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Friday 07 February, 2020

BkofA Merrill Lynch

Form 38.5 (b) - Allergan

RNS Number : 3529C
Bank of America Merrill Lynch
07 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

06/02/2020

 

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

1,946,605

0.593%

1,441,507

0.439 %

(2)

Derivatives (other than options):

1,864,967

0.568%

2,089,494

0.636%

(3)

Options and agreements to purchase/sell:

75,000

0.023%

0

0%

Total

3,886,572

1.184%

3,531,001

1.075%

 

(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

        314

192.35 USD

Purchase

        186

192.36 USD

Purchase

          98

192.54 USD

Purchase

          99

192.77 USD

Purchase

        116

192.95 USD

Purchase

        100

193 USD

Purchase

        100

193.01 USD

Purchase

        100

193.05 USD

Purchase

        100

193.06 USD

Purchase

        215

193.1 USD

Purchase

        116

193.12 USD

 

Purchase/sale

Number of relevant securities

Price per unit (Note 4)

Sale

        117

192.17 USD

Sale

        200

192.19 USD

Sale

        200

192.21 USD

Sale

          75

192.22 USD

Sale

          83

192.3 USD

Sale

        100

192.31 USD

Sale

        116

192.32 USD

Sale

        232

192.57 USD

Sale

            1

192.58 USD

Sale

        401

192.59 USD

Sale

        300

192.6 USD

Sale

     1,444

192.61 USD

Sale

        202

192.62 USD

Sale

        477

192.63 USD

Sale

        293

192.64 USD

Sale

     1,169

192.65 USD

Sale

        601

192.66 USD

Sale

        594

192.68 USD

Sale

        100

192.69 USD

Sale

        164

192.7 USD

Sale

        152

192.71 USD

Sale

        931

192.72 USD

Sale

        576

192.73 USD

Sale

        677

192.74 USD

Sale

        700

192.75 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

 19

192.10 USD

Swaps

Closing a Short Position

 12,525

192.88 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

07/02/2020

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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