3rd Nov 2015 11:09
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 | 29 October 2015 |
2. INTERESTS AND SHORT POSITIONS
(a) Interests and short positions (following dealing) in the class of relevant security dealt in (Note 2)
Common stock | Long | Short | ||||
Number | (%) | Number | (%) | |||
(1) Relevant securities | 4,887,422 0.08 | 3,191,054 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 | 9,388,059 0.15 | 7,513,134 0.12
| ||||
(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 | 2,091 42 100,000 15,131 1,513 13,048 600 9,800 3,100 1,972 6,100 6,381 1,200 1,995 2,500 1,200 14,603 800 5,497 47,473 30 293,802 2,220 2,900 5,600 6,000 4,500 7,339 3,300 1,161 5,000 200 2,194 205 10,000 4,400 20,160 15,500 8,641 21,494 5,100 127,806 200
300 12,700 567 27,700 3,900 3,800 3,000 6,900 300 700 500 100 2,000 300 400 1,694 23,665 8 6,571 6,246 2,520 2,300 100 3,354 9,900 2,050 1,500 100 1,000 1,800 1,200 3,600 28,239 2,058 300 4,400 2,000 200 7,600 1,100 400 3,400 400 400 2,010 2,051 100 100 5,100 800 3,700 100 1,100 6,716 200 81,926 100 4,049 6,550 800 2,208 1,700 200 2,900 1,300 500 100 200 1,500 3,038 5,129 300 4,920 13,780 5,800 7,032 1,700 1,700 900 2,200 600 763 200 14,633 900 1,300 6,365 1,200 3,000 6,520 15,814 300 4,654 900 14,100 800 200 500 800 2,400 700 19 2,500 3,400 1,700 200 2,400 500 3,566 500 100 200 300 2,002 1,401 200 500 2,500 2,500 160,070 5,000 12,500 15,111 150 | 34.2500 34.4400 34.4800 34.6750 34.6763 34.6800 34.6850 34.6900 34.7050 34.7064 34.7100 34.7124 34.7250 34.7300 34.7400 34.7450 34.7459 34.7500 34.7600 34.7700 34.7900 34.8500 34.8600 35.3000 35.3400 35.7500 35.8167 35.8500 35.8891 35.9500 35.9700 36.0350 36.1000 36.1100 36.1500 36.1600 36.2500 36.2850 36.3000 36.3500 36.3600 36.4000 36.4400
34.2750 34.2755 34.2800 34.2850 34.2908 34.2955 34.3000 34.3050 34.3100 34.3371 34.3500 34.3600 34.3780 34.3800 34.3900 34.4100 34.4238 34.4300 34.4305 34.4472 34.4505 34.4665 34.4700 34.4709 34.4750 34.4800 34.4813 34.4850 34.4870 34.4875 34.4888 34.4900 34.4906 34.4917 34.4967 34.4991 34.5000 34.5050 34.5100 34.5200 34.5250 34.5253 34.5300 34.5325 34.5350 34.5829 34.6000 34.6200 34.6300 34.6350 34.6500 34.6550 34.6600 34.6690 34.6700 34.6740 34.6800 34.6900 34.7065 34.7075 34.7083 34.7100 34.7150 34.7200 34.7300 34.7400 34.7450 34.7550 34.7600 34.7610 34.7636 34.7650 34.7700 34.7773 34.7800 34.7814 34.7900 34.8068 34.8100 34.8286 34.8317 34.8399 34.8450 34.8453 34.8500 34.8502 34.8513 34.8550 34.8560 34.8600 34.8601 34.8625 34.8627 34.8644 34.8650 34.8700 34.8725 35.3400 35.3450 35.3500 35.4250 35.4400 35.4536 35.4753 35.4756 35.4800 35.4815 35.4900 35.4916 35.4950 35.5000 35.5050 35.5600 35.5719 35.5799 35.6800 36.0400 36.1700 36.2000 36.2112 36.2400 36.2500 36.2825 36.3200 |
(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) |
+ 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) |
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 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.
Related Shares:
PFZ.L