BARCLAYS PLC UK Regulatory Announcement: FORM 38.5(b) – OSMOTICA PHARMACEUTICALS PLC
LONDON–(BUSINESS WIRE)–
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FORM 38.5(b)
IRISH TAKEOVER PANEL
DISCLOSURE UNDER RULE 38.5(b) OF THE IRISH TAKEOVER PANEL ACT, 1997, TAKEOVER RULES, 2013
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS WITHOUT RECOGNISED INTERMEDIARY STATUS, OR WITH RECOGNISED INTERMEDIARY STATUS BUT NOT DEALING IN A CLIENT-SERVING CAPACITY
1. KEY INFORMATION
| Name of exempt principal trader: | BARCLAYS CAPITAL INC |
| Company dealt in | OSMOTICA PHARMACEUTICALS PLC |
| Class of relevant security to which the | US$0.01 ordinary shares |
| dealings being disclosed relate | |
| Date of dealing | 16 March 2021 |
2. INTERESTS AND SHORT POSITIONS
a. Interests and short positions (following dealing) in the class of relevant security dealt in (Note 2)
| Class of relevant security: | ORD | ||||
| Interests | Short Positions | ||||
| Number | (%) | Number | (%) | ||
| (1) | Relevant securities owned |
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| 320 | 0.00% | 0 | 0.00% | ||
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| (2) | Derivatives (other than options): |
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| 0 | 0.00% | 0 | 0.00% | ||
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| (3) | Options and agreements to |
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| purchase/sell: | 0 | 0.00% | 0 | 0.00% | |
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| TOTAL: | 320 | 0.00% | 0 | 0.00% | |
b. Interests and short positions in relevant securities of the company, other than the class dealt in (Note 2)
| Class of relevant security: | Long | Short | ||||
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| (1) Relevant securities |
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| (2) Derivatives (other than options) |
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| (3) Options and agreements to purchase/sell |
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| Total |
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3. DEALINGS (Note 3)
a. Purchases and sales
| Purchase/sale | Number of | Price per unit |
| securities |
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| Purchase | 200 | 3.5350 USD |
| Purchase | 300 | 3.5766 USD |
| Purchase | 300 | 3.5800 USD |
| Purchase | 500 | 3.5790 USD |
| Purchase | 1,200 | 3.5716 USD |
| Sale | 2,500 | 3.5718 USD |
b. Derivatives transactions (other than options transactions)
| Product name, e.g. CFD | Nature of transaction (Note 5) | Number of relevant securities (Note 6) | Price per unit (Note 4) |
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c. Options transactions in respect of existing relevant securities
i. Writing, selling, purchasing or varying
| Product name, e.g. call option | Writing, selling, purchasing, varying etc. | Number of securities to which the option relates (Note 7) | Exercise price | Type, e.g. American, European etc. | Expiry date | Option money paid/received per unit (Note 4) |
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ii. Exercising
| Product name, e.g. call option | Number of securities | Exercise price per unit (Note 4) |
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d. Other dealings (including transactions in respect of new securities) (Note 3)
| Nature of transaction (Note 7) | Details | Price per unit (if applicable) (Note 4) |
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4. OTHER INFORMATION
Agreements, arrangements or understandings relating to options or derivatives
Full details of any agreement, arrangement or understanding between the person disclosing and any other person relating to the voting rights of any relevant securities under any option referred to on this form or relating to the voting rights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form is referenced. If none, this should be stated.
None
| Is a Supplemental Form 38.5(b) attached? | NO |
| Date of disclosure: | 17 Mar 2021 |
| Contact name: | Large Holdings Regulatory Operations |
| Telephone number: | 020 3134 7213 |
| Name of offeree/offeror with which connected |
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| Nature of connection |
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Contacts
BARCLAYS PLC
