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4 Nov 2015 12:03
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 | 03 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 | 5,251,185 0.09 | 3,898,952 0.06 | ||||
(2) Derivatives (other than options) | 1,099,067 0.02 | 2,469,914 0.04 | ||||
(3) Options and agreements to purchase/sell | 6,401,570 0.10 | 3,383,300 0.05 | ||||
Total | 12,751,822 0.21 | 9,752,166 0.15
| ||||
(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 | 34.8016 34.8054 34.8200 34.8245 34.8281 34.8300 34.8312 34.8356 34.8638 34.9700
34.7850 34.7875 34.7900 34.7950 34.8000 34.8016 34.8050 34.8054 34.8075 34.8100 34.8150 34.8190 34.8197 34.8200 34.8207 34.8234 34.8243 34.8245 34.8250 34.8258 34.8265 34.8271 34.8281 34.8300 34.8305 34.8312 34.8324 34.8334 34.8338 34.8345 34.8346 34.8350 34.8356 34.8365 34.8390 34.8396 34.8399 34.8401 34.8419 34.8424 34.8430 34.8450 34.8485 34.8500 34.8549 34.8573 34.8582 34.8583 34.8592 34.8600 34.8617 34.8632 34.8650 34.8675 34.8700 34.8750 34.8754 34.8767 34.8800 34.8850 34.8900 34.8925 34.8950 34.9000 34.9005 34.9022 34.9040 34.9050 34.9100 34.9150 34.9200 34.9233 34.9250 34.9253 34.9300 34.9331 34.9333 34.9334 34.9350 34.9360 34.9396 34.9400 34.9450 34.9470 34.9473 34.9500 34.9550 34.9556 34.9577 34.9592 34.9600 34.9607 34.9608 34.9626 34.9640 34.9650 34.9663 34.9694 34.9700 34.9725 34.9750 34.9763 34.9800 34.9850 34.9852 34.9864 34.9880 34.9900 34.9933 34.9989 35.0000 35.0028 35.0050 35.0200 | 165,297 37,519 105 13,400 11,376 100 18,624 29,081 2,400 82,708
900 100 1,100 3,500 3,209 165,297 125,510 37,519 100 1,700 800 12,400 3,221 100 7,142 604 3,034 13,400 700 1,700 3,400 1,599 11,376 7,450 8,893 18,624 11,700 12,500 7,400 20,200 4,600 12,490 29,081 3,123 2,000 7,750 1,638 42,996 3,095 28,829 500 100,000 1,300 400 56,235 4,100 2,034 4,900 8,983 2,700 4,601 5,967 2,100 2,200 7,040 800 424 600 2,050 1,400 900 100 300 600 3,536 2,700 1,000 400 864 1,000 500 300 100 3,166 8,300 297 600 2,900 1,100 500 4,969 900 3,400 431 1,100 15,000 9,700 900 1,100 4,300 2,649 3,500 236 381 1,385 5,300 800 1,800 27,367 1,200 1,000 1,600 3,266 4,300 415 700 1,000 800 300 900 200 900 200 100 |
(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) |
Call Option Put Option Put Option | Purchasing Purchasing Selling | 1,500,000 1,500,000 1,500,000 | 35.00 34.50 35.00 | American American American | 13/11/15 13/11/15 17/06/16 | 0.30 0.48 2.94 |
(ii) Exercising
Product name, e.g. call option | Number of securities | Exercise price per unit (Note 4) |
+ 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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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 | 04 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 | 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 | 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 | 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 | 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 position (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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