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Wednesday 12 February, 2020

BkofA Merrill Lynch

Form 38.5 (b) - Allergan

RNS Number : 7858C
Bank of America Merrill Lynch
12 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

11/02/2020

 

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

2,015,796

0.614%

1,427,395

0.435 %

(2)

Derivatives (other than options):

1,851,598

0.564%

2,146,033

0.653%

(3)

Options and agreements to purchase/sell:

75,000

0.023%

0

0%

Total

3,942,394

1.2%

3,573,428

1.088%

 

(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

        100

 199.89 USD

Purchase

        100

 199.95 USD

Purchase

        260

 199.98 USD

Purchase

        100

 199.99 USD

Purchase

        100

 200.01 USD

Purchase

        131

 200.05 USD

Purchase

        100

 200.07 USD

Purchase

        232

 200.09 USD

Purchase

        400

 200.1 USD

Purchase

        100

 200.11 USD

Purchase

        100

 200.13 USD

Purchase

        300

 200.14 USD

Purchase

        200

 200.16 USD

Purchase

        200

 200.18 USD

Purchase

        100

 200.2 USD

Purchase

        100

 200.24 USD

Purchase

        100

 200.25 USD

Purchase

        100

 200.27 USD

Purchase

        168

 200.28 USD

Purchase

        200

 200.29 USD

Purchase

        100

 200.31 USD

Purchase

        200

 200.35 USD

Purchase

        300

 200.37 USD

Purchase

        100

 200.38 USD

Purchase

        200

 200.39 USD

Purchase

        200

 200.4 USD

Purchase

        200

 200.41 USD

Purchase

        778

 200.43 USD

Purchase

        100

 200.44 USD

Purchase

        200

 200.45 USD

Purchase

        831

 200.46 USD

Purchase

        100

 200.47 USD

Purchase

        400

 200.48 USD

Purchase

        201

 200.5 USD

Purchase

        100

 200.51 USD

Purchase

        104

 200.53 USD

Purchase

        117

 200.54 USD

Purchase

        716

 200.56 USD

Purchase

          40

 200.57 USD

Purchase

        589

 200.58 USD

Purchase

        196

 200.59 USD

Purchase

        622

 200.6 USD

Purchase

        264

 200.61 USD

Purchase

        566

 200.62 USD

Purchase

     1,217

 200.63 USD

Purchase

     1,092

 200.64 USD

Purchase

     1,130

 200.65 USD

Purchase

     1,888

 200.66 USD

Purchase

        598

 200.67 USD

Purchase

        742

 200.68 USD

Purchase

        712

 200.69 USD

Purchase

        754

 200.7 USD

Purchase

          94

 200.705 USD

Purchase

        598

 200.71 USD

Purchase

     6,000

 200.719 USD

Purchase

     1,193

 200.72 USD

Purchase

     1,079

 200.73 USD

Purchase

     1,114

 200.74 USD

Purchase

     1,397

 200.75 USD

Purchase

        725

 200.76 USD

Purchase

          82

 200.77 USD

Purchase

        402

 200.78 USD

Purchase

        270

 200.79 USD

Purchase

        117

 200.86 USD

Purchase

        100

 200.87 USD

Purchase

          15

 200.88 USD

 

Purchase/sale

Number of relevant securities

Price per unit (Note 4)

Sale

        500

 200.7 USD

Sale

        100

 200.74 USD

Sale

        500

 200.75 USD

Sale

        961

 200.76 USD

Sale

        200

 200.77 USD

Sale

        166

 200.78 USD

Sale

        682

 200.79 USD

Sale

        200

 200.8 USD

Sale

        100

 200.81 USD

Sale

        100

 200.82 USD

Sale

        200

 200.84 USD

Sale

        598

 200.86 USD

Sale

        501

 200.87 USD

Sale

        215

 200.88 USD

Sale

        731

 201.11 USD

Sale

        878

 201.12 USD

Sale

     1,270

 201.13 USD

Sale

        100

 201.14 USD

Sale

        546

 201.15 USD

Sale

        101

 201.16 USD

Sale

        114

 201.17 USD

Sale

        700

 201.18 USD

Sale

        200

 201.2 USD

Sale

        347

 201.22 USD

Sale

          15

 201.24 USD

Sale

        558

 201.25 USD

Sale

        537

 201.26 USD

Sale

     2,093

 201.27 USD

Sale

     1,094

 201.28 USD

Sale

     2,050

 201.29 USD

Sale

     2,505

 201.3 USD

Sale

     2,604

 201.31 USD

Sale

        802

 201.32 USD

Sale

        679

 201.33 USD

Sale

        115

 201.34 USD

Sale

        100

 201.35 USD

Sale

        116

 201.36 USD

Sale

     1,009

 201.38 USD

Sale

        100

 201.39 USD

Sale

        100

 201.4 USD

Sale

        315

 201.5 USD

Sale

        100

 201.66 USD

Sale

     6,000

 200.719 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

Reducing a short position

 4,633

199.65 USD

Swaps

Opening a Short position

 4,978

200.739 USD

Swaps

Reducing a long position

 71

199.65 USD

Swaps

Opening a Short position

 1,022

200.739 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

12/02/2020

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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