DISCLOSURE UNDER RULE 8.1(a) AND (b)(i) OF THE IRISH TAKEOVER PANEL ACT, 1997, TAKEOVER RULES, 2013
February 01 2021 - 4:30PM
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APPENDIX 3
DISCLOSURE FORMS
FORM
8.1(a)&(b)(i)AMENDMENT
The Form 8.1(a) dealings disclosure announcement
made on January 27, 2020 contained a typographical error in that it
referred to dealings in 'relevant securities' by Gregory L. Cowan,
when it ought to have referred to dealings by Fred Weiss. This
typographical error has now been corrected.
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) |
Fred Weiss |
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: 31,183 (0.05%) |
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 |
81,368 (0.13%) |
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
INFORMATIONAgreements,
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 |
February 1, 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 |
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