TIDMHZNP TIDMTTM
RNS Number : 8798J
Citigroup Global Markets Inc.
15 December 2022
Ap38
FORM 38.5(b) (EPT/NON-RI)
IRISH TAKEOVER PANEL
OPENING POSITION DISCLOSURE/DEALING DISCLOSURE
UNDER RULE 38.5(b) AND RULE 38.6 OF THE IRISH TAKEOVER
PANEL ACT, 1997, TAKEOVER RULES, 2022 BY A CONNECTED
EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED
INTERMEDIARY STATUS, OR WITH RECOGNISED INTERMEDIARY
STATUS BUT NOT DEALING IN A CLIENT-SERVING CAPACITY
1. KEY INFORMATION
(a) Name of exempt principal trader: Citigroup Global Markets Inc.
(b) Name of offeror/offeree in relation to whose relevant securities this form Horizon Therapeutics plc
relates:
Use a separate form for each offeror/offeree
------------------------------
(c) Name of the party to the offer with which exempt principal trader is Amgen Inc.
connected:
(Note 1)
------------------------------
(d) Date position held/dealing undertaken: 14 December 2022
For an opening position disclosure, state the latest practicable date prior to
the disclosure
------------------------------
(e) In addition to the company in 1(b) above, is the exempt principal trader N/A
also making
disclosures in respect of any other party to the offer?
If it is a cash offer or possible cash offer, state "N/A"
------------------------------
2. INTERESTS AND SHORT POSITIONS
If there are interests and short positions to disclose in more
than one class of relevant securities of the offeror or offeree
named in 1(b), copy table 2 for each additional class of relevant
security.
Ap39
Interests and short positions in the relevant securities of the
offeror or offeree to which the disclosure relates following the
dealing (if any) (Note 2)
Class of relevant security: $0.0001 ordinary shares
(Note 3)
Interests Short positions
----------------- ------------------
Number % Number %
-------- ------- --------- -------
(1) Relevant securities owned and/or controlled: 227,949 0.1006 104,123 0.0459
-------- ------- --------- -------
(2) Cash-settled derivatives:
-------- ------- --------- -------
(3) Stock-settled derivatives (including options) and agreements to purchase/
sell:
-------- ------- --------- -------
Total: 227,949 0.1006 104,123 0.0459
-------- ------- --------- -------
All interests and all short positions should be disclosed.
Details of options including rights to subscribe for new
securities and any open stock-settled derivative positions
(including traded options), or agreements to purchase or sell
relevant securities, should be given on a Supplemental Form 8.
3. DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER
(Note 4)
Where there have been dealings in more than one class of
relevant securities of the offeror or offeree named in 1(b), copy
table 3(a), (b), (c) or (d) (as appropriate) for each additional
class of relevant security dealt in.
The currency of all prices and other monetary amounts should be
stated.
(a) Purchases and sales
Class of Purchases/ Total Highest Lowest
relevant sales number of price per price per
security securities unit paid/ unit paid/
received (USD) received (USD)
$0.0001 ordinary shares Purchase 32,372 113.13 113.13
------------ ------------ ---------------- ----------------
$0.0001 ordinary shares Sale 894 113.15 113.13
------------ ------------ ---------------- ----------------
Ap40
(b) Cash-settled derivative transactions
Class of Product Nature of dealing Number of Price per
relevant description e.g. opening/closing reference unit
security e.g. CFD a long/short position, securities (Note 6)
increasing/reducing a (Note 5)
long/short position
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of Product Writing, Number of Exercise Type Expiry Option
relevant description purchasing, securities price per e.g. date money
security e.g. call selling, to which unit American, European paid/
option varying option etc. received
etc. relates per unit (EUR)
(Note 5)
(ii) Exercise
Class of Product Exercising/ Number of Exercise
relevant description exercised securities price per
security e.g. call against unit (Note 6)
option
(d) Other dealings (including transactions in respect of new securities)
Class of Nature of Details Price per unit
relevant dealing (if applicable)
security e.g. subscription, (Note 6)
conversion,
exercise
Ap41
4. OTHER INFORMATION
(a) Indemnity and other dealing arrangements
Details of any indemnity or option arrangement, or any agreement or understanding, formal
or informal, relating to relevant securities which may be an inducement to deal or refrain
from dealing entered into by the exempt principal trader making the disclosure and any party
to the offer or any person acting in concert with a party to the offer:
Irrevocable commitments and letters of intent should not be included. If there are no such
agreements, arrangements or understandings, state "none"
(b) 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.
(c) Attachments
Is a Supplemental Form 8 attached? YES /NO
Date of disclosure: 15 December 2022
Contact name: Christopher Alexander Pollock
-----------------------------
Telephone number: 028 95 954 053
-----------------------------
Public disclosures under Rule 38 of the Rules must be made to a
Regulatory Information Service.
Ap42
NOTES ON FORM 38.5(b) AND 38.6
1. See the definition of "connected principal trader" in Rule
2.2 of Part A of the Rules.
2. See the definition of "interest in a relevant security" in
Rule 2.5 of Part A of the Rules and see Rule 8.6(a) and (b) of Part
B of the Rules.
3. See the definition of "relevant securities" in Rule 2.1 of Part A of the Rules.
4. See the definition of "dealing" in Rule 2.1 of Part A of the Rules.
5. See Rule 2.5(d) of Part A of the Rules.
6. If the economic exposure to changes in the price of
securities is limited, for example, by virtue of a stop loss
arrangement relating to a spread bet, full details must be
given.
7. If details included in a disclosure under Rule 38 are
incorrect, they should be corrected as soon as practicable in a
subsequent disclosure. Such disclosure should state clearly that it
corrects details disclosed previously, identify the disclosure or
disclosures being corrected, and provide sufficient detail for the
reader to understand the nature of the corrections. In the case of
any doubt, the Panel should be consulted.
For full details of disclosure requirements, see Rules 8 and 38
of the Rules. If in doubt, consult the Panel.
References in these notes to "the Rules" are to the Irish
Takeover Panel Act, 1997, Takeover Rules, 2022.
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