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Form 8.5 (EPT/NON-RI) Amendment

9th May 2014 18:08

RNS Number : 7824G
Bank of America Merrill Lynch
09 May 2014
 



Amendment FORM 8.5 (EPT/NON-RI)

 

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY ANEXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY ("RI") STATUS(OR WHERE RI STATUS IS NOT APPLICABLE)Rule 8.5 of the Takeover Code (the "Code")

 

1.

KEY INFORMATION

(a)

Name of exempt principal trader:

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

(b)

Name of offeror/offeree in relation to whoserelevant securities this form relates:Use a separate form for each offeror/offeree

Pfizer Inc

(c)

Name of the party to the offer with which exempt principal trader is connected:

Pfizer Inc

(d)

Date position held/dealing undertaken:

02/05/2014

(e)

Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of anyother party to this offer?

No

 

2.

POSITIONS OF THE EXEMPT PRINCIPAL TRADER

(a)

Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)

Class of relevant security:

Common - US7170811035

Interests

Short Positions

Number

%

Number

%

(1)

Relevant securities ownedand/or controlled:

6,483,831

0.10%

7,371,317

0.12 %

(2)

Derivatives (other thanoptions):

0

0%

0

0%

(3)

Options and agreements topurchase/sell:

11,664,800

0.18%

17,244,300

0.27 %

TOTAL:

18,148,631

0.28%

24,615,617

0.39%

 

All interests and all short positions should be disclosed.Details of any open derivative or option positions, or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

 

(b)

Rights to subscribe for new securities (including directors' and other executive options)

 

Class of relevant security in relation to which subscription right exists:

N/A

Details, including nature of the rights concerned and relevant percentages:

N/A

 

If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

 

3.

DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER

(a)

Purchases and sales

Class of relevant security

Purchase/sale

Number of securities

Price per unit USD

Common - US7170811035

Purchase

1200

30.725

Common - US7170811035

Purchase

16800

30.73

Common - US7170811035

Purchase

300

30.735

Common - US7170811035

Purchase

1700

30.74

Common - US7170811035

Purchase

479540

30.75

Common - US7170811035

Purchase

1758

31.15

Total

501,298

 

Class of relevant security

Purchase/sale

Number of securities

Price per unit USD

Common - US7170811035

Sale

408,818

30.75

Common - US7170811035

Sale

300,000

30.768

Common - US7170811035

Sale

26

30.8381

Common - US7170811035

Sale

1758

31.15

Common - US7170811035

Total

710602

 

(b)

Derivatives transactions (other than options)

Class of relevant security

Product descriptione.g. CFD

Nature of dealinge.g. opening/closing a long/short position, increasing/reducing a long/short position

Number of reference securities

Price per unit

Common - ISIN US7170811035

Swaps

Long

145,441

30.739 USD

Common - ISIN US7170811035

Swaps

Long

114,559

30.739 USD

Common - ISIN US7170811035

Swaps

Long

26

30.8351 USD

Common - ISIN US7170811035

Swaps

Long

12,881

30.7388 USD

Common - ISIN US7170811035

Swaps

Long

27,119

30.7388 USD

 

(c)

Options transactions in respect of existing securities

(i)

Writing, selling, purchasing or varying

Class ofrelevant security

Product description e.g. call option

Writing, purchasing, selling, varying etc.

Number ofsecurities to which option relates

Exercise priceper unit USD

Typee.g. American, European etc.

