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3 Nov 2015 11:08
Ap27
AMENDMENT
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 | 30 October 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 | 5,226,850 0.08 | 3,096,361 0.05 | ||||
(2) Derivatives (other than options) | 1,099,067 0.02 | 2,438,780 0.04 | ||||
(3) Options and agreements to purchase/sell | 3,401,570 0.06 | 1,883,300 0.03 | ||||
Total | 9,727,487 0.16 | 7,418,441 0.12
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(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 |
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(2) Derivatives (other than options) |
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(3) Options and agreements to purchase/sell |
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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 | 352,445 62,476 2,200 33 2,100 4,446 2,000 7,612 6,400 6,650 5,608 10,065 5,055 100 4,300 7,274 1,100 7,926 4,364 1,100 1,600 400 59,869 6,500 100 400 400 300
200 1,900 200 250 3,800 1,300 2,107 22,205 200 2,942 1,900 7,620 859 1,100 1,708 8,885 200 5,000 5,209 100 200 448 58,000 969 100 400 200 200 100 200 100 100 | 33.8200 33.8500 33.8700 33.8800 33.9350 33.9400 33.9450 33.9500 33.9550 33.9557 33.9600 33.9650 33.9652 33.9675 33.9700 33.9723 33.9741 33.9750 33.9800 33.9850 33.9900 33.9950 34.0000 34.0038 34.0100 34.0200 34.0300 34.0400
33.7300 33.7350 33.7400 33.7420 33.7445 33.7500 33.7577 33.7580 33.7600 33.7604 33.7605 33.7624 33.7650 33.7700 33.7753 33.7840 33.7900 33.7950 33.8200 33.9300 33.9750 33.9878 34.0000 34.0250 34.0600 34.1000 34.2100 34.4600 34.4900 34.5400 34.5600 34.8600 |
(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) |
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(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) |
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(ii) Exercising
Product name, e.g. call option | Number of securities | Exercise price per unit (Note 4) |
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+ bought by counterparty at exercise price
(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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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.
Is a Supplemental Form 38.5(b) attached? (Note 8) YES
Date of disclosure | 03 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 | 108,700 | 34.91 | European | 09/11/15 |
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 | 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 | 295,700 | 36.49 | European | 05/11/15 |
Call option | Purchased | 295,700 | 36.49 | European | 05/11/15 |
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 | 295,700 | 36.49 | European | 05/11/15 |
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 | 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 | 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 | 16,354+ | 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 | 16,354+ | 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 | 16,354+ | 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 | 05/04/2016 |
+ 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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