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Thursday 13 February, 2020

BkofA Merrill Lynch

Form 38.5 (b) - Allergan

RNS Number : 9336C
Bank of America Merrill Lynch
13 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

12/02/2020

 

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

2,050,262

0.624%

1,427,395

0.435 %

(2)

Derivatives (other than options):

1,851,598

0.564%

2,150,445

0.655%

(3)

Options and agreements to purchase/sell:

75,000

0.023%

0

0%

Total

3,976,860

1.211%

3,577,840

1.089%

 

(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

                                 50,000

 201.488 USD

 Purchase

                                 50,000

 201.699 USD

 Purchase

                                 25,000

 201.937 USD

 Purchase

                                 50,000

 202.1 USD

 Purchase

                                     129

 201.03 USD

 Purchase

                                     219

 201.04 USD

 Purchase

                                     313

 201.05 USD

 Purchase

                                     588

 201.06 USD

 Purchase

                                     116

 201.07 USD

 Purchase

                                     404

 201.08 USD

 Purchase

                                     169

 201.09 USD

 Purchase

                                     100

 201.1 USD

 Purchase

                                     626

 201.11 USD

 Purchase

                                     320

 201.12 USD

 Purchase

                                     300

 201.22 USD

 Purchase

                                     315

 201.23 USD

 Purchase

                                     835

 201.24 USD

 Purchase

                                     317

 201.25 USD

 Purchase

                                       90

 201.26 USD

 Purchase

                                     346

 201.27 USD

 Purchase

                                     116

 201.28 USD

 Purchase

                                     231

 201.29 USD

 Purchase

                                     117

 201.3 USD

 Purchase

                                     157

 201.31 USD

 Purchase

                                         1

 201.32 USD

 Purchase

                                     874

 201.33 USD

 Purchase

                                  1,173

 201.34 USD

 Purchase

                                     222

 201.35 USD

 Purchase

                                       15

 201.36 USD

 Purchase

                                       70

 201.37 USD

 Purchase

                                     100

 201.49 USD

 Purchase

                                     115

 201.5 USD

 Purchase

                                       90

 201.515 USD

 Purchase

                                     450

 201.52 USD

 Purchase

                                     623

 201.53 USD

 Purchase

                                     391

 201.54 USD

 Purchase

                                     107

 201.55 USD

 Purchase

                                     500

 201.965 USD

 Purchase

                                     300

 201.97 USD

 Purchase

                                     322

 201.99 USD

 Purchase

                                  1,700

 202 USD

 Purchase

                                     115

 202.01 USD

 Purchase

                                  1,322

 202.1 USD

 

Purchase/sale

Number of relevant securities

Price per unit (Note 4)

Sale

                                     144

 201.43 USD

 Sale

                                  2,918

 201.44 USD

 Sale

                                  1,810

 201.45 USD

 Sale

                                  4,675

 201.46 USD

 Sale

                                  4,547

 201.47 USD

 Sale

                                     100

 201.475 USD

 Sale

                                  1,877

 201.48 USD

 Sale

                                  2,263

 201.49 USD

 Sale

                                 17,669

 201.5 USD

 Sale

                                  3,503

 201.51 USD

 Sale

                                     921

 201.52 USD

 Sale

                                  2,192

 201.53 USD

 Sale

                                  2,090

 201.54 USD

 Sale

                                  2,401

 201.55 USD

 Sale

                                     200

 201.555 USD

 Sale

                                  5,892

 201.56 USD

 Sale

                                     315

 201.565 USD

 Sale

                                  3,416

 201.57 USD

 Sale

                                  2,013

 201.58 USD

 Sale

                                  4,537

 201.59 USD

 Sale

                                  4,884

 201.6 USD

 Sale

                                  3,865

 201.61 USD

 Sale

                                  7,604

 201.62 USD

 Sale

                                     385

 201.625 USD

 Sale

                                  6,134

 201.63 USD

 Sale

                                  6,460

 201.64 USD

 Sale

                                  5,343

 201.65 USD

 Sale

                                  2,542

 201.66 USD

 Sale

                                  1,282

 201.67 USD

 Sale

                                  1,862

 201.68 USD

 Sale

                                     723

 201.69 USD

 Sale

                                     984

 201.7 USD

 Sale

                                     479

 201.71 USD

 Sale

                                     854

 201.72 USD

 Sale

                                     962

 201.73 USD

 Sale

                                     116

 201.74 USD

 Sale

                                     100

 201.76 USD

 Sale

                                     500

 201.82 USD

 Sale

                                     100

 201.83 USD

 Sale

                                     100

 201.86 USD

 Sale

                                     100

 201.87 USD

 Sale

                                       50

 201.88 USD

 Sale

                                  2,642

 201.89 USD

 Sale

                                  1,517

 201.9 USD

 Sale

                                     100

 201.905 USD

 Sale

                                     709

 201.91 USD

 Sale

                                     595

 201.92 USD

 Sale

                                  2,527

 201.93 USD

 Sale

                                     200

 201.935 USD

 Sale

                                  1,417

 201.94 USD

 Sale

                                     100

 201.945 USD

 Sale

                                     134

 201.95 USD

 Sale

                                       17

 202 USD

 Sale

                                     109

 202.01 USD

 Sale

                                     400

 202.02 USD

 Sale

                                     191

 202.03 USD

 Sale

                                     784

 202.04 USD

 Sale

                                  1,932

 202.05 USD

 Sale

                                     100

 202.055 USD

 Sale

                                  2,562

 202.06 USD

 Sale

                                     200

 202.065 USD

 Sale

                                  2,008

 202.07 USD

 Sale

                                     300

 202.075 USD

 Sale

                                  1,860

 202.08 USD

 Sale

                                  1,421

 202.09 USD

 Sale

                                     414

 202.095 USD

 Sale

                                  4,227

 202.1 USD

 Sale

                                  1,396

 202.11 USD

 Sale

                                     200

 202.115 USD

 Sale

                                  2,144

 202.12 USD

 Sale

                                     100

 202.121 USD

 Sale

                                     300

 202.125 USD

 Sale

                                  1,260

 202.13 USD

 Sale

                                  1,537

 202.14 USD

 Sale

                                     200

 202.145 USD

 Sale

                                     943

 202.15 USD

 Sale

                                     125

 202.155 USD

 Sale

                                     178

 202.16 USD

 Sale

                                     305

 202.17 USD

 Sale

                                     464

 202.18 USD

 Sale

                                     102

 202.19 USD

 Sale

                                     200

 202.2 USD

 Sale

                                 10,000

 202.065 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

4,412

202.1 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)




Return of Collateral Delivery

12,000 shares returned

N/A

Return of Collateral Delivery

91,000 shares returned

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

13/02/2020

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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