Reg - Trium Capital Llp Avadel Pharma Plc - Form 8.3 - Avadel Pharmaceuticals Plc

FORM 8.3

IRISH TAKEOVER PANEL

OPENING POSITION DISCLOSURE/DEALING DISCLOSURE UNDER RULE 8.3 OF THE IRISH TAKEOVER PANEL ACT, 1997, TAKEOVER

RULES, 2022 BY PERSONS WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

1.             KEY INFORMATION

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(c), copy table 2 for each additional class of relevant security.

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)

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 PERSON MAKING THE DISCLOSURE (Note 4)

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

(b)           Cash-settled derivative transactions

• Class of relevant security

• Product

  description

  e.g. CFD

• Nature of dealing

  e.g. opening/ closing a long/ short position, increasing/ reducing a long/ short position

• Number of

  reference

  securities

  (Note 6)

• Price

  per unit

  (Note 5)

(c)           Stock-settled derivative transactions (including options)

(i)            Writing, selling, purchasing or varying

• Class of relevant security

• Product

  description e.g. call

  option

• Writing, purchasing, selling, varying

  etc.

• Number of

  securities to which option relates (Note 6)

• Exercise

  price per

  unit

• Type

  e.g. American,

  European etc.

• Expiry

  date

• Option money

  paid/

  received per unit

(ii)           Exercise

• Class of relevant security

• Product description

  e.g. call option

• Exercising/

  exercised against

• Number of securities

• Exercise price per unit (Note 5)

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

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"

(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?

• NO

Public disclosures under Rule 8.3 of the Rules must be made to a Regulatory Information Service.

NOTES ON FORM 8.3

1.             See the definition of "connected fund manager" 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.             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.

6.             See Rule 2.5(d) of Part A of the Rules.

7.             If details included in a disclosure under Rule 8 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 Rule 8 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.

RNS may use your IP address to confirm compliance with the terms and conditions, to analyse how you engage with the information contained in this communication, and to share such analysis on an anonymised basis with others as part of our commercial services. For further information about how RNS and the London Stock Exchange use the personal data you provide us, please see our Privacy Policy.  END  ITPPKPBPKBDDFBK

FORM 8.3

IRISH TAKEOVER PANEL

OPENING POSITION DISCLOSURE/DEALING DISCLOSURE UNDER RULE 8.3 OF THE IRISH TAKEOVER PANEL ACT, 1997, TAKEOVER

RULES, 2022 BY PERSONS WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

1.             KEY INFORMATION

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(c), copy table 2 for each additional class of relevant security.

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)

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 PERSON MAKING THE DISCLOSURE (Note 4)

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

(b)           Cash-settled derivative transactions

• Class of

  relevant

  security

• Product

  description

  e.g. CFD

• Nature of dealing

  e.g. opening/ closing a long/ short position, increasing/ reducing a long/ short position

• Number of

  reference

  securities

  (Note 6)

• Price

  per unit

  (Note 5)

(c)           Stock-settled derivative transactions (including options)

(i)            Writing, selling, purchasing or varying

• Class of

  relevant

  security

• Product

  description e.g. call

  option

• Writing, purchasing, selling, varying

  etc.

• Number

  of

  securities

  to which

  option

  relates

  (Note 6)

• Exercise

  price per

  unit

• Type

  e.g.

  American,

  European

  etc.

• Expiry

  date

• Option

  money

  paid/

  received per unit

(ii)           Exercise

• Class of

  relevant

  security

• Product

  description

  e.g. call

  option

• Exercising/

  exercised

  against

• Number of

  securities

• Exercise

  price per

  unit

  (Note 5)

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

• Class of

  relevant

  security

• Nature of dealing

  e.g. subscription,

  conversion, exercise

• Details

• Price per unit (if

  applicable)

  (Note 5)

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"

(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?

• NO

Public disclosures under Rule 8.3 of the Rules must be made to a Regulatory Information Service.

NOTES ON FORM 8.3

1.             See the definition of "connected fund manager" 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.             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.

6.             See Rule 2.5(d) of Part A of the Rules.

7.             If details included in a disclosure under Rule 8 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 Rule 8 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.

