OSMT - DISCLOSURE UNDER RULE 8.1(a) AND (b)(i) OF THE IRISH TAKEOVER PANEL ACT 1997 TAKEOVER RULES 2013
BRIDGEWATER, N.J., Jan. 27, 2021 (GLOBE NEWSWIRE) --
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APPENDIX 3
DISCLOSURE FORMS
FORM 8.1(a)&(b)(i)
IRISH TAKEOVER PANEL
DISCLOSURE UNDER RULE 8.1(a) AND (b)(i) OF THE IRISH TAKEOVER PANEL ACT, 1997, TAKEOVER RULES, 2013
DEALINGS BY OFFERORS, OFFEREES OR PARTIES ACTING IN CONCERT WITH THEM FOR THEMSELVES OR FOR DISCRETIONARY CLIENTS
1. KEY INFORMATION
| Name of person dealing (Note 1) |
| Gregory L. Cowan |
| Company dealt in |
| Osmotica Pharmaceuticals plc |
| Class of relevant security to which the dealings being disclosed relate (Note 2) |
| Ordinary Shares of US$0.01 each ( Ordinary Shares ) |
| Date of dealing |
| January 27, 2021 |
2. INTERESTS AND SHORT POSITIONS
(a) Interests and short positions (following dealing) in the class of relevant security dealt in (Note 3)
| Long |
| Short |
| Number |
| (%) |
| Number |
| (%) |
| (1) Relevant securities |
| Ordinary Shares: 23,960 (0.04%) |
| N/A |
| (2) Derivatives (other than options) |
| N/A |
| N/A |
| (3) Options and agreements to purchase/sell |
| Restricted stock units ( RSUs ) pursuant to the Osmotica Pharmaceuticals plc 2018 Incentive Plan (the Plan ): 50,185 (0.08%) |
| N/A |
| Total |
| 74,145 (0.12%) |
| N/A |
(b) Interests and short positions in relevant securities of the company, other than the class dealt in (Note 3)
| Class of relevant security: |
| Long |
| Short |
| Number |
| (%) |
| Number |
| (%) |
| (1) Relevant securities |
| N/A |
| N/A |
| (2) Derivatives (other than options) |
| N/A |
| N/A |
| (3) Options and agreements to purchase/sell |
| N/A |
| N/A |
| Total |
| N/A |
| N/A |
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3. DEALINGS (Note 4)
(a) Purchases and sales
| Purchase/sale |
| Number of relevant securities |
| Price per unit (Note 5) |
| N/A |
| N/A |
| N/A |
(b) Derivatives transactions (other than options transactions)
| Product name, e.g. CFD |
| Nature of transaction (Note 6) |
| Number of relevant securities (Note 7) |
| Price per unit (Note 5) |
| N/A |
| N/A |
| N/A |
| N/A |
(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 5) |
| 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 5) |
| N/A |
| N/A |
| N/A |
(d) Other dealings (including transactions in respect of new securities) (Note 4)
| Nature of transaction (Note 8) |
| Details |
| Price per unit (if applicable) (Note 5) |
| Vesting of RSUs pursuant to the Plan |
| 5,962 ordinary shares issued following the vesting of RSUs pursuant to the Plan |
| N/A |
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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. |
| N/A |
Is a Supplemental Form 8 attached? (Note 9) NO
| Date of disclosure |
| January 27, 2021 |
| Contact name |
| Lisa M. Wilson |
| Telephone number |
| + 1 212-452-2793 |
| Name of offeree/offeror with which acting in concert |
| Osmotica Pharmaceuticals plc |
| Specify category and nature of acting in concert status |
| Director |