REG-BARCLAYS PLC Form 38.5 (b) OSMOTICA

BarclaysAnnouncement

17/12/2020 10:55

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Form 38.5 (b) OSMOTICA

 

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 INC          
 Company dealt in                                                               OSMOTICA PHARMACEUTICALS PLC  
 Class of relevant security to which the dealings being disclosed relate (Note  US$0.01 ordinary shares       
 1)                                                                                                           
 Date of dealing                                                                16 DEC 2020                   


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 
320 0.00% 343 0.00% 
  
(2) Derivatives (other than options): 
0 0.00% 0 0.00% 
  
(3) Options and agreements to 
purchase/sell: 0 0.00% 0 0.00% 
  
(4) 
TOTAL: 320 0.00% 343 0.00% 
 

b. 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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3. DEALINGS (Note 3)
 (a)            Purchases and sales                  
 Purchase/sale  Number of            Price per unit  
                securities                           
 Purchase       100                  5.8000 USD      
 Purchase       100                  5.8450 USD      
 Purchase       101                  5.9017 USD      
 Purchase       158                  5.8760 USD      
 Purchase       200                  5.8900 USD      
 Purchase       300                  5.8966 USD      
 Purchase       942                  5.8574 USD      
 Sale           1,901                5.8672 USD      


b. Derivatives transactions (other than options transactions)
 Product name,  Nature of transaction  Number of relevant securities  Price per unit  
 
              
                      
                              
               
 e.g. CFD       (Note 5)               (Note 6)                       (Note 4)        
                                                                                      


c. Options transactions in respect of existing relevant securities


 1. Writing, selling, purchasingor varying
 Product name,      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)  
 
                                                                                                                                                                                                                                        
 e.g. call option                                                                                                                                                                                                                         
                                                                                                                                                                                                                                          


ii. Exercising
 Product name,      Number of securities  Exercise price per unit (Note 4)  
 
                                                                          
 e.g. call option                                                           
                                                                            


d. 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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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.

None

Is a Supplemental Form 38.5(b) attached? (Note 8) NO
 Date of disclosure                            17 DEC 2020                           
 Contact name                                  Large Holdings Regulatory Operations  
 Telephone number                              020 3134 7213                         
 Name of offeree/offeror with which connected                                        
 Nature of connection (Note 9)                                                       


 



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