RNS may use your IP address to confirm compliance with the terms and conditions, to analyse how you engage with the information contained in this communication, and to share such analysis on an anonymised basis with others as part of our commercial services. For further information about how RNS and the London Stock Exchange use the personal data you provide us, please see our Privacy Policy.  END  ITPFLFLEFRLEIIE

FORM 8.3

IRISH TAKEOVER PANEL

OPENING POSITION DISCLOSURE/DEALING DISCLOSURE UNDER RULE 8.3 OF THE IRISH TAKEOVER PANEL ACT, 1997, TAKEOVER

RULES, 2022 BY PERSONS WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

1.             KEY INFORMATION

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(c), copy table 2 for each additional class of relevant security.

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)

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 PERSON MAKING THE DISCLOSURE (Note 4)

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

(b)           Cash-settled derivative transactions

(c)           Stock-settled derivative transactions (including options)

(i)            Writing, selling, purchasing or varying

• Class of

  relevant

  security

• Product

  description e.g. call

  option

• Writing, purchasing, selling, varying

  etc.

• Number

  of

  securities

  to which

  option

  relates

  (Note 6)

• Exercise

  price per

  unit

• Type

  e.g.

  American,

  European

  etc.

• Expiry

  date

• Option

  money

  paid/

  received per unit

(ii)           Exercise

• Class of

  relevant

  security

• Product

  description

  e.g. call

  option

• Exercising/

  exercised

  against

• Number of

  securities

• Exercise

  price per

  unit

  (Note 5)

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

• Class of

  relevant

  security

• Nature of dealing

  e.g. subscription,

  conversion, exercise

• Details

• Price per unit (if

  applicable)

  (Note 5)

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

• 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

(c)           Attachments

• Is a Supplemental Form 8 attached?

• NO

Public disclosures under Rule 8.3 of the Rules must be made to a Regulatory Information Service.

RNS may use your IP address to confirm compliance with the terms and conditions, to analyse how you engage with the information contained in this communication, and to share such analysis on an anonymised basis with others as part of our commercial services. For further information about how RNS and the London Stock Exchange use the personal data you provide us, please see our Privacy Policy.  END  ITPFLFIEFDLEIIE

Ap27

FORM 8.3

IRISH TAKEOVER PANEL

OPENING POSITION DISCLOSURE/DEALING DISCLOSURE UNDER RULE 8.3 OF THE IRISH TAKEOVER PANEL ACT, 1997, TAKEOVER

RULES, 2022 BY PERSONS WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

1.             KEY INFORMATION

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(c), copy table 2 for each additional class of relevant security.

Ap28

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)

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 PERSON MAKING THE DISCLOSURE (Note 4)

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

Ap29

(b)           Cash-settled derivative transactions

• Class of

  relevant

  security

• Product

  description

  e.g. CFD

• Nature of dealing

  e.g. opening/ closing a long/ short position, increasing/ reducing a long/ short position

• Number of

  reference

  securities

  (Note 6)

• Price

  per unit

  (Note 5)

(c)           Stock-settled derivative transactions (including options)

(i)            Writing, selling, purchasing or varying

(ii)           Exercise

• Class of

  relevant

  security

• Product

  description

  e.g. call

  option

• Exercising/

  exercised

  against

• Number of

  securities

• Exercise

  price per

  unit

  (Note 5)

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

• Class of

  relevant

  security

• Nature of dealing

  e.g. subscription,

  conversion, exercise

• Details

• Price per unit (if

  applicable)

  (Note 5)

Ap30

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

• 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

(c)           Attachments

• Is a Supplemental Form 8 attached?

• YES

Public disclosures under Rule 8.3 of the Rules must be made to a Regulatory Information Service.

Ap32

SUPPLEMENTAL FORM 8

IRISH TAKEOVER PANEL

DISCLOSURE UNDER RULE 8.1, RULE 8.3, RULE 38.5(b) AND

RULE 38.6 OF THE IRISH TAKEOVER PANEL ACT, 1997,

TAKEOVER RULES, 2022

DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING

OPTION) POSITIONS, AGREEMENTS TO PURCHASE OR SELL AND

RIGHTS TO SUBSCRIBE FOR NEW SECURITIES

1.             KEY INFORMATION

2.             STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)