------------ ----------- -----------
0.1p ordinary SWAP Decreasing Short 104 9.2075 GBP
----------------- ------------------------ ----------- -----------
0.1p ordinary SWAP Decreasing Short 352 9.2123 GBP
----------------- ------------------------ ----------- -----------
0.1p ordinary SWAP Decreasing Short 1,209 9.2078 GBP
----------------- ------------------------ ----------- -----------
0.1p ordinary SWAP Decreasing Short 2,891 9.2124 GBP
----------------- ------------------------ ----------- -----------
0.1p ordinary SWAP Decreasing Short 7,600 9.1997 GBP
----------------- ------------------------ ----------- -----------
0.1p ordinary SWAP Increasing Short 229 9.2150 GBP
----------------- ------------------------ ----------- -----------
0.1p ordinary CFD Increasing Short 6,756 9.2151 GBP
----------------- ------------------------ ----------- -----------
0.1p ordinary CFD Increasing Short 7,845 9.2170 GBP
----------------- ------------------------ ----------- -----------
0.1p ordinary SWAP Increasing Short 18,551 9.2190 GBP
----------------- ------------------------ ----------- -----------
0.1p ordinary SWAP Increasing Short 25,463 9.2096 GBP
----------------- ------------------------ ----------- -----------
0.1p ordinary SWAP Increasing Short 32,657 9.2102 GBP
----------------- ------------------------ ----------- -----------
(c) Stock-settled derivative transactions (including
options)
(i) Writing, selling, purchasing or
varying
Class Product Writing, Number Exercise Type Expiry Option
of description purchasing, of price date money
relevant selling, securities per unit paid/
security varying to received
etc which
option per unit
relates
------------- -------------- ------------ -------------- ----- ------------ -----------
(ii) Exercising
Class of relevant Product description Exercising/ Number Exercise
exercised against of price per
security securities unit
-------------- ------------- -------------- ------------ ------------ -----------
(d) Other dealings (including subscribing for new
securities)
Class Nature Details Price
of relevant of Dealings per unit
(if
security applicable)
-------------- ------------- -------------- ------------ ------------ -----------
4. OTHER INFORMATION
(a) Indemnity and other dealings 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:
-------------------------------------------------------------------------------------------------------------
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 of future acquisition or disposal of
any relevant securities to which
any derivative is referenced:
----------------------------------------------------------- -------------- ----- ------------ -----------
NONE
-------------------------------------------------------------------------------------------------------------
(c) Attachments
Is a Supplemental Form 8 (Open NO
Positions) attached?
------------------------------------------------
Date of disclosure: 21 Mar 2022
Contact name: Large Holdings Regulatory Operations
Telephone number: 020 3134 7213
--------------------- ------------ -----------
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