Form 8 (OPD) Nektar Therapeutics, Inc.

 
TIDM0UNL 
 

FORM 8.3

OPENING DEALING DISCLOSURE BY

A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

Rule 8.3 of the Takeover Code (the "Code")

 
1.                   KEY INFORMATION 
 
(a)                Full name of discloser:                                             Invesco Ltd. 
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                   Owner or controller of interests and short 
                    positions disclosed, if different from 
                    1(a): 
                    The naming of nominee or vehicle companies 
                    is insufficient. For a trust, the trustee(s), 
(b)                 settlor and beneficiaries must be named. 
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                   Name of offeror/offeree in relation to 
                    whose relevant securities this form relates: 
(c)                 Use a separate form for each offeror/offeree                       Nektar Therapeutics, Inc. 
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                   If an exempt fund manager connected with 
                    an offeror/offeree, state this and specify 
(d)                 identity of offeror/offeree: 
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                   Date position held/dealing undertaken: 
                    For an opening position disclosure, state 
                    the latest practicable date prior to the 
(e)                 disclosure                                                         07-10-2022 
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                   In addition to the company in 1(c) above, 
                    is the discloser making disclosures in 
                    respect of any other party to the offer? 
                    If it is a cash offer or possible cash 
(f)                 offer, state "N/A"                                                 Yes: PureTech Health PLC 
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2.                   POSITIONS OF THE PERSON MAKING THE DISCLOSURE 
 
If there are positions or rights to subscribe to disclose in more than 
 one class of relevant securities of the offeror or offeree named in 1(c), 
 copy table 2(a) or (b) (as appropriate) for each additional class of relevant 
 security. 
                     Interests and short positions in the relevant securities of the offeror 
                      or offeree to which the disclosure relates following the dealing (if 
(a)                   any) 
 
 
Class of relevant security:                                                                                      0.0001p Ordinary US6402681083 
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                                                                                                           Interests                                      Short Positions 
                                                                               -----------------------------------------------------------------  ------------------------------- 
                                                                                               Number                              %                     Number             % 
                                                                               --------------------------------------  -------------------------  ---------------------  -------- 
                   Relevant securities owned 
(1)                 and/or controlled:                                                       37,287,985                         19.83% 
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(2)                Cash-settled derivatives: 
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                   Stock-settled derivatives 
                   (including options) and agreements 
(3)                to purchase/sell: 
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                   Total                                                                     37,287,985                         19.83% 
-----------------  ----------------------------------------------------------  --------------------------------------  -------------------------  ---------------------  -------- 
 
 
All interests and all short positions should be disclosed. 
 Details of any open stock-settled derivative positions (including traded 
 options), or agreements to purchase or sell relevant securities, should 
 be given on a Supplemental Form 8 (Open Positions). 
 
 
                     Rights to subscribe for new securities (including directors' and other 
(b)                   employee options) 
 
Class of relevant security in 
 relation to which subscription 
 right exists: 
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Details, including nature of 
 the rights concerned and relevant 
 percentages: 
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3.                   DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE 
 
Where there have been dealings in more than one class of relevant securities 
 of the offeror or offeree named in 1(c), copy table 3(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 security                                   Purchase/sale                              Number of securities                  Price per unit 
-----------------------------------------------------  ----------------------------------------------------  -------------------------------------  ----------------------------- 
            0.0001p Ordinary US6402681083                                    Purchase                                       24,340                            3.53 USD 
-----------------------------------------------------  ----------------------------------------------------  -------------------------------------  ----------------------------- 
 
 
 
 
 
 
 
 (b)                  Cash-settled derivative transactions 
 
                                                                                              Nature of dealing 
                                                                                             e.g. opening/closing 
                                                                                            a long/short position, 
   Class of relevant                       Product description                                increasing/reducing               Number of reference 
        security                                 e.g. CFD                                    a long/short position                   securities              Price per unit 
-----------------------  --------------------------------------------------------  ----------------------------------------  -------------------------  ------------------------- 
 
 
(c)                  Stock-settled derivative transactions (including options) 
 
(i)                  Writing, selling, purchasing or varying 
 
                                                              Writing, 
                                 Product                     purchasing,                                       Exercise           Type e.g. 
                               description                    selling,              Number of securities         price            American,                        Option money 
  Class of relevant             e.g. call                      varying                to which option             per              European           Expiry       paid/ received 
       security                   option                        etc.                      relates                unit                etc.              date           per unit 
---------------------  ----------------------------  --------------------------  --------------------------  ------------  -----------------------  ----------  ------------------- 
 
 
(ii)                 Exercise 
 
    Class of relevant                        Product description                           Exercising/ exercised                                            Exercise price 
         security                              e.g. call option                                    against                  Number of securities                per unit 
-------------------------  --------------------------------------------------------  ----------------------------------  ---------------------------  --------------------------- 
 
 

(d)                  Other dealings (including subscribing for new securities) 
 
                                                                      Nature of dealing e.g.                                                             Price per unit (if 
             Class of relevant security                              subscription, conversion                               Details                          applicable) 
-----------------------------------------------------  ----------------------------------------------------  -------------------------------------  ----------------------------- 
 
 
4.                   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 person 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" 
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None 
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                     Agreements, arrangements or understandings relating to options or 
(b)                   derivatives 
 
Details of any agreement, arrangement or understanding, formal or informal, 
 between the person 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" 
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None 
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(c)                  Attachments 
 
Is a Supplemental Form 8 (Open Positions) 
 attached?                                                                                                   NO 
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Date of disclosure                                                                                           10-10-2022 
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Contact name                                                                                                 Philippa Holmes 
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Telephone number                                                                                             01491 417 447 
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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 disclosure requirements on [phone].

The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.

(END) Dow Jones Newswires

October 10, 2022 10:19 ET (14:19 GMT)

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