TIDMBARC 
 
 

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  US$0.01 ordinary shares 
being disclosed relate (Note 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 
 
 

Ap28

 

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        Price per unit 
 e.g. CFD       (Note 5)              securities (Note 6)        (Note 4) 
 
 

c. 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) 
 
 

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) 
 
 

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.

 

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) 
 
 

View source version on businesswire.com: https://www.businesswire.com/news/home/20201217005477/en/

 
    CONTACT: 

BARCLAYS PLC

 
    SOURCE: BARCLAYS PLC 
Copyright Business Wire 2020 
 

(END) Dow Jones Newswires

December 17, 2020 05:54 ET (10:54 GMT)

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