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13 Nov 2015 07:00
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AMENDMENT FORMĀ 8.3
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IRISHĀ TAKEOVERĀ PANEL
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DISCLOSUREĀ UNDERĀ RULEĀ 8.3Ā OFĀ THEĀ IRISHĀ TAKEOVERĀ PANEL ACT,Ā 1997,Ā TAKEOVERĀ RULES,Ā 2013
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DEALINGSĀ BYĀ PERSONSĀ WITHĀ INTERESTSĀ INĀ RELEVANTĀ SECURITIESĀ REPRESENTINGĀ 1%Ā ORĀ MORE
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1. KEYĀ INFORMATION
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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 | 09 November 2015 |
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2. INTERESTSĀ ANDĀ SHORTĀ POSITIONS
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(a) InterestsĀ andĀ shortĀ positionsĀ (followingĀ dealing)Ā inĀ theĀ classĀ ofĀ relevantĀ securityĀ dealtĀ inĀ (NoteĀ 3)
Long | Short | |||||
Number | (%) | Number | (%) | |||
(1) Relevant securities | 99,434,226 1.6109% | 2,788 0.00005% | ||||
(2) Derivatives (other than options) | ||||||
(3) Options and agreements to purchase/sell | 8,300 0.0001% | 2,100 0.00003% | ||||
Total | 99,442,526 1.6110% | 4,888 0.00008% | ||||
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(b) InterestsĀ andĀ shortĀ positionsĀ inĀ relevantĀ securitiesĀ ofĀ theĀ company,Ā otherĀ thanĀ theĀ classĀ dealtĀ inĀ (NoteĀ 3)
Class of relevant security: | Long | Short | ||||
Number | (%) | Number | (%) | |||
(1) Relevant securities | ||||||
Ā (2) Derivatives (other than options) | ||||||
Ā (3) Options and agreements to purchase/sell | ||||||
Total | ||||||
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1. DEALINGSĀ (NoteĀ 4)
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(a) PurchasesĀ andĀ sales
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Ā Purchase/sale | Ā Number of relevant securities | Ā Price per unit (Note 5) |
Sale Purchase Purchase Sale Transfer Out Purchase Sale Purchase Sale Purchase Sale Purchase Transfer Out | 3 3 71,004 59,568 10,000 2,985 105 3,733 3,641 500 3,670 40 333,478 | USD 33.75 USD 33.65 USD 33.61 USD 33.60 N/A USD 33.65 USD 33.62 USD 33.65 USD 33.65 USD 33.65 USD 33.65 USD 33.65 N/A |
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(b) DerivativesĀ transactionsĀ (otherĀ thanĀ optionsĀ transactions)
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Product name, e.g. CFD | Nature of transaction (Note 6) | Number of relevant securities (Note 7) | Price per unit (Note 5) |
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(c) OptionsĀ transactionsĀ inĀ respectĀ ofĀ existingĀ relevantĀ securities
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(i) Writing,Ā selling,Ā purchasingĀ orĀ varying
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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) |
Put Option | Purchased | 4,300 | USD 32 | American | 15 Jan 16 | USD 0.78 |
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(ii) Exercising
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Product name, e.g. call option | Number of securities | Exercise price per unit (Note 5) |
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(d) OtherĀ dealingsĀ (includingĀ transactionsĀ inĀ respectĀ ofĀ newĀ securities)Ā (NoteĀ 4)
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Nature of transaction (Note 8) | Details | Price per unit (if applicable) (Note 5) |
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2. OTHERĀ INFORMATION
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Agreements,Ā arrangementsĀ orĀ understandingsĀ relatingĀ toĀ optionsĀ orĀ derivatives
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FullĀ detailsĀ ofĀ anyĀ agreement,Ā arrangementĀ orĀ understandingĀ betweenĀ theĀ personĀ disclosingĀ andĀ anyĀ otherĀ personĀ relatingĀ toĀ theĀ votingĀ rightsĀ ofĀ anyĀ relevantĀ securitiesĀ underĀ anyĀ optionĀ referredĀ toĀ onĀ thisĀ formĀ orĀ relatingĀ toĀ theĀ votingĀ rightsĀ orĀ futureĀ acquisitionĀ orĀ disposalĀ ofĀ anyĀ relevantĀ securitiesĀ toĀ whichĀ anyĀ derivativeĀ referredĀ toĀ onĀ thisĀ formĀ isĀ referenced.Ā IfĀ none,Ā this shouldĀ beĀ stated.
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IsĀ aĀ SupplementalĀ FormĀ 8Ā attached?Ā (NoteĀ 9) Ā YES
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Date of disclosure | 12 November 2015 |
Contact name | Andrew Weiser |
Telephone number | 516-338-3752 |
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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SUPPLEMENTALĀ FORMĀ 8
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IRISHĀ TAKEOVERĀ PANEL
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DISCLOSUREĀ UNDERĀ RULEĀ 8.1Ā ANDĀ RULEĀ 8.3Ā OFĀ THEĀ IRISHĀ TAKEOVERĀ PANELĀ ACT,Ā 1997,Ā TAKEOVERĀ RULES,Ā 2013
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DETAILSĀ OFĀ OPENĀ POSITIONS
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(ThisĀ formĀ shouldĀ beĀ attachedĀ toĀ FormĀ 8.1(a)Ā &Ā (b)(i),Ā FormĀ 8.1(b)(ii)Ā orĀ FormĀ 8.3,Ā asĀ appropriate)
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OPENĀ POSITIONSĀ (NoteĀ 1)
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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 | Written | 200 | USD 32 | 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 35 | 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 | Written | 100 | USD 33 | American | 18-Dec-15 |
Call Option | Purchased | 100 | USD 37 | American | 18-Dec-15 |
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Notes
1. WhereĀ thereĀ areĀ openĀ optionĀ positionsĀ orĀ openĀ derivativeĀ positionsĀ (exceptĀ forĀ CFDs),Ā fullĀ detailsĀ shouldĀ beĀ given.Ā FullĀ detailsĀ ofĀ anyĀ existingĀ agreementsĀ toĀ purchaseĀ orĀ toĀ sellĀ must alsoĀ beĀ givenĀ onĀ thisĀ form.
2. ForĀ allĀ pricesĀ andĀ otherĀ monetaryĀ amounts,Ā theĀ currencyĀ must beĀ stated.
ForĀ fullĀ detailsĀ ofĀ disclosureĀ requirements,Ā seeĀ RuleĀ 8Ā ofĀ theĀ Rules.Ā IfĀ inĀ doubt,Ā consultĀ theĀ Panel.
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