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10 Nov 2015 12:35
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 RECOGNISEDINTERMEDIARY 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 | 09 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 | 5,273,280 0.09 | 2,658,393 0.04 | ||||
(2) Derivatives (other than options) | 1,098,327 0.02 | 2,468,434 0.04 | ||||
(3) Options and agreements to purchase/sell | 5,701,470 0.09 | 3,087,600 0.05 | ||||
Total | 12,073,077 0.20 | 8,214,427 0.13
| ||||
(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 | 1,400 100 2,500 1,600 5,500 600 5,400 900 200 6,800 12,300 200 600 200 5,480 38,500 12,100 12,721 14,305 800 7,500 6,705 1,700 10,426 9,900 296 94,116 800 2,500 8,100 900 8,400 7,789 400 200 4,000 2,800 1,800 6,500 4,700 200 5,600 800 3,600 10,311 6,109 3,700 15,700 3,780 800 19,800 200 9,100 15,600 7,000 157,493 9,100 9,000 16,500 50,100 85 5,300 200 1,220 615 271 200 900 282
100 200 200 280 600 700 700 400 2,000 6,100 9,700 4,600 527 4,280 973 2,920 100 6,500 700 100 100 100 300 1,700 600 1,620 600 1,100 600 100 300 600 300 600 2,400 257 400 2,600 4,300 3,400 400 4,700 3,043 3,300 1,100 15,098 500 1,000 400 2,770 3,200 600 1,700 800 5,900 7,800 3,600 3,100 300 2,100 2,976 3,450 3,700 1,200 4,300 3,000 900 900 6,300 1,900 700 8,289 1,634 100 200 2,500 3,700 1,000 2,167 100 500 600 4,400 300 300 52,392 282 | 33.5350 33.5400 33.5450 33.5500 33.5550 33.5592 33.5600 33.5622 33.5625 33.5626 33.5650 33.5700 33.5717 33.5725 33.5739 33.5750 33.5762 33.5769 33.5785 33.5800 33.5802 33.5813 33.5844 33.5849 33.5850 33.5870 33.5871 33.5900 33.5948 33.5950 33.6000 33.6050 33.6077 33.6100 33.6125 33.6150 33.6225 33.6250 33.6300 33.6350 33.6425 33.6443 33.6450 33.6461 33.6468 33.6480 33.6500 33.6525 33.6538 33.6550 33.6568 33.6600 33.6725 33.6825 33.6925 33.7000 33.7125 33.7325 33.7425 33.7500 33.7600 33.7725 33.7800 33.7815 33.7855 33.7900 33.7950 33.7956 33.9300
33.3900 33.4000 33.4050 33.4100 33.4133 33.4150 33.4250 33.4300 33.4350 33.4400 33.4419 33.4450 33.4493 33.4550 33.4581 33.4590 33.4600 33.4650 33.4657 33.4700 33.4750 33.4800 33.4900 33.4950 33.5000 33.5073 33.5100 33.5150 33.5183 33.5200 33.5300 33.5350 33.5383 33.5400 33.5442 33.5450 33.5475 33.5500 33.5550 33.5560 33.5575 33.5600 33.5646 33.5650 33.5700 33.5716 33.5750 33.5780 33.5800 33.5843 33.5850 33.5900 33.5918 33.5925 33.5950 33.5973 33.6000 33.6050 33.6067 33.6081 33.6100 33.6117 33.6150 33.6176 33.6200 33.6205 33.6211 33.6239 33.6250 33.6300 33.6400 33.6441 33.6500 33.6600 33.6650 33.6700 33.6750 33.6800 33.6826 33.6850 33.6870 33.6900 33.6950 33.6983 33.7000 33.7500 33.9300 |
(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 securitiesunder any option referred to on this form or relating to the voting rights or future acquisitionor 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 | 09 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 | 113,900 | 35.00 | American | 15/01/16 |
Call option | Purchased | 700 | 38.00 | American | 15/01/16 |
Call option | Purchased | 200,000 | 34.00 | American | 20/11/15 |
Call option | Purchased | 1,500,000 | 35.00 | American | 13/11/15 |
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 | 21/05/16 |
Call option | Purchased | 383,200 | 34.71 | European | 21/05/16 |
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 | Purchased | 192,000 | 37.12 | European | 10/11/15 |
Call option | Purchased | 192,000 | 37.12 | European | 10/11/15 |
Call option | Purchased | 200,000 | 33.00 | European | 16/12/15 |
Call option | Written | 200,000 | 33.00 | European | 16/12/16 |
Call option | Written | 383,200 | 34.71 | European | 21/12/15 |
Call option | Written | 192,000 | 37.12 | European | 10/11/15 |
Put option | Written
| 30,000 | 35.00 | American | 20/01/17 |
Put option | Written
| 20,000 | 35.00 | American | 20/01/17 |
Put option | Written
| 4,300 | 30.00 | American | 15/01/16 |
Put option | Written
| 2,800 | 28.00 | American | 15/01/16 |
Put option | Written
| 300 | 32.00 | American | 15/01/16 |
Put option | Written
| 150,000 | 30.00 | American | 16/09/16 |
Put option | Written
| 100,000 | 36.00 | American | 18/03/16 |
Put option | Written
| 32,900 | 32.00 | American | 15/01/16 |
Put Option | Written | 1,500,000 | 35.00 | American | 17/06/16 |
Put option | Purchased | 9,200 | 33.00 | American | 19/02/16 |
Put option | Purchased | 19,100 | 31.00 | American | 19/02/16 |
Put option | Purchased | 5,300 | 23.00 | American | 15/01/16 |
Put option | Purchased | 100,000 | 30.00 | American | 15/01/16 |
Put option | Purchased | 5,600 | 25.00 | American | 15/01/16 |
Put option | Purchased | 250,000 | 28.00 | American | 15/01/16 |
Put option | Written | 200,000 | 33.00 | European | 16/12/16 |
Put Option | Purchased | 1,500,000 | 34.50 | American | 13/11/15 |
Put option | Purchased | 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 | 10,200+ | 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 |
+ 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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