Ap27
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 |
J.P Morgan Securities LLC |
|
Company dealt in |
Allergan plc |
|
Class of relevant security to which the dealings being disclosed relate (Note 1) |
Ordinary Share |
|
Date of dealing |
11 October 2019 |
2. INTERESTS AND SHORT POSITIONS
(a) Interests and short positions (following dealing) in the class of relevant security dealt in (Note 2)
|
|
Long |
Short |
||||
|
|
Number |
|
(%) |
Number |
|
(%) |
|
(1) Relevant securities |
5,032,691 1.53 |
2,323,493 0.71 |
||||
|
(2) Derivatives (other than options) |
2,105,601 0.64 |
4,234,401 1.29 |
||||
|
(3) Options and agreements to purchase/sell |
1,350,139 0.41 |
1,073,039 0.33 |
||||
|
Total |
8,488,431 2.58 |
7,630,933 2.33 |
||||
(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 |
||||
|
|
Number |
|
(%) |
Number |
|
(%) |
|
(1) Relevant securities |
|
|
||||
|
(2) Derivatives (other than options) |
|
|
||||
|
(3) Options and agreements to purchase/sell |
|
|
||||
|
Total |
|
|
||||
Ap28
3. DEALINGS (Note 3)
(a) Purchases and sales
|
Purchase/sale |
Number of relevant securities |
Price per unit (Note 4) |
|
Purchases
Sales |
1 2 29,014 6,129 724
100 24 29,014 96,555 724 200 400 |
168.7300 USD 169.0350 USD 169.0700 USD 169.0900 USD 169.1034 USD
168.6400 USD 168.9700 USD 169.0700 USD 169.0900 USD 169.1034 USD 169.1350 USD 169.2150 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) (USD) |
|
Equity Swaps |
Long |
93,000 724 |
169.0900 169.1034 |
(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) |
|
|
|
|
|
|
|
|
(ii) Exercising
|
Product name, e.g. call option |
Number of securities |
Exercise price per unit (Note 4) |
|
|
|
|
(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) |
|
|
|
|
Ap29
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.
Is a Supplemental Form 38.5(b) attached? (Note 8) YES
|
Date of disclosure |
14 October 2019 |
|
Contact name |
Alwyn Basch |
|
Telephone number |
020 7742 7407 |
|
Name of offeree/offeror with which connected |
Allergan plc |
|
Nature of connection (Note 9) |
Financial Advisor to Allergan plc |
Ap31
SUPPLEMENTAL FORM 38.5(b)
IRISH TAKEOVER PANEL
DISCLOSURE UNDER RULE 38.5(b) OF THE IRISH TAKEOVER PANEL ACT, 1997, TAKEOVER RULES, 2013
DETAILS OF OPEN POSITIONS
(This form should be attached to Form 38.5(b)) OPEN POSITIONS (Note 1)
|
Product name, e.g. call option |
Written or purchased |
Number of relevant securities to which the option or derivative relates |
Exercise price (Note 2) |
Type, e.g. American, European etc. |
Expiry date |
|
Call Option Call Option Call Option Call Option Call Option Call Option Call Option Call Option Call Option Call Option Put Option Put Option Put Option Put Option Put Option Put Option Put Option Put Option Put Option Put Option |
Written Written Written Written Written Written Purchased Purchased Purchased Purchased Written Written Written Written Written Written Written Purchased Purchased Purchased |
10,000 267,500 5,000 7,000 100,363 100,363 20,000 214,500 100,363 100,363 65,100 5,000 300,000 5,000 45,000 233,402 261,411 88,000 233,402 261,411 |
170.00 125.00 210.00 155.00 104.11 108.45 185.00 150.00 104.11 108.45 95.00 140.00 150.00 140.00 160.00 104.11 108.45 150.00 104.11 108.45 |
American American American American European European American American European European American American American American American European European American European European |
21FEB20 15NOV19 17JAN20 17JAN20 23JAN20 23JAN20 21FEB20 15NOV19 23JAN20 23JAN20 17JAN20 17JAN20 19JUN20 19JUN20 20DEC19 23JAN20 23JAN20 20DEC19 23JAN20 23JAN20 |
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.
2. For all prices and other monetary amounts, the currency must be stated.
For full details of disclosure requirements, see Rules 8 and
38.5 of the Rules. If in doubt, consult the Panel.
This information is provided by RNS, the news service of the London Stock Exchange. RNS is approved by the Financial Conduct Authority to act as a Primary Information Provider in the United Kingdom. Terms and conditions relating to the use and distribution of this information may apply. For further information, please contact rns@lseg.com or visit www.rns.com.
