BARCLAYS PLC: FORM 38.5 (B) - OSMOTICA PHARMACEUTICALS PLC
28 January 2021 - 6:36PM
UK Regulatory
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 SECURITIES LTD
Company dealt in OSMOTICA PHARMACEUTICALS PLC
Class of relevant security to which the US$0.01 ordinary shares
dealings being disclosed relate
Date of dealing 26 January 2021
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
3,537 0.01% 102,906 0.16%
(2) Derivatives (other than options):
90,740 0.14% 0 0.00%
(3) Options and agreements to
purchase/sell: 0 0.00% 0 0.00%
(4)
TOTAL: 94,277 0.15% 102,906 0.16%
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)
1. Purchases and sales
Purchase/sale Number of relevant securities Price per unit (Note 4)
b. Derivatives transactions (other than options
transactions)
Product Nature of transaction Number of relevant securities Price per unit
name
SWAP Long 380 4.5200 USD
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? NO
Date of disclosure: 28 Jan 2021
Contact name: Large Holdings Regulatory Operations
Telephone number: 020 3134 7213
Name of offeree/offeror with which
connected
Nature of connection
View source version on businesswire.com:
https://www.businesswire.com/news/home/20210127006099/en/
CONTACT:
BARCLAYS PLC
SOURCE: BARCLAYS PLC
Copyright Business Wire 2021
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