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18 Nov 2015 11:39
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 | J.P. Morgan Securities LLC. |
Company dealt in | Pfizer Inc |
Class of relevant security to which the dealings being disclosed relate (Note 1) | Common Stock |
Date of dealing | 17 November 2015 |
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: | Long | Short | ||||
Common Stock | Number | (%) | Number | (%) | ||
(1) Relevant securities | 5,308,526 0.09 | 3,837,696 0.06 | ||||
(2) Derivatives (other than options) | 1,240,148 0.02 | 2,498,367 0.04 | ||||
(3) Options and agreements to purchase/sell | 5,567,470 0.09 | 2,395,600 0.04 | ||||
Total | 12,116,144 0.20 | 8,731,663 0.14
| ||||
(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 | ||||||
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3. DEALINGS (Note 3)
(a) Purchases and sales
Purchases/ sales
| Number of relevant securities | Price per unit (USD) |
Purchases
Sales | 373,539 900 400 400 300 6,137 1,100 5,711 2,100 880 6,421 3,207 1,100 5,400 8,200 6,000 1,751 2,200 3,800 15,000 2,500 3,200 100 170 700 24
28,097 | 32.8700 32.9750 32.9900 32.9950 32.9975 33.0000 33.0009 33.0040 33.0050 33.0052 33.0065 33.0078 33.0082 33.0100 33.0132 33.0140 33.0149 33.0150 33.0189 33.0200 33.0250 33.0278 33.0400 33.0950 33.1050 33.1100
32.8700 |
(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 (USD) (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) |
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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.
Is a Supplemental Form 38.5(b) attached? (Note 8) YES
Date of disclosure | 18 November 2015 |
Contact name | Tung Le |
Telephone number | 020 7742 7272 |
Name of offeree/offeror with which connected | Allergan plc |
Nature of connection (Note 9) | Adviser to Allergan plc |
SUPPLEMENTAL FORM 38.5(b)
IRISH TAKEOVER PANEL
DISCLOSURE UNDER RULE 38.5(b) OF THE IRISH TAKEOVER PANEL ACT, 1997, TAKEOVER RULES, 2013
DETAILS OF OPEN POSITIONS
(This form should be attached to Form 38.5(b)) OPEN POSITIONS (Note 1)
Product name, e.g. call option | Written or purchased | Number of relevant securities to which the option or derivative relates | Exercise price (Note 2)(USD) | Type, e.g. American, European etc. | Expiry date |
Call option
| Purchased | 30,000 | 35.00 | American | 20/01/17 |
Call option | Purchased | 70,000 | 37.00 | American | 20/01/17 |
Call option | Purchased | 363,900 | 35.00 | American | 15/01/16 |
Call option | Purchased | 700 | 38.00 | American | 15/01/16 |
Call option | Purchased | 1,200,000 | 34.00 | American | 20/11/15 |
Call option | Written
| 2,500 | 28.00 | American | 15/01/16 |
Call option | Written | 14,700 | 30.00 | American | 15/01/16 |
Call option | Written | 200 | 37.00 | American | 15/01/16 |
Call option | Written | 150,000 | 37.00 | American | 15/01/16 |
Call option | Written | 50,000 | 33.00 | American | 18/12/15 |
Call option | Written | 47,100 | 34.00 | American | 18/12/15 |
Call option | Written | 7,600 | 32.00 | American | 15/01/16 |
Call option | Purchased | 383,200 | 34.71 | European | 21/12/15 |
Call option | Purchased | 383,200 | 34.71 | European | 21/12/15 |
Call option | Purchased | 127,794 | 35.28 | European | 03/12/15 |
Call option | Purchased | 120,533 | 35.66 | European | 12/01/16 |
Call option | Purchased | 48,943 | 36.47 | European | 25/01/16 |
Call option | Written | 200,000 | 33.00 | European | 16/12/16 |
Call option | Written | 383,200 | 34.71 | European | 21/12/15 |
Put option | Purchased
| 30,000 | 35.00 | American | 20/01/17 |
Put option | Purchased | 20,000 | 35.00 | American | 20/01/17 |
Put option | Purchased | 4,300 | 30.00 | American | 15/01/16 |
Put option | Purchased | 2,800 | 28.00 | American | 15/01/16 |
Put option | Purchased | 300 | 32.00 | American | 15/01/16 |
Put option | Purchased | 150,000 | 30.00 | American | 16/09/16 |
Put option | Purchased | 100,000 | 36.00 | American | 18/03/16 |
