HBK Investments LP Form 8.3 - Allergan Plc

 
TIDMIRSH 
 
FORM 8.3 
 
                             IRISH TAKEOVER PANEL 
 
   DISCLOSURE UNDER RULE 8.3 OF THE IRISH TAKEOVER PANEL ACT, 1997, TAKEOVER 
                                  RULES, 2013 
 
 DEALINGS BY PERSONS WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR 
                                     MORE 
 
 1. KEY INFORMATION 
 
Name of person dealing (Note HBK Investments L.P. on 
1)                           behalf of itself, its 
                             subadvisors and its managed 
                             funds 
 
Company dealt in             ALLERGAN PLC 
 
Class of relevant security   US $0.0001 Ordinary Shares 
to which the dealings being 
disclosed relate (Note 2) 
 
Date of dealing              12 September 2019 
 
 1. INTERESTS AND SHORT POSITIONS 
 
 a. Interests and short positions (following dealing) in the class of relevant 
    security dealt in (Note 3) 
 
                                   Long        Short 
 
                             Number      (%)   Number      (%) 
 
(1) Relevant securities      100 (0.00%)       29,223 (0.00%) 
 
(2) Derivatives (other than  5,850,000 (1.78%) 
options) 
 
(3) Options and agreements   37,200 (0.01%)    36,000 (0.01%) 
to purchase/sell 
 
Total                        5,887,300 (1.79%) 65,223 (0.01%) 
 
 a. Interests and short positions in relevant securities of the company, other 
    than the class dealt in (Note 3) 
 
Class of relevant security:        Long        Short 
 
                             Number      (%)   Number      (%) 
 
(1) Relevant securities 
 
 
(2) Derivatives (other than 
options) 
 
 
(3) Options and agreements 
to purchase/sell 
 
Total 
 
Ap20 
 
 1. DEALINGS (Note 4) 
 
 a. Purchases and sales 
 
 
Purchase/sale   Number of relevant        Price per unit 
                securities                (Note 5) 
 
 
 a. Derivatives transactions (other than options transactions) 
 
Product     Nature of       Number of relevant   Price per 
name,       transaction     securities           unit 
e.g. CFD    (Note 6)        (Note 7)             (Note 5) 
 
   Total    Increasing long       100,000            USD 
Return Swap    position                           166.5872 
 
 a. Options transactions in respect of existing relevant securities 
 
 i. Writing, selling, purchasing or varying 
 
Product   Writing,    Number of   Exercise Type,     Expiry Option 
name,     selling,    securities  price    e.g.      date   money 
e.g. call purchasing, to which             American,        paid/ 
option    varying     the option           European         received 
          etc.        relates              etc.             per unit 
                      (Note 7)                              (Note 5) 
 
 
 i. Exercising 
 
Product name,   Number of securities      Exercise price 
e.g. call                                 per unit (Note 
option                                    5) 
 
 
 a. Other dealings (including transactions in respect of new securities) (Note 
    4) 
 
Nature of       Details                   Price per unit 
transaction                               (if applicable) 
(Note 8)                                  (Note 5) 
 
 
                                                                           Ap21 
 
2.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 8 attached? (Note 9) 
                                            YES 
 
Date of disclosure            13 September 2019 
 
Contact name                  Jonathan Brown 
 
Telephone number              [phone] 
 
If a connected EFM, name of 
offeree/offeror with which 
connected 
 
If a connected EFM, state 
nature of connection (Note 
10) 
 
Ap23 
 
                                                            SUPPLEMENTAL FORM 8 
 
                             IRISH TAKEOVER PANEL 
 
 DISCLOSURE UNDER RULE 8.1 AND RULE 8.3 OF THE IRISH TAKEOVER PANEL ACT, 1997, 
                             TAKEOVER RULES, 2013 
 
                           DETAILS OF OPEN POSITIONS 
 
(This form should be attached to Form 8.1(a) & (b)(i), Form 8.1(b)(ii) or Form 
8.3, as appropriate) 
 
OPEN POSITIONS (Note 1) 
 
Product   Written,  Number of      Exercise Type,     Expiry date 
name,     or        relevant       price    e.g. 
e.g. call purchased securities to  (Note 2) American, 
option              which the               European 
                    option or               etc. 
                    derivative 
                    relates 
 
Call      Purchased 20,000         USD 135  American  17 Jan 2020 
Option 
 
Call      Purchased 17,200         USD 120  American  17 Jan 2020 
Option 
 
Put       Purchased 20,000         USD 130  American  17 Jan 2020 
Option 
 
Put       Purchased 16,000         USD 120  American  17 Jan 2020 
Option 
 
Notes 
 
 1. Where there are open option positions or open derivative positions (except 
    for CFDs), full details should be given. Full details of any existing 
    agreements to purchase or to sell must also be given on this form. 
 
 1. For all prices and other monetary amounts, the currency must be stated. 
 
For full details of disclosure requirements, see Rule 8 of the Rules. If in 
doubt, consult the Panel. 
 
 
 
END 
 

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September 13, 2019 10:16 ET (14:16 GMT)