REG-BARCLAYS PLC Form 8.3 - CLINIGEN GROUP PLC
06/12/2021 11:35
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Form 8.3 - CLINIGEN GROUP PLC
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/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: Barclays PLC.
(b) Owner or controller of interest and short
positions disclosed, if different from 1(a):
(c) Name of offeror/offeree in relation to whose CLINIGEN GROUP PLC
relevant securities this form relates:
(d) If an exempt fund manager connected with an
offeror/offeree, state this and specify identity of
offeror/offeree:
(e) Date position held/dealing undertaken: 03 December 2021
(f) In addition to the company in 1(c) above, is the discloser making NO
disclosures in respect of any other party to the offer?
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.
(a) Interests and short positions in the relevant securities of the offeror or
offeree to which the disclosure relates following the dealing (if any)
Class of relevant security: 0.1p ordinary
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 448,812 0.34% 1,422,651 1.07%
(2) Cash-settled derivatives:
1,375,778 1.03% 382,524 0.29%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 1,824,590 1.37% 1,805,175 1.35%
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).
(b) Rights to subscribe for new securities (including directors’ and other
employee options)
Class of relevant security in relation to which subscription right exists:
Details, including nature of the rights concerned and relevant percentages:
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 Purchase/sale Number of Price per unit
security securities
0.1p ordinary Purchase 35 7.6842 GBP
0.1p ordinary Purchase 40 7.7542 GBP
0.1p ordinary Purchase 54 7.7592 GBP
0.1p ordinary Purchase 117 7.7650 GBP
0.1p ordinary Purchase 183 7.7425 GBP
0.1p ordinary Purchase 290 7.7900 GBP
0.1p ordinary Purchase 317 7.7500 GBP
0.1p ordinary Purchase 811 7.8192 GBP
0.1p ordinary Purchase 1,905 7.7450 GBP
0.1p ordinary Purchase 2,229 7.7440 GBP
0.1p ordinary Purchase 2,363 7.7532 GBP
0.1p ordinary Purchase 2,886 7.7429 GBP
0.1p ordinary Purchase 5,709 7.7724 GBP
0.1p ordinary Purchase 6,649 7.8200 GBP
0.1p ordinary Purchase 24,355 7.7376 GBP
0.1p ordinary Purchase 25,425 7.7355 GBP
0.1p ordinary Purchase 137,059 7.7397 GBP
0.1p ordinary Sale 183 7.7425 GBP
0.1p ordinary Sale 856 7.8259 GBP
0.1p ordinary Sale 940 7.8087 GBP
0.1p ordinary Sale 2,363 7.7532 GBP
0.1p ordinary Sale 5,870 7.8200 GBP
0.1p ordinary Sale 6,719 7.7548 GBP
0.1p ordinary Sale 10,000 7.7519 GBP
0.1p ordinary Sale 28,290 7.7367 GBP
0.1p ordinary Sale 43,653 7.7753 GBP
0.1p ordinary Sale 127,257 7.7817 GBP
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
0.1p ordinary CFD Long 382 7.7292 GBP
0.1p ordinary SWAP Long 883 7.7116 GBP
0.1p ordinary CFD Long 982 7.8193 GBP
0.1p ordinary CFD Long 1,779 7.8195 GBP
0.1p ordinary SWAP Long 4,553 7.8199 GBP
0.1p ordinary CFD Long 5,870 7.8200 GBP
0.1p ordinary SWAP Long 7,316 7.7617 GBP
0.1p ordinary SWAP Long 10,000 7.7519 GBP
0.1p ordinary SWAP Long 11,326 7.7942 GBP
0.1p ordinary SWAP Long 31,784 7.7721 GBP
0.1p ordinary SWAP Long 33,125 7.7711 GBP
0.1p ordinary SWAP Long 40,646 7.7696 GBP
0.1p ordinary SWAP Long 44,853 7.7927 GBP
0.1p ordinary CFD Short 60 7.8200 GBP
0.1p ordinary SWAP Short 97 7.6349 GBP
0.1p ordinary CFD Short 1,224 7.8018 GBP
0.1p ordinary SWAP Short 1,580 7.6778 GBP
0.1p ordinary SWAP Short 2,285 7.8200 GBP
0.1p ordinary SWAP Short 7,791 7.7046 GBP
0.1p ordinary SWAP Short 8,570 7.7683 GBP
0.1p ordinary SWAP Short 12,110 7.7543 GBP
0.1p ordinary SWAP Short 16,855 7.7188 GBP
0.1p ordinary SWAP Short 114,374 7.7408 GBP
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of relevant security Product description e.g. call option Writing, purchasing, selling, varying etc. Number of securities to which option relates Exercise price per unit Type Expiry date Option money paid/ received per unit
e.g. American, European etc.
(ii) Exercise
Class of relevant security Product description Exercising/ exercised against Number of securities Exercise price per unit
e.g. call option
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
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”
None
(b) Agreements, arrangements or understandings relating to options or
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”
None
(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? NO
Date of disclosure: 6 Dec 2021
Contact name: Large Holdings Regulatory Operations
Telephone number: 020 3134 7213
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 +44 (0)20 7638 0129.
*If the discloser is a natural person, a telephone number does not need to be
included, provided contact information has been provided to the Panel’s
Market Surveillance Unit.
The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk
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