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Barclays Capital Securities Ltd, an exempt principal trader connected to Triley Bidco Limited, disclosed its positions and dealings in Clinigen Group PLC's 0.1p ordinary shares as of 31 March 2022. The disclosure showed total interests of 1,858,326 shares (1.39%) and total short positions of 1,851,167 shares (1.39%) in Clinigen Group PLC. On 31 March 2022, the entity purchased 19,875 shares, sold 69,547 shares, and engaged in cash-settled derivative transactions involving 59,286 reference securities.
| Date | 1 Apr 2022 |
| Time | 10:59:00 |
| Category | Holding(s) in company |
| ID | 9617G |
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FORM 8.5 (EPT/NON-RI) |
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PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN |
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EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS |
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(OR WHERE RI STATUS IS NOT APPLICABLE) |
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Rule 8.5 of the Takeover Code (the "Code") |
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1. |
KEY INFORMATION |
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(a) |
Name of exempt principal trader: |
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BARCLAYS CAPITAL SECURITIES LTD |
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(b) |
Name of offeror/offeree in relation to whose |
CLINIGEN GROUP PLC |
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relevant securities this form relates: |
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(c) |
Name of the party to the offer with which exempt |
Triley Bidco Limited (a newly-formed company indirectly owned by Triton Funds) |
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principal trader is connected |
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(d) |
Date position held/dealing undertaken: |
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31 March 2022 |
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(e) |
In addition to the company in 1(b) above, is the exempt principal |
NO |
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trader making disclosures in respect of any other party to the offer? |
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2. |
POSITIONS OF THE EXEMPT PRINCIPAL TRADER |
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(a) |
Interests and short positions in the relevant securities of the offeror or offeree |
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to which the disclosure relates following the dealing (if any) |
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Class of relevant security: |
0.1p ordinary |
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Interests |
Short Positions |
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Number |
(%) |
Number |
(%) |
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(1) |
Relevant securities owned |
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and/or controlled: |
1,316,994 |
0.99% |
541,332 |
0.41% |
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(2) |
Cash-settled derivatives: |
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541,332 |
0.41% |
1,309,835 |
0.98% |
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(3) |
Stock-settled derivatives (including options) |
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and agreements to purchase/sell: |
0 |
0.00% |
0 |
0.00% |
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TOTAL: |
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1,858,326 |
1.39% |
1,851,167 |
1.39% |
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(b) |
Rights to subscribe for new securities (including directors and other executive |
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options) |
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Class of relevant security in relation to |
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which subscription right exists |
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Details, including nature of the rights |
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concerned and relevant percentages: |
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3. |
DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER |
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(a) |
Purchases and sales |
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Class of relevant |
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Purchase/sale |
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Total number of |
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Highest price per unit |
Lowest price per unit |
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security |
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securities |
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paid/received |
paid/received |
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0.1p ordinary |
Purchase |
19,875 |
9.2395 GBP |
9.215 GBP |
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0.1p ordinary |
Sale |
69,547 |
9.2450 GBP |
9.2214 GBP |
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(b) |
Cash-settled derivative transactions |
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Class of |
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Product |
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Nature of dealing |
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Number of |
Price per |
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relevant |
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description |
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reference |
unit |
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security |
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securities |
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0.1p ordinary |
SWAP |
Decreasing Short |
430 |
9.2400 GBP |
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0.1p ordinary |
SWAP |
Decreasing Short |
4,572 |
9.2200 GBP |
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0.1p ordinary |
SWAP |
Decreasing Short |
12,535 |
9.2400 GBP |
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0.1p ordinary |
SWAP |
Decreasing Short |
17,134 |
9.2364 GBP |
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0.1p ordinary |
SWAP |
Decreasing Short |
25,005 |
9.2390 GBP |
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(c) |
Stock-settled derivative transactions (including options) |
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(i) |
Writing, selling, purchasing or varying |
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Class |
Product |
Writing, |
Number |
Exercise |
Type |
Expiry |
Option |
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of |
description |
purchasing, |
of |
price |
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date |
money |
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relevant |
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selling, |
securities |
per unit |
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paid/ |
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security |
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varying etc |
to which |
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received |
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option |
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per unit |
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relates |
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(ii) |
Exercising |
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Class of relevant |
Product description |
Exercising/ exercised against |
Number of |
Exercise price per |
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security |
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securities |
unit |
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(d) |
Other dealings (including subscribing for new securities) |
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Class of relevant |
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Nature of Dealings |
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Details |
Price per unit (if |
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security |
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applicable) |
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4. |
OTHER INFORMATION |
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(a) |
Indemnity and other dealings arrangements |
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Details of any indemnity or option arrangement, or any agreement or understanding, |
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formal or informal, relating to relevant securities which may be an inducement to deal |
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or refrain from dealing entered into by the exempt principal trader making the disclosure and any party |
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to the offer or any person acting in concert with a party to the offer: |
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NONE |
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(b) |
Agreements, arrangements or understandings relating to options or derivatives |
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Details of any agreement, arrangement or understanding, formal or informal, between |
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the exempt principal trader making the disclosure and any other person relating to: |
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(i) the voting rights of any relevant securities under any option; or |
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(ii) the voting rights of future acquisition or disposal of any relevant securities to which |
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any derivative is referenced: |
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NONE |
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(c) |
Attachments |
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Is a Supplemental Form 8 (Open Positions) attached? |
NO |
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Date of disclosure: |
1 Apr 2022 |
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Contact name: |
Large Holdings Regulatory Operations |
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Telephone number: |
020 3134 7213 |
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