Put option | Purchased | 32,900 | 32.00 | American | 15/01/16 |
Put Option | Purchased | 1,000,000 | 33.50 | American | 20/11/15 |
Put option | Written | 9,200 | 33.00 | American | 19/02/16 |
Put option | Written | 19,100 | 31.00 | American | 19/02/16 |
Put option | Written | 5,300 | 23.00 | American | 15/01/16 |
Put option | Written | 100,000 | 30.00 | American | 15/01/16 |
Put option | Written | 5,600 | 25.00 | American | 15/01/16 |
Put option | Written | 250,000 | 28.00 | American | 15/01/16 |
Put Option | Written | 500,000 | 33.00 | American | 18/03/16 |
Put Option | Purchased | 200,000 | 33.00 | European | 16/12/16 |
Put Option | Written
| 117,900 | 35.00 | American | 17/06/16 |
Put Option | Written | 62,400 | 35.00 | American | 17/06/16 |
Put Option | Written | 71,300 | 35.00 | American | 17/06/16 |
Put Option | Written | 646,800 | 35.00 | American | 17/06/16 |
Put Option | Written | 154,500 | 35.00 | American | 17/06/16 |
Put Option | Written | 308,100 | 35.00 | American | 17/06/16 |
Put Option | Written
| 139,000 | 35.00 | American | 17/06/16 |
Put Option | Written
| 450,000 | 35.00 | American | 15/01/16 |
Callable Barrier Reverse Convertible Note | Purchased | 183,430 | 32.71 | N/A | 21/03/17 |
Callable Barrier Reverse Convertible Note | Purchased | 30,572 | 32.71 | N/A | 21/03/17 |
Auto-callable Barrier Reverse Convertible Note | Purchased | 45,984 | 32.62 | N/A | 17/03/17 |
Barrier Reverse Convertible Note | Purchased | 30,408 | 34.53 | N/A | 05/04/16 |
Equity Linked Note | Purchased | 6,740 | 29.67 | N/A | 03/02/16 |
Leveraged Accumulator | Purchased | 15,614+ | 29.12 | N/A | 12/09/16 |
Callable Barrier Reverse Convertible Note | Written | 183,430 | 32.71 | N/A | 21/03/17 |
Callable Barrier Reverse Convertible Note | Written | 30,572 | 32.71 | N/A | 21/03/17 |
Auto-Callable Barrier Reverse Convertible Note | Written | 45,984 | 32.62 | N/A | 17/03/17 |
Barrier Reverse Convertible Note | Written | 30,408 | 34.53 | N/A | 05/04/16 |
Equity Linked Note | Written | 6,740 | 29.67 | N/A | 03/02/16 |
Leveraged Accumulator | Written | 15,614+ | 29.12 | N/A | 12/09/16 |
Leveraged Accumulator | Written | 9,000+ | 31.70 | N/A | 04/03/16 |
Auto-callable Optimization Securities | Written | 7,851 | 27.60 | N/A | 25/06/20 |
Equity Linked Note | Written | 6,740 | 29.67 | N/A | 03/02/16 |
Callable Barrier Reverse Convertible Note | Written | 183,430 | 32.71 | N/A | 21/03/17 |
Callable Barrier Reverse Convertible Note | Written | 30,572 | 32.71 | N/A | 21/03/17 |
Auto-Callable Barrier Reverse Convertible Note | Written | 45,984 | 32.62 | N/A | 17/03/17 |
Barrier Reverse Convertible Note | Written | 30,408 | 34.53 | N/A | 05/04/16 |
Leveraged Accumulator | Written | 15,614+ | 29.12 | N/A | 12/09/16 |
Put Option | Purchased | 457,000 | 27.50 | N/A | 11/01/16 |
Callable Barrier Reverse Convertible | Purchased | 22,929 | 32.71 | N/A | 21/03/17 |
Auto-Callable Barrier Reverse Convertible Note | Purchased | 7,685 | 32.53 | N/A | 15/03/17 |
Auto-Callable Barrier Reverse Convertible Note | Purchased | 11,189 | 32.62 | N/A | 17/03/17 |
Barrier Reverse Convertible Note | Purchased | 178 | 2.44 | N/A | 05/04/16 |
Equity Link Note | Purchased | 31,133 | 32.12 | N/A | 15/12/15 |
Equity Link Note | Written | 31,133 | 32.12 | N/A | 15/12/15 |
Equity Link Note | Written | 31,133 | 32.12 | N/A | 15/12/15 |
+ This instrument is physically settled, and the interest in shares has been calculated as the maximum number of Mylan shares that the counterparty could be obliged to buy at the exercise price
Notes
1. Where there are open option positions or open derivative positions (except for CFDs), full details should be given. Full details of any existing agreements to purchase or to sell must also be given on this form.
2. For all prices and other monetary amounts, the currency must be stated.
For full details of disclosure requirements, see Rules 8 and
38.5 of the Rules. If in doubt, consult the Panel.
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