Form 8 (OPD) Nektar Therapeutics, Inc.
10 Octubre 2022 - 9:19AM
UK Regulatory
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
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Number % Number %
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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%
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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
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(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
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(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
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(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)
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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
+44 (0)20 7638 0129.
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)
Copyright (c) 2022 Dow Jones & Company, Inc.
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