Form 8.3 - Axa Investment Managers: Clinigen Group Plc
April 04 2022 - 6:46AM
UK Regulatory
TIDMCLIN
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1%
OR MORE
Rule 8.3 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Full name of discloser: AXA Investment Managers
S.A.
--------------------------------------------- -----------------------
(b) Owner or controller of interests
and short positions disclosed, if
different from 1(a):
The naming of nominee or vehicle companies
is insufficient. For a trust, the
trustee(s), settlor and beneficiaries
must be named.
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(c) Name of offeror/offeree in relation
to whose relevant securities this Clinigen Group plc
form relates:
Use a separate form for each offeror/offeree
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(d) If an exempt fund manager connected
with an offeror/offeree, state this
and specify identity of offeror/offeree:
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(e) Date position held/dealing undertaken: 01 April 2022
For an opening position disclosure,
state the latest practicable date
prior to the disclosure
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(f) In addition to the company in
1(c) above, is the discloser making N/A
disclosures in respect of any other
party to the offer?
If it is a cash offer or possible
cash offer, state "N/A"
--------------------------------------------- -----------------------
2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
If there are positions or rights to subscribe to disclose in
more than one class of relevant securities of the offeror or
offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for
each additional class of relevant security.
(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
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Interests Short positions
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Number % Number %
------------------------------ ------- ---- ------------ ---
(1) Relevant securities
owned and/or controlled: 866,982 0.65
------------------------------ ------- ---- ------------ ---
(2) Cash-settled derivatives:
------------------------------ ------- ---- ------------ ---
(3) Stock-settled derivatives
(including options) and
agreements to purchase/sell:
------------------------------ ------- ---- ------------ ---
TOTAL: 866,982 0.65
------------------------------ ------- ---- ------------ ---
All interests and all short positions should be disclosed.
Details of any open stock-settled derivative positions
(including traded options), or agreements to purchase or sell
relevant securities, should be given on a Supplemental Form 8 (Open
Positions).
(b) Rights to subscribe for new securities (including directors' and other employee 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 PERSON MAKING THE DISCLOSURE
Where there have been dealings in more than one class of
relevant securities of the offeror or offeree named in 1(c), copy
table 3(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 Purchase/sale Number of securities Price per unit
security
----------------- ------------- -------------------- --------------
0.1p ordinary Sale 474,990 GBP 9.25
----------------- ------------- -------------------- --------------
(b) Cash-settled derivative transactions
Class of relevant Product description Nature of dealing Number of Price per
security e.g. CFD e.g. opening/closing reference unit
a long/short position, securities
increasing/reducing
a long/short position
----------------- ------------------- ----------------------- ----------- ---------
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class Product Writing, Number Exercise Type Expiry Option
of relevant description purchasing, of securities price e.g. American, date money
security e.g. call selling, to which per unit European paid/
option varying etc. option etc. received
relates per unit
------------ ------------ ------------- -------------- --------- --------------- ------ ---------
(ii) Exercise
Class of relevant Product description Exercising/ Number of Exercise price
security e.g. call option exercised against securities per unit
----------------- ------------------- ------------------ ---------- --------------
(d) Other dealings (including subscribing for new securities)
Class of relevant Nature of dealing Details Price per unit
security e.g. subscription, (if applicable)
conversion
----------------- ------------------- ------- ----------------
4. 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 person 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"
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None
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(b) Agreements, arrangements or understandings relating to options or derivatives
Details of any agreement, arrangement or understanding,
formal or informal, between the person 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"
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None
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(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? NO
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Date of disclosure: 04 April 2022
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Contact name: Anthony Gilsoul
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Telephone number*: +33 1 44 45 97 54
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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 disclosure requirements on
+44 (0)20 7638 0129.
*If the discloser is a natural person, a telephone number does
not need to be included, provided contact information has been
provided to the Panel's Market Surveillance Unit.
The Code can be viewed on the Panel's website at
https://www.globenewswire.com/Tracker?data=WYFVBok0dQ9yFsChWOTwTh5efmCXFsmm7CL6LOGTQeybWJKDkqZlf_tXLIziQoWDuBVwdqb__KTtVs4ZnPy1x4LSWXbPazILTNxFNJ1jjvBN4oDk5hkIFEtpt_ceucJI
www.thetakeoverpanel.org.uk.
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April 04, 2022 06:46 ET (10:46 GMT)
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