Clinigen : Form 8.3 - Clinigen Group PLC

FORM 8.3

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY

A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

Rule 8.3 of the Takeover Code (the 'Code')

1. KEY INFORMATION

(a) Full name of discloser:                          Neuberger Berman Group LLC

(b) Owner or controller of interests and short
positions disclosed, if different from 1(a):
The naming of nominee or vehicle companies is
insufficient. For a trust, the trustee(s), settlor
and beneficiaries must be named.

(c) Name of offeror/offeree in relation to whose     Clinigen Group PLC
relevant securities this form relates:
Use a separate form for each offeror/offeree

(d) If an exempt fund manager connected with an
offeror/offeree, state this and specify identity of
offeror/offeree:

(e) Date position held/dealing undertaken:           09/11/2017
For an opening position disclosure, state the latest
practicable date prior to the disclosure

(f) In addition to the company in 1(c) above, is the NO
discloser 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. POSITIONS OF THE PERSON MAKING THE DISCLOSURE

If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)

Class of relevant security:                                0.1p Ordinary

                                                        Interests     Short
                                                                     positions

                                                       Number    %   Number %

(1) Relevant securities owned and/or controlled:      3,765,089 3.08   0    0

(2) Cash-settled derivatives:                             0      0     0    0

(3) Stock-settled derivatives (including options) and     0      0     0    0
agreements to purchase/sell:

                                                      3,765,089 3.08   0    0
TOTAL:

All interests and all short positions should be disclosed.

Details of 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 (Open Positions).

(b) Rights to subscribe for new securities (including directors' and other employee options)

Class of relevant security in relation to which subscription right exists:

Details, including nature of the rights concerned and relevant percentages:

3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), 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 relevant security Purchase/sale Number of securities Price per unit

0.1p Ordinary              Buy           2,290                10.743

(b) Cash-settled derivative transactions

Class of relevant   Product    Nature of dealing  Number of  Price per unit
    security      description        e.g.         reference
                   e.g. CFD    opening/closing a  securities
                                  long/short
                                   position,
                              increasing/reducing
                                 a 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,         paid/
           option      varying     option             European         received
                        etc.      relates               etc.           per unit

(ii) Exercise

Class of relevant     Product         Exercising/    Number of  Exercise price
    security        description    exercised against securities    per unit
                  e.g. call option

(d) Other dealings (including subscribing for new securities)

Class of relevant security Nature of dealing  Details Price per unit (if
                           e.g. subscription,            applicable)
                               conversion

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 person 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'


none

(b) Agreements, arrangements or understandings relating to options or derivatives

Details of any agreement, arrangement or understanding, formal or informal,
between the person making the disclosure and any other person relating to:
(i) the voting rights of any relevant securities under any option; or
(ii) the voting rights or future acquisition or disposal of any relevant
securities to which any derivative is referenced:
If there are no such agreements, arrangements or understandings, state 'none'


none

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached? No

Date of disclosure: 10/11/2017

Contact name:       Stacy Miller

Telephone number:   646-497-4663

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.

The Panel's Market Surveillance Unit is available for consultation in relation to the Code's disclosure requirements on +44 (0)20 7638 0129.

The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.