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RNS
Allergan

BkofA Merrill Lynch - Form 38.5 (b) - Allergan

RNS Number : 9212D
Bank of America Merrill Lynch
24 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

21/02/2020

 

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

2,022,350

0.615%

1,427,395

0.434 %

(2)

Derivatives (other than options):

1,855,293

0.564%

2,180,293

0.663%

(3)

Options and agreements to purchase/sell:

75,000

0.023%

0

0%

Total

3,952,643

1.201%

3,607,688

1.097%

 

(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

                                   200

199.33 USD

 Purchase

                                   100

199.335 USD

 Purchase

                                     47

199.34 USD

 Purchase

                                   808

199.35 USD

 Purchase

                                   118

199.36 USD

 Purchase

                                       1

199.37 USD

 Purchase

                                     15

199.38 USD

 Purchase

                                     99

199.39 USD

 Purchase

                                   200

199.4 USD

 Purchase

                                   113

199.41 USD

 Purchase

                                1,077

199.42 USD

 Purchase

                                   701

199.43 USD

 Purchase

                                   518

199.44 USD

 Purchase

                                1,034

199.45 USD

 Purchase

                                1,190

199.46 USD

 Purchase

                                6,000

199.463 USD

 Purchase

                                   635

199.47 USD

 Purchase

                                   114

199.48 USD

 Purchase

                                       2

199.49 USD

 Purchase

                                   138

199.54 USD

 Purchase

                                       1

199.6 USD

 Purchase

                                   331

199.62 USD

 Purchase

                                     89

199.63 USD

 Purchase

                                   115

199.7 USD

 Purchase

                                     50

199.77 USD

 Purchase

                                   151

199.78 USD

 Purchase

                                   230

199.8 USD

 

Purchase/sale

Number of relevant securities

Price per unit (Note 4)

Sale

                                   232

198.27 USD

 Sale

                                   100

198.54 USD

 Sale

                                   116

199.01 USD

 Sale

                                   232

199.05 USD

 Sale

                                   231

199.11 USD

 Sale

                                   115

199.13 USD

 Sale

                                   500

199.14 USD

 Sale

                                   262

199.25 USD

 Sale

                                   200

199.26 USD

 Sale

                                   299

199.31 USD

 Sale

                                   346

199.35 USD

 Sale

                                   200

199.43 USD

 Sale

                                   100

199.45 USD

 Sale

                                   295

199.8 USD

 Sale

                                       2

199.82 USD

 Sale

                                   691

199.83 USD

 Sale

                                2,016

199.84 USD

 Sale

                                1,059

199.85 USD

 Sale

                                   393

199.87 USD

 Sale

                                   100

199.89 USD

 Sale

                                   500

199.9 USD

 Sale

                                   300

199.91 USD

 Sale

                                     49

199.92 USD

 Sale

                                   600

199.93 USD

 Sale

                                   295

199.94 USD

 Sale

                                   500

199.95 USD

 Sale

                                   900

199.96 USD

 Sale

                                   115

199.97 USD

 Sale

                                   995

199.98 USD

 Sale

                                   314

199.981 USD

 Sale

                                1,955

199.99 USD

 Sale

                                   369

199.991 USD

 Sale

                                   500

200 USD

 Sale

                                   100

200.009 USD

 Sale

                                   231

200.01 USD

 Sale

                                   100

200.02 USD

 Sale

                                     23

200.06 USD

 Sale

                                   293

200.07 USD

 Sale

                                1,577

200.08 USD

 Sale

                                1,053

200.09 USD

 Sale

                                   170

200.095 USD

 Sale

                                   659

200.1 USD

 Sale

                                       1

200.105 USD

 Sale

                                   200

200.11 USD

 Sale

                                   375

200.12 USD

 Sale

                                     13

200.125 USD

 Sale

                                   967

200.13 USD

 Sale

                                1,431

200.14 USD

 Sale

                                   100

200.145 USD

 Sale

                                6,176

200.15 USD

 Sale

                                2,527

200.16 USD

 Sale

                                     15

200.17 USD

 Sale

                                1,832

200.18 USD

 Sale

                                4,522

200.19 USD

 Sale

                                   200

200.195 USD

 Sale

                                1,843

200.2 USD

 Sale

                                2,005

200.21 USD

 Sale

                                   300

200.215 USD

 Sale

                                1,630

200.22 USD

 Sale

                                   708

200.23 USD

 Sale

                                1,350

200.24 USD

 Sale

                                   492

200.25 USD

 Sale

                                   889

200.26 USD

 Sale

                                   506

200.27 USD

 Sale

                                   516

200.28 USD

 Sale

                                   230

200.29 USD

 Sale

                                2,404

200.3 USD

 Sale

                                   300

200.305 USD

 Sale

                                   100

200.32 USD

 Sale

                                     15

200.33 USD

 Sale

                                1,352

200.34 USD

 Sale

                                2,076

200.35 USD

 Sale

                                   300

200.37 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

883

198.74 USD

Swaps

Opening a Short Position

4,978

199.483 USD

Swaps

Opening a Short Position

1,022

199.483 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)




Collateral Delivery

Collateral Delivery of 16,200 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

24/02/2020

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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