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Friday 14 February, 2020

BkofA Merrill Lynch

Form 38.5 (b) - Allergan PLC

RNS Number : 0840D
Bank of America Merrill Lynch
14 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

13/02/2020

 

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

2,044,406

0.623%

1,427,395

0.435 %

(2)

Derivatives (other than options):

1,854,976

0.565%

2,163,404

0.659%

(3)

Options and agreements to purchase/sell:

75,000

0.023%

0

0%

Total

3,974,382

1.211%

3,590,799

1.094%

 

(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

                                   172

199.16 USD

Purchase

                                   139

199.17 USD

Purchase

                                1,137

199.18 USD

Purchase

                                   524

199.19 USD

Purchase

                                   308

199.2 USD

Purchase

                                   216

199.21 USD

Purchase

                                   238

199.22 USD

Purchase

                                   575

199.23 USD

Purchase

                                   578

199.24 USD

Purchase

                                   100

199.25 USD

Purchase

                                3,229

199.26 USD

Purchase

                                   962

199.27 USD

Purchase

                                   287

199.28 USD

Purchase

                                   500

199.34 USD

Purchase

                                1,189

199.36 USD

Purchase

                                1,930

199.37 USD

Purchase

                                1,562

199.38 USD

Purchase

                                6,000

199.381 USD

Purchase

                                1,440

199.39 USD

Purchase

                                1,132

199.4 USD

Purchase

                                   115

199.41 USD

Purchase

                                   565

199.42 USD

Purchase

                                   629

199.43 USD

Purchase

                                   277

199.44 USD

Purchase

                                   115

199.45 USD

Purchase

                                   201

199.46 USD

Purchase

                                   200

199.47 USD

Purchase

                                     99

199.48 USD

Purchase

                                1,664

199.49 USD

Purchase

                                1,359

199.5 USD

Purchase

                                   521

199.51 USD

Purchase

                                   833

199.52 USD

Purchase

                                   145

199.53 USD

Purchase

                                   346

199.55 USD

Purchase

                                   100

199.56 USD

Purchase

                                   416

199.57 USD

Purchase

                                   300

199.62 USD

Purchase

                                   115

199.63 USD

Purchase

                                   500

199.64 USD

Purchase

                                   100

199.65 USD

Purchase

                                       1

199.67 USD

Purchase

                                   592

199.68 USD

Purchase

                                   506

199.69 USD

Purchase

                                   585

199.7 USD

Purchase

                                   631

199.71 USD

Purchase

                                   434

199.72 USD

Purchase

                                   317

199.73 USD

Purchase

                                   100

199.74 USD

Purchase

                                   538

199.75 USD

Purchase

                                   199

199.76 USD

Purchase

                                     82

199.88 USD

Purchase

                                   595

199.95 USD

Purchase

                                   108

199.97 USD

Purchase

                                1,796

199.98 USD

Purchase

                                2,311

199.99 USD

Purchase

                                2,160

200 USD

Purchase

                                1,283

200.01 USD

Purchase

                                   397

200.02 USD

Purchase

                                   231

200.03 USD

Purchase

                                   461

200.05 USD

Purchase

                                   569

200.08 USD

Purchase

                                   100

200.14 USD

Purchase

                                   100

200.26 USD

Purchase

                                6,000

200.348 USD

Purchase

                                   200

200.65 USD

 

 

Purchase/sale

Number of relevant securities

Price per unit (Note 4)

Sale

                                   231

199.24 USD

 Sale

                                4,756

199.26 USD

 Sale

                                   105

200.37 USD

 Sale

                                       1

200.39 USD

 Sale

                                       9

200.41 USD

 Sale

                                       1

200.68 USD

 Sale

                                   502

200.69 USD

 Sale

                                   299

200.7 USD

 Sale

                                   500

200.71 USD

 Sale

                                   200

200.72 USD

 Sale

                                1,146

200.73 USD

 Sale

                                   300

200.74 USD

 Sale

                                2,130

200.75 USD

 Sale

                                   131

200.76 USD

 Sale

                                   216

200.77 USD

 Sale

                                   562

200.78 USD

 Sale

                                   361

200.79 USD

 Sale

                                   562

200.8 USD

 Sale

                                1,637

200.81 USD

 Sale

                                1,386

200.82 USD

 Sale

                                1,062

200.83 USD

 Sale

                                   443

200.84 USD

 Sale

                                   746

200.85 USD

 Sale

                                   702

200.86 USD

 Sale

                                   846

200.87 USD

 Sale

                                   576

200.88 USD

 Sale

                                   500

200.89 USD

 Sale

                                   100

200.9 USD

 Sale

                                1,079

200.91 USD

 Sale

                                   908

200.92 USD

 Sale

                                2,182

200.93 USD

 Sale

                                1,668

200.94 USD

 Sale

                                1,024

200.95 USD

 Sale

                                1,864

200.96 USD

 Sale

                                   888

200.97 USD

 Sale

                                1,302

200.98 USD

 Sale

                                   791

200.99 USD

 Sale

                                1,408

201 USD

 Sale

                                   300

201.01 USD

 Sale

                                   300

201.02 USD

 Sale

                                   100

201.03 USD

 Sale

                                   100

201.06 USD

 Sale

                                   231

201.07 USD

 Sale

                                   231

201.1 USD

 Sale

                                   116

201.11 USD

 Sale

                                1,173

201.12 USD

 Sale

                                   346

201.13 USD

 Sale

                                1,205

201.15 USD

 Sale

                                   699

201.151 USD

 Sale

                                   131

201.155 USD

 Sale

                                1,549

201.16 USD

 Sale

                                   484

201.17 USD

 Sale

                                1,039

201.18 USD

 Sale

                                   708

201.19 USD

 Sale

                                   585

201.2 USD

 Sale

                                1,648

201.21 USD

 Sale

                                   296

201.22 USD

 Sale

                                   400

201.23 USD

 Sale

                                   100

201.24 USD

 Sale

                                     95

201.25 USD

 Sale

                                     10

201.26 USD

Sale

                                6,000

199.381 USD

 Sale

                                6,000

200.348 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 Long Position

3,378

199.26 USD

Swaps

Increasing a Short Position

980

202.1 USD

Swaps

Reducing a Short Position

21

202.1 USD

Swaps

Opening a Short Position

4,978

200.368 USD

Swaps

Opening a Short Position

1,022

200.368 USD

Swaps

Opening a Short Position

4,978

199.401 USD

Swaps

Opening a Short Position

1,022

199.401 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)




Borrow

Borrow of 123,000 shares

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

14/02/2020

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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