CLIN Clinigen Group Plc

 
TIDMCLIN 
 

FORM 8.3

PUBLIC OPENING POSITION DISCLOSURE/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:                    AXA Investment Managers 
                                                         S.A. 
---------------------------------------------  ----------------------- 
(b) 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), settlor and beneficiaries 
 must be named. 
---------------------------------------------  ----------------------- 
(c) Name of offeror/offeree in relation 
 to whose relevant securities this                Clinigen Group plc 
 form relates: 
 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:          01 April 2022 
 For an opening position disclosure, 
 state the latest practicable date 
 prior to the disclosure 
---------------------------------------------  ----------------------- 
(f) In addition to the company in 
 1(c) above, is the discloser making                     N/A 
 disclosures in respect of any other 
 party to the offer? 
 If it is a cash offer or possible 
 cash offer, state "N/A" 
---------------------------------------------  ----------------------- 
 
   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.

   (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:              0.1p ordinary 
------------------------------  -------------------------------- 
                                  Interests     Short positions 
                                -------------  ----------------- 
                                Number    %       Number      % 
------------------------------  -------  ----  ------------  --- 
(1) Relevant securities 
 owned and/or controlled:       866,982  0.65 
------------------------------  -------  ----  ------------  --- 
(2) Cash-settled derivatives: 
------------------------------  -------  ----  ------------  --- 
(3) Stock-settled derivatives 
 (including options) and 
 agreements to purchase/sell: 
------------------------------  -------  ----  ------------  --- 
        TOTAL:                  866,982  0.65 
------------------------------  -------  ----  ------------  --- 
 

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).

   (b)        Rights to subscribe for new securities (including directors' and other employee options) 
 
Class of relevant security 
 in relation to which subscription 
 right exists: 
---------------------------------- 
Details, including nature of 
 the rights concerned and relevant 
 percentages: 
---------------------------------- 
 
   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  Purchase/sale  Number of securities  Price per unit 
     security 
-----------------  -------------  --------------------  -------------- 
  0.1p ordinary        Sale             474,990            GBP 9.25 
-----------------  -------------  --------------------  -------------- 
 
   (b)        Cash-settled derivative transactions 
 
Class of relevant  Product description     Nature of dealing      Number of   Price per 
     security            e.g. CFD         e.g. opening/closing    reference      unit 
                                         a long/short position,   securities 
                                          increasing/reducing 
                                         a long/short position 
-----------------  -------------------  -----------------------  -----------  --------- 
 
 
   (c)        Stock-settled derivative transactions (including options) 
   (i)        Writing, selling, purchasing or varying 
 
   Class        Product       Writing,         Number      Exercise        Type        Expiry   Option 
 of relevant   description   purchasing,    of securities    price     e.g. American,   date     money 
  security      e.g. call      selling,       to which      per unit      European               paid/ 
                 option      varying etc.      option                       etc.                received 
                                               relates                                          per unit 
------------  ------------  -------------  --------------  ---------  ---------------  ------  --------- 
 
 
   (ii)        Exercise 
 
Class of relevant  Product description     Exercising/      Number of   Exercise price 
     security        e.g. call option    exercised against  securities     per unit 
-----------------  -------------------  ------------------  ----------  -------------- 
 
 
   (d)        Other dealings (including subscribing for new securities) 
 
Class of relevant   Nature of dealing   Details   Price per unit 
     security       e.g. subscription,            (if applicable) 
                        conversion 
-----------------  -------------------  -------  ---------------- 
 
 
   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" 
---------------------------------------------------------------- 
 
 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:     04 April 2022 
--------------------  ----------------- 
Contact name:          Anthony Gilsoul 
--------------------  ----------------- 
Telephone number*:    +33 1 44 45 97 54 
--------------------  ----------------- 
 

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.

*If the discloser is a natural person, a telephone number does not need to be included, provided contact information has been provided to the Panel's Market Surveillance Unit.

The Code can be viewed on the Panel's website at https://www.globenewswire.com/Tracker?data=WYFVBok0dQ9yFsChWOTwTh5efmCXFsmm7CL6LOGTQeybWJKDkqZlf_tXLIziQoWDuBVwdqb__KTtVs4ZnPy1x4LSWXbPazILTNxFNJ1jjvBN4oDk5hkIFEtpt_ceucJI www.thetakeoverpanel.org.uk.

(END) Dow Jones Newswires

April 04, 2022 06:46 ET (10:46 GMT)

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