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20 Nov 2015 15:34
Ap19
FORM 8.3
IRISH TAKEOVER PANEL
DISCLOSURE UNDER RULE 8.3 OF THE IRISH TAKEOVER PANEL ACT, 1997, TAKEOVER RULES, 2013
DEALINGS BY PERSONS WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
1. KEY INFORMATION
Name of person dealing (Note 1) | The Bank of New York Mellon Corporation and its subsidiaries, 1. The Bank of New York Mellon, 2. The Dreyfus Corporation, 3. Mellon Capital Management Corporation, 4. The Boston Company Asset Management LLC, 5. Newton Investment Management Limited, 6. BNY Mellon Capital Markets, LLC, 7. BNY Mellon Service Kapitalanlage-Gesellschaft mbH, 8. The Bank of New York Mellon Trust Company, National Association, 9. BNY Mellon Trust Company (Cayman) Limited, 10. BNY Mellon Trust of Delaware, 11. BNY Mellon, National Association, 12. Lockwood Advisors, Inc., 13. Pershing LLC. |
Company dealt in | Pfizer Inc |
Class of relevant security to which the dealings being disclosed relate (Note 2) | US$0.05 common stock |
Date of dealing | 19 November 2015 |
2. INTERESTS AND SHORT POSITIONS
(a) Interests and short positions (following dealing) in the class of relevant security dealt in (Note 3)
Long | Short | |||||
Number | (%) | Number | (%) | |||
(1) Relevant securities | 99,245,197 1.6078% | 7,640 0.00012% | ||||
(2) Derivatives (other than options) | ||||||
(3) Options and agreements to purchase/sell | 8,300 0.0001% | 1,700 0.00003% | ||||
Total | 99,253,497 1.6080% | 9,340 0.00015% | ||||
(b) Interests and short positions in relevant securities of the company, other than the class dealt in (Note 3)
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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1. DEALINGS (Note 4)
(a) Purchases and sales
Purchase/sale |
Number of relevant securities |
Price per unit (Note 5) |
Sale Sale Purchase Purchase Sale Transfer Out Sale Purchase Sale Purchase Sale Sale
| 147 4 1 309 32 35 14,409 1,234 966 146,523 151,595 6,234
| USD 32.23 USD 32.82 USD 32.29 USD 32.17 USD 32.1625 N/A USD 32.29 USD 32.14 USD 32.29 USD 32.39 USD 32.36 USD 32.29
|
(b) Derivatives transactions (other than options transactions)
Product name, e.g. CFD | Nature of transaction (Note 6) | Number of relevant securities (Note 7) | Price per unit (Note 5) |
(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 5) |
Call Option | Purchase | 200 | USD 32 | American | 15 Jan 2016 | USD 1.64 |
Call Option | Purchase | 100 | USD 35 | American | 20 Jan 2017 | USD 2.22 |
(ii) Exercising
Product name, e.g. call option | Number of securities | Exercise price per unit (Note 5) |
(d) Other dealings (including transactions in respect of new securities) (Note 4)
Nature of transaction (Note 8) | Details | Price per unit (if applicable) (Note 5) |
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2. 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 8 attached? (Note 9) YES
Date of disclosure | 20 November 2015 |
Contact name | Ivan Arias |
Telephone number | 516-338-3370 |
If a connected EFM, name of offeree/offeror with which connected | |
If a connected EFM, state nature of connection (Note 10) |
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SUPPLEMENTAL FORM 8
IRISH TAKEOVER PANEL
DISCLOSURE UNDER RULE 8.1 AND RULE 8.3 OF THE IRISH TAKEOVER PANEL ACT, 1997, TAKEOVER RULES, 2013
DETAILS OF OPEN POSITIONS
(This form should be attached to Form 8.1(a) & (b)(i), Form 8.1(b)(ii) or Form 8.3, as appropriate)
OPEN POSITIONS (Note 1)
Product name, | Written, or purchased | Number of relevant securities to which the option or derivative relates | Exercise price (Note 2) | Type, e.g. American, European etc. | Expiry date |
e.g. call option | |||||
Call Option | Written | 100 | USD 28 | American | 15-Jan-16 |
Call Option | Purchased | 100 | USD 31 | American | 15-Jan-16 |
Call Option | Purchased | 1,700 | USD 36 | American | 15-Jan-16 |
Call Option | Purchased | 1,000 | USD 38 | American | 15-Jan-16 |
Call Option | Purchased | 600 | USD 39 | American | 15-Jan-16 |
Put Option | Written | 100 | USD 28 | American | 15-Jan-16 |
Call Option | Written | 200 | USD 32 | American | 20-Jan-17 |
Call Option | Written | 100 | USD 40 | American | 20-Jan-17 |
Call Option | Written | 1,300 | USD 34 | American | 18-Mar-16 |
Call Option | Purchased | 600 | USD 35 | American | 18-Mar-16 |
Call Option | Purchased | 100 | USD 36 | American | 18-Mar-16 |
Put Option | Written | 200 | USD 32 | American | 20-Nov-15 |
Call Option | Purchased | 3,800 | USD 32 | American | 18-Dec-15 |
Call Option | Purchased | 100 | USD 37 | American | 18-Dec-15 |
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 Rule 8 of the Rules. If in doubt, consult the Panel.
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