Barclays PLC Form 8.5 (EPT/NON-RI) Clinigen Group plc (6386F)
March 22 2022 - 9:06AM
UK Regulatory
TIDMBARC TIDMCLIN
RNS Number : 6386F
Barclays PLC
22 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 offer Triley Bidco Limited (a newly-formed
with which exempt company indirectly owned by Triton
Funds)
-----------------------------------------
principal trader is connected
---- ------------------------------- -------------------------------------
(d) Date position held/dealing 21 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: 1,118,301 0.84% 101,567 0.08%
(2) Cash-settled derivatives:
22,284 0.02% 655,134 0.49%
(3) Stock-settled derivatives
(including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 1,140,585 0.86% 756,701 0.57%
(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 42,235 9.2172 GBP 9.2125 GBP
---------------- ---------------- -------------- --------------
0.1p ordinary Sale 16,795 9.2154 GBP 9.2093 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 Long 15,936 9.2150 GBP
-------------- -------------------- ----------- -----------
0.1p ordinary SWAP Decreasing Short 25 9.2110 GBP
-------------- -------------------- ----------- -----------
0.1p ordinary SWAP Decreasing Short 25 9.2122 GBP
-------------- -------------------- ----------- -----------
0.1p ordinary SWAP Decreasing Short 36 9.2121 GBP
-------------- -------------------- ----------- -----------
0.1p ordinary SWAP Decreasing Short 40 9.2108 GBP
-------------- -------------------- ----------- -----------
0.1p ordinary SWAP Decreasing Short 47 9.2124 GBP
-------------- -------------------- ----------- -----------
0.1p ordinary SWAP Decreasing Short 319 9.2112 GBP
-------------- -------------------- ----------- -----------
0.1p ordinary SWAP Decreasing Short 340 9.2125 GBP
-------------- -------------------- ----------- -----------
0.1p ordinary SWAP Decreasing Short 989 9.2140 GBP
-------------- -------------------- ----------- -----------
0.1p ordinary SWAP Decreasing Short 1,645 9.2147 GBP
-------------- -------------------- ----------- -----------
0.1p ordinary SWAP Decreasing Short 12,007 9.2093 GBP
-------------- -------------------- ----------- -----------
0.1p ordinary SWAP Increasing Short 627 9.2100 GBP
-------------- -------------------- ----------- -----------
0.1p ordinary CFD Increasing Short 5,150 9.2157 GBP
-------------- -------------------- ----------- -----------
0.1p ordinary CFD Increasing Short 10,300 9.2172 GBP
-------------- -------------------- ----------- -----------
0.1p ordinary SWAP Increasing Short 10,550 9.2142 GBP
-------------- -------------------- ----------- -----------
0.1p ordinary SWAP Increasing Short 15,936 9.2150 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/ exercised Number Exercise
against of price per
security securities unit
----------- ------------- ------------- ------------ ------------ -----------
(d) Other dealings (including subscribing for new securities)
Class of Nature of Details Price per
relevant Dealings 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 Positions) NO
attached?
---------------------------------------------------
Date of disclosure: 22 Mar 2022
Contact name: Large Holdings Regulatory Operations
Telephone number: 020 3134 7213
------------------------ ------------ -----------
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