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Tuesday 11 February, 2020

BkofA Merrill Lynch

38.5 (b)- Allergan plc

RNS Number : 6448C
Bank of America Merrill Lynch
11 February 2020
 

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 RECOGNIZED INTERMEDIARY
STATUS BUT NOT DEALING IN A CLIENT-SERVING CAPACITY

 

1.

KEY INFORMATION

Name of exempt principal trader

BofA Securities, Inc.

Company dealt in

Allergan PLC

Class of relevant security to which the
dealings being disclosed relate(Note 1)

Common - IE00BY9D5467

Date of dealing

10/02/2020

 

2.

INTERESTS AND SHORT POSITIONS

(a)

Interests and short positions (following dealing) in the class of relevant security
dealt in (Note 2)

Class of relevant security: Common

IE00BY9D5467


Long

Short

Number

%

Number

%

(1)

Relevant securities

2,020,072

0.615%

1,432,503

0.436 %

(2)

Derivatives (other than options):

1,851,669

0.564%

2,153,416

0.656%

(3)

Options and agreements to purchase/sell:

75,000

0.023%

0

0%

Total

3,946,741

1.202%

3,585,919

1.092%

 

(b)

Interests and short positions in relevant securities of the company, other than the
class dealt in (Note 2)

Class of relevant security:



Long

Short

Number

%

Number

%

(1)

Relevant securities

0

0%

0

0%

(2)

Derivatives (other than options):

0

0%

0

0%

(3)

Options and agreements to purchase/sell:

0

0%

0

0%

Total

0

0%

0

0%

3.

DEALINGS (Note 3)

(a)

Purchases and sales

Purchase/sale

Number of relevant securities

Price per unit (Note 4)

Purchase

                                 57,044

 199.65 USD

Purchase

                                     116

 199.3 USD

Purchase

                                     244

 199.6 USD

Purchase

                                     300

 199.59 USD

Purchase

                                     300

 199.44 USD

Purchase

                                     300

 199.425 USD

Purchase

                                  7,622

 199.73 USD

 

Purchase/sale

Number of relevant securities

Price per unit (Note 4)

Sale

                                     100

 197.45 USD

Sale

                                     200

 197.47 USD

Sale

                                     300

 197.5 USD

Sale

                                     116

 197.51 USD

Sale

                                     115

 197.55 USD

Sale

                                       79

 197.61 USD

Sale

                                     116

 197.72 USD

Sale

                                     232

 197.73 USD

Sale

                                     100

 199.25 USD

Sale

                                     599

 199.52 USD

Sale

                                     199

 199.54 USD

Sale

                                     116

 199.45 USD

Sale

                                     150

 199.51 USD

Sale

                                     209

 199.48 USD

Sale

                                     350

 199.49 USD

Sale

                                  4,354

 199.5 USD

Sale

                                     100

 199.53 USD

Sale

                                     199

 199.44 USD

Sale

                                     316

 199.47 USD

Sale

                                     205

 199.46 USD

Sale

                                     200

 199.12 USD

Sale

                                     199

 199.37 USD

Sale

                                     100

 199.33 USD

Sale

                                         1

 199.35 USD

Sale

                                     100

 199.34 USD

Sale

                                     100

 199.27 USD

Sale

                                     831

 199.29 USD

Sale

                                         6

 199.24 USD

Sale

                                     115

 199.36 USD

Sale

                                     415

 199.38 USD

Sale

                                     200

 199.2 USD

Sale

                                     309

 199.08 USD

Sale

                                     100

 199.06 USD

Sale

                                     116

 198.58 USD

Sale

                                       60

 198.53 USD

Sale

                                     140

 198.54 USD

Sale

                                     100

 198.6 USD

Sale

                                     306

 198.59 USD

Sale

                                     200

 199.17 USD

Sale

                                     200

 199.16 USD

Sale

                                     100

 199.07 USD

Sale

                                     200

 199.4 USD

Sale

                                         1

 199.22 USD

Sale

                                  1,162

 198 USD

Sale

                                     190

 198.25 USD

Sale

                                     200

 197.82 USD

Sale

                                     100

 197.88 USD

Sale

                                       97

 197.86 USD

Sale

                                     311

 197.91 USD

Sale

                                     192

 198.08 USD

Sale

                                       15

 197.9 USD

Sale

                                  8,750

 198.871 USD

Sale

                                       10

 198.31 USD

Sale

                                     100

 197.94 USD

Sale

                                     318

 197.87 USD

Sale

                                     200

 197.76 USD

Sale

                                       89

 198.1 USD

Sale

                                       20

 198.23 USD

 

 

(b)

Derivatives transactions (other than options transactions)

Product name,
e.g. CFD

Nature of transaction
(Note 5)

Number of relevant securities
(Note 6)

Price per unit
(Note 4)

Swaps

Increasing a short position

 162

197.05 USD

Swaps

Increasing a short position

 57,044

199.67 USD

 

(c)

Options transactions in respect of existing relevant securities

(i)

Writing, selling, purchasing or varying

Product name, e.g. call option

Writing, selling, purchasing, varying etc.

Number of securities to which the option relates (Note 7)

Exercise price

Type, e.g. American, European etc

Expiry date

Option money paid/ received per unit (Note 4)

N/A

N/A

N/A

N/A

N/A

N/A

N/A

 

(ii)

Exercising

Product name,
e.g. call option

Number of securities

Exercise price per
unit
(Note 4)

N/A

N/A

N/A

 

(d)

Other dealings (including transactions in respect of new securities) (Note 3)

Nature or transaction
(Note 7)

Details

Price per unit
(if applicable)
(Note 4)




N/A

N/A

N/A

 

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)

Yes

 

Date of disclosure

11/02/2020

Contact name

Tolu Tade

Telephone number

+44207 996 3410

Name of offeree/offeror with which connected

AbbVie Inc

Nature of connection (Note 9)

Advisor to - AbbVie Inc

 

 

SUPPLEMENTAL FORM 38.5(b)


DISCLOSURE UNDER RULE 38.5(b) OF THE IRISH TAKEOVER PANEL ACT, 1997, TAKEOVER RULES, 2013

 

DETAILS OF OPEN POSITIONS

 

Product name,
e.g. call option

Written or
purchased

Number of securities to which the option or derivative relates

Exercise price
(Note 2)

Type, e.g.
American,
European etc

Expiry date

Put Option

 Purchased

          75,000

 160 USD

 American

21/02/2020

 


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