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Form 38.5(b) - OSMOTICA PHARMACEUTICALS PLC

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Ap27

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 RECOGNISED INTERMEDIARY STATUS BUT NOT DEALING IN A CLIENT-SERVING CAPACITY

1. KEY INFORMATION

Name of exempt principal trader:

BARCLAYS CAPITAL INC

Company dealt in

OSMOTICA PHARMACEUTICALS PLC

Class of relevant security to which the

US$0.01 ordinary shares

dealings being disclosed relate

Date of dealing

22 February 2021

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:

ORD

Interests

Short Positions

Number

(%)

Number

(%)

(1)

Relevant securities owned

320

0.00%

0

0.00%

(2)

Derivatives (other than options):

0

0.00%

0

0.00%

(3)

Options and agreements to

purchase/sell:

0

0.00%

0

0.00%

TOTAL:

320

0.00%

0

0.00%

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

(2) Derivatives (other than options)

(3) Options and agreements to purchase/sell

Total

Ap28

3. DEALINGS (Note 3)

a. Purchases and sales

Purchase/sale

Number of

Price per unit

securities

Purchase

293

4.2500 USD

Sale

293

4.2500 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)

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)

ii. Exercising

Product name,

e.g. call option

Number of securities

Exercise price per unit (Note 4)

d. Other dealings (including transactions in respect of new securities) (Note 3)

Nature of transaction

(Note 7)

Details

Price per unit

(if applicable) (Note 4)

Ap29

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?

NO

Date of disclosure:

23 Feb 2021

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213

Name of offeree/offeror with which connected

Nature of connection

View source version on businesswire.com: https://www.businesswire.com/news/home/20210223005513/en/

Contacts

BARCLAYS PLC