JPMorgan Securities Plc Form 8.5 (EPT/RI)- Clinigen Group plc (8376Y)
January 18 2022 - 5:14AM
UK Regulatory
TIDMCLIN
RNS Number : 8376Y
JPMorgan Securities Plc
18 January 2022
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 Clinigen Group plc
securities this form relates:
Use a separate form for each offeror/offeree
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(c) Name of the party to the offer with which exempt principal financial adviser to Triton Investment Management
trader is connected:
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(d) Date dealing undertaken: 17 January 2022
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(e) In addition to the company in 1(b) above, is the exempt N/A
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"
--------------------------------------------------
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 Purchases/ sales Total number of Highest price per unit Lowest price per unit
security securities paid/received paid/received
0.1p ordinary Purchase 727,352 9.0023 GBP 8.8200 GBP
Sale 646,261 9.0300 GBP 8.7956 GBP
----------------- ------------------------ ----------------------- -----------------------
(b) Cash-settled derivative transactions
Class of relevant Product description Nature of dealing Number of reference Price per unit
security e.g. CFD e.g. opening/closing a securities
long/short position,
increasing/reducing a
long/short position
0.1p ordinary Equity Swap Decrease Long 4,230 8.9188 GBP
42 8.9670 GBP
5,226 8.9671 GBP
4,996 8.9697 GBP
15,166 8.9702 GBP
Decrease Short 20,880 8.7956 GBP
20,000 8.8682 GBP
200 8.8851 GBP
407 8.9639 GBP
242,127 8.9741 GBP
186,425 8.9955 GBP
114 8.9989 GBP
Increase Long 97 8.9652 GBP
7,748 8.9654 GBP
210 8.9775 GBP
Increase Short 50,000 8.9495 GBP
159 8.9511 GBP
225,000 8.9545 GBP
1,035 8.9575 GBP
250,000 8.9645 GBP
13 8.9647 GBP
41 8.9650 GBP
500 8.9701 GBP
Opening a Long Position 622 8.9200 GBP
222 8.9550 GBP
1,637 8.9663 GBP
994 8.9796 GBP
19,436 8.9800 GBP
4,802 8.9886 GBP
Opening a Short Position 2,058 8.9545 GBP
553 8.9604 GBP
3,682 8.9683 GBP
10,880 8.9685 GBP
10,540 8.9800 GBP
-------------------- ------------------------- ------------------------- ---------------
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of Product Writing, Number of Exercise Type Expiry date Option money
relevant description purchasing, securities price per e.g. paid/
security e.g. call selling, to which unit American, received per
option varying etc. option European unit
relates etc.
(ii) Exercise
Class of relevant Product description Exercising/ exercised Number of securities Exercise price per
security e.g. call option against unit
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
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: 18 January 2022
Contact name: Alwyn Basch
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Telephone number: 020 7742 7407
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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 dealing disclosure
requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at
www.thetakeoverpanel.org.uk .
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