BARCLAYS PLC: FORM 38.5(b) - OSMOTICA PHARMACEUTICALS PLC

TIDMBARC 
 
 

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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 SECURITIES LTD 
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                          12 January 2021 
 

2. INTERESTS AND SHORT POSITIONS

   1. 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 
                                          3,729   0.01%  101,853    0.16% 
 
(2)   Derivatives (other than options): 
                                          90,360  0.14%  0          0.00% 
 
(3)   Options and agreements to 
 purchase/sell:                           0       0.00%  0          0.00% 
 
 
 TOTAL:                                   94,089  0.15%  101,853    0.16% 
 
 
   1. Interests and short positions in relevant securities of the company, 
      otherthan the class dealt in (Note 2) 
 
Class of relevant security:                  Long           Short 
                                             Number    (%)  Number    (%) 
(1) Relevant securities 
(2) Derivatives (other than options) 
(3) Options and agreements to purchase/sell 
Total 
 
 

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   1. DEALINGS (Note 3) 
   1. Purchases and sales 
 
Purchase/sale  Number of   Price per unit 
               securities 
Purchase       174         4.5100 USD 
Sale           174         4.5100 USD 
 
   1. Derivatives transactions (other than options transactions) 
 
Product name,  Nature of transaction  Number of relevant        Price per unit 
 e.g. CFD       (Note 5)              securities (Note 6)        (Note 4) 
 
 
   1. Options transactions in respect of existing relevant securities 
   1. Writing, selling, purchasingor varying 
 
Product  Writing,     Number of   Exercise  Type,      Expiry    Option money 
name,    selling,     securities  price     e.g.       date      paid/received 
e.g.     purchasing,  to which              American,            per unit 
call     varying      the option            European             (Note 4) 
option   etc.         relates               etc. 
                      (Note 7) 
 
 
   1. Exercising 
 
Product name,      Number of securities  Exercise price per unit (Note 4) 
 e.g. call option 
 
 
   1. Other dealings (including transactions in respect of new securities) 
      (Note 3) 
 
Nature of transaction  Details  Price per unit 
 (Note 7)                        (if applicable) (Note 4) 
 
 

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   1. 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:                       13 Jan 2021 
Contact name:                             Large Holdings Regulatory Operations 
Telephone number:                         020 3134 7213 
Name of offeree/offeror with which 
 connected 
Nature of connection 
 
 

View source version on businesswire.com: https://www.businesswire.com/news/home/20210113005381/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2021 
 

(END) Dow Jones Newswires

January 13, 2021 05:28 ET (10:28 GMT)