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Wednesday 05 February, 2020

BkofA Merrill Lynch

Form 38.5 (b) - Allergan

RNS Number : 0678C
Bank of America Merrill Lynch
05 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

04/02/2020

 

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

1,929,714

0.588%

1,427,291

0.435 %

(2)

Derivatives (other than options):

1,864,967

0.568%

2,085,166

0.635%

(3)

Options and agreements to purchase/sell:

75,000

0.023%

0

0%

Total

3,869,681

1.178%

3,512,457

1.070%

 

(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

                               35,000

190.085 USD

 Purchase

                                1,022

190.16 USD

 Purchase

                                   400

190.07 USD

 Purchase

                                1,252

190.08 USD

 Purchase

                                6,000

190.085 USD

 Purchase

                                2,141

190.1 USD

 Purchase

                                1,842

190.11 USD

 Purchase

                                   115

190.115 USD

 Purchase

                                8,741

190.12 USD

 Purchase

                                8,262

190.13 USD

 Purchase

                                1,015

190.14 USD

 Purchase

                                   437

190.15 USD

 Purchase

                                2,170

190.16 USD

 Purchase

                                1,940

190.17 USD

 Purchase

                                   215

190.22 USD

 Purchase

                                       1

190.23 USD

 Purchase

                                   100

190.24 USD

 Purchase

                                   100

190.25 USD

 Purchase

                                   200

190.26 USD

 Purchase

                                     16

190.27 USD

 Purchase

                                   115

190.29 USD

 Purchase

                                   105

190.3 USD

 Purchase

                                   266

190.31 USD

 Purchase

                                   200

190.319 USD

 Purchase

                                   157

190.32 USD

 Purchase

                                   542

190.33 USD

 Purchase

                                       1

190.35 USD

 Purchase

                                   536

190.36 USD

 Purchase

                                   270

190.37 USD

 Purchase

                                   626

190.38 USD

 Purchase

                                1,137

190.39 USD

 Purchase

                                   150

190.4 USD

 Purchase

                                1,177

190.41 USD

 Purchase

                                   600

190.42 USD

 Purchase

                                   746

190.43 USD

 Purchase

                                   332

190.44 USD

 Purchase

                                   598

190.45 USD

 Purchase

                                   500

190.48 USD

 Purchase

                                   577

190.49 USD

 

Purchase/sale

Number of relevant securities

Price per unit (Note 4)

Sale

                                       2

190.03 USD

 Sale

                                   112

190.04 USD

 Sale

                                   100

190.05 USD

 Sale

                                   675

190.06 USD

 Sale

                                   316

190.07 USD

 Sale

                                   479

190.08 USD

 Sale

                                   115

190.09 USD

 Sale

                                   400

190.1 USD

 Sale

                                   958

190.11 USD

 Sale

                                   733

190.12 USD

 Sale

                                   232

190.13 USD

 Sale

                                1,890

190.14 USD

 Sale

                                1,796

190.15 USD

 Sale

                                   922

190.16 USD

 Sale

                                3,149

190.17 USD

 Sale

                                   283

190.175 USD

 Sale

                                2,031

190.18 USD

 Sale

                                   331

190.185 USD

 Sale

                                2,123

190.19 USD

 Sale

                                   129

190.195 USD

 Sale

                                   952

190.2 USD

 Sale

                                   100

190.21 USD

 Sale

                                   416

190.22 USD

 Sale

                                   648

190.23 USD

 Sale

                                   115

190.24 USD

 Sale

                                   115

190.25 USD

 Sale

                                   346

190.26 USD

 Sale

                                   231

190.29 USD

 Sale

                                   231

190.43 USD

 Sale

                                6,000

190.085 USD

 Sale

                                6,000

190.13 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

Opening a Short position

 1,022

190.15 USD

Swaps

Opening a Short position

 4,978

190.105 USD

Swaps

Reducing a short position

 228

188.440 USD

Swaps

Opening a Short position

 4,978

190.15 USD

Swaps

Opening a Short position

 1,022

190.105 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

05/02/2020

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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