TIG Advisors, LLC Form 8.3 - Clinigen Group plc (1966H)
05 April 2022 - 12:20AM
UK Regulatory
TIDMCLIN
RNS Number : 1966H
TIG Advisors, LLC
04 April 2022
FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN SECURITIES REPRESENTING 1% OR
MORE
Rule 8.3 of the Takeover Code (the "Code")
1. KEY INFORMATION
(a) Identity of the person whose positions/dealings are being disclosed: TIG Advisors, LLC
(b) Owner or controller of interests and short positions disclosed, if different from
1(a):
The naming of nominee or vehicle companies is insufficient
-----------------------
(c) Name of offeror/offeree in relation to whose relevant securities this form relates: Clinigen Group plc
Use a separate form for each offeror/offeree
-----------------------
(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: 1 April 2022
-----------------------
(f) Has the discloser previously disclosed, or are they today disclosing, under the Code in NO
respect of any other party to this offer? If YES, specify which
-----------------------
2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
(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: ISIN: GB00B89J2419 NSI: 133,366,726
Interests Short positions
--------------------------- ------------------
Number % Number %
--------------- ---------- --------------
(1) Relevant securities owned and/or controlled: 8,388,275 6.29%
--------------- ---------- --------------
(2) Derivatives (other than options): 1,702,129 1.28% %
--------------- ---------- --------------
(3) Options and agreements to purchase/sell:
--------------- ---------- --------------
TOTAL: 10,090,404 7.57% %
--------------- ---------- --------------
All interests and all short positions should be disclosed.
Details of any open derivative or option positions, or
agreements to purchase or sell relevant securities, should be given
on a Supplemental Form 8 (Open Positions)8
(b) Rights to subscribe for new securities (including directors'
and other executive options)
Class of relevant security in relation to which subscription right exists:
Details, including nature of the rights concerned and relevant percentages:
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.
3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE
(a) Purchases and sales
Class of relevant security Purchase/sale Number of securities Price per unit
0.1p ordinary Purchase 59,150 925.00 (UK)
-------------- --------------------- ---------------
0.1p ordinary Sale 35,900 924.68 (UK)
-------------- --------------------- ---------------
0.1p ordinary Sale 5,244 924.69 (UK)
-------------- --------------------- ---------------
(b) Derivatives transactions (other than options)
Class of relevant Product description Nature of dealing Number of reference Price per unit
security e.g. CFD e.g. opening/closing a securities
long/short position,
increasing/reducing a
long/short position
0.1p ordinary CFD Increasing a long 12,021 924.96 (UK)
position
-------------------- ------------------------- ------------------------- ---------------
0.1p ordinary CFD Reducing a long position 7,291 924.69 (UK)
-------------------- ------------------------- ------------------------- ---------------
0.1p ordinary CFD Reducing a long position 1,063 924.59 (UK)
-------------------- ------------------------- ------------------------- ---------------
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
Class of Product Writing, Number of Exercise Type Expiry date Option money
relevant description purchasing, securities price per e.g. paid/
security e.g. call selling, to which unit American, received per
option varying etc. option European unit
relates etc.
(ii) Exercising
Class of relevant security Product description 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
The currency of all prices and other monetary amounts should be
stated.
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.
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:
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: 4 April 2022
Contact name: Michael Fastert
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Telephone number: +1 212 396 8698
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Public disclosures under Rule 8 of the Code must be made to a
Regulatory Information Service and must also be emailed to the
Takeover Panel at monitoring@disclosure.org.uk . The Panel's Market
Surveillance Unit is available for consultation in relation to the
Code's dealing disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at
www.thetakeoverpanel.org.uk .
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