Expiry date

Option money paid/ received per unit

Common ISIN US7170811035

Call Option

Purchasing

9000

31

AMERICAN

21/06/2014

0.810

Common ISIN US7170811035

Call Option

Purchasing

2000

31

AMERICAN

21/06/2014

0.850

Common ISIN US7170811035

Call Option

Purchasing

200

31

AMERICAN

21/06/2014

0.850

Common ISIN US7170811035

Call Option

Purchasing

100

31

AMERICAN

21/06/2014

0.810

Common ISIN US7170811035

Call Option

Purchasing

100

31

AMERICAN

21/06/2014

0.830

Common ISIN US7170811035

Call Option

Purchasing

100

31

AMERICAN

21/06/2014

0.810

Common ISIN US7170811035

Call Option

Purchasing

700

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

500

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

500

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

100

31

AMERICAN

21/06/2014

0.830

Common ISIN US7170811035

Call Option

Purchasing

600

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

100

31

AMERICAN

21/06/2014

0.810

Common ISIN US7170811035

Call Option

Purchasing

1500

31

AMERICAN

21/06/2014

0.830

Common ISIN US7170811035

Call Option

Purchasing

800

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

1700

31

AMERICAN

21/06/2014

0.810

Common ISIN US7170811035

Call Option

Purchasing

4300

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

4300

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

100

31

AMERICAN

21/06/2014

0.830

Common ISIN US7170811035

Call Option

Purchasing

1000

31

AMERICAN

21/06/2014

0.850

Common ISIN US7170811035

Call Option

Purchasing

1700

31

AMERICAN

21/06/2014

0.850

Common ISIN US7170811035

Call Option

Purchasing

1600

31

AMERICAN

21/06/2014

0.850

Common ISIN US7170811035

Call Option

Purchasing

1100

31

AMERICAN

21/06/2014

0.850

Common ISIN US7170811035

Call Option

Purchasing

10000

31

AMERICAN

21/06/2014

0.810

Common ISIN US7170811035

Call Option

Purchasing

1000

31

AMERICAN

21/06/2014

0.830

Common ISIN US7170811035

Call Option

Purchasing

100

31

AMERICAN

21/06/2014

0.830

Common ISIN US7170811035

Call Option

Purchasing

500

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

5500

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

200

31

AMERICAN

21/06/2014

0.850

Common ISIN US7170811035

Call Option

Purchasing

1900

31

AMERICAN

21/06/2014

0.830

Common ISIN US7170811035

Call Option

Purchasing

1600

31

AMERICAN

21/06/2014

0.830

Common ISIN US7170811035

Call Option

Purchasing

500

31

AMERICAN

21/06/2014

0.830

Common ISIN US7170811035

Call Option

Purchasing

100

31

AMERICAN

21/06/2014

0.850

Common ISIN US7170811035

Call Option

Purchasing

100

31

AMERICAN

21/06/2014

0.830

Common ISIN US7170811035

Call Option

Purchasing

800

31

AMERICAN

21/06/2014

0.850

Common ISIN US7170811035

Call Option

Purchasing

2100

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

500

31

AMERICAN

21/06/2014

0.830

Common ISIN US7170811035

Call Option

Purchasing

100

31

AMERICAN

21/06/2014

0.810

Common ISIN US7170811035

Call Option

Purchasing

500

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

1100

31

AMERICAN

21/06/2014

0.850

Common ISIN US7170811035

Call Option

Purchasing

100

31

AMERICAN

21/06/2014

0.850

Common ISIN US7170811035

Call Option

Purchasing

100

31

AMERICAN

21/06/2014

0.850

Common ISIN US7170811035

Call Option

Purchasing

2000

31

AMERICAN

21/06/2014

0.830

Common ISIN US7170811035

Call Option

Purchasing

600

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

600

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

100

31

AMERICAN

21/06/2014

0.850

Common ISIN US7170811035

Call Option

Purchasing

200

31

AMERICAN

21/06/2014

0.810

Common ISIN US7170811035

Call Option

Purchasing

100

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

1100

31

AMERICAN

21/06/2014

0.850

Common ISIN US7170811035

Call Option

Purchasing

1100

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

5800

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

1100

31

AMERICAN

21/06/2014

0.830

Common ISIN US7170811035

Call Option

Purchasing

100

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

100

31

AMERICAN

21/06/2014

0.830

Common ISIN US7170811035

Call Option

Purchasing

5500

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

1100

31

AMERICAN

21/06/2014

0.830

Common ISIN US7170811035

Call Option

Purchasing

500

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

1100

31

AMERICAN

21/06/2014

0.850

Common ISIN US7170811035

Call Option

Purchasing

1000

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

10000

31

AMERICAN

21/06/2014

0.810

Common ISIN US7170811035

Call Option

Purchasing

200

31

AMERICAN

21/06/2014

0.810

Common ISIN US7170811035

Call Option

Purchasing

9900

31

AMERICAN

21/06/2014

0.810

Common ISIN US7170811035

Call Option

Purchasing

1600

31

AMERICAN

21/06/2014

0.850

Common ISIN US7170811035

Call Option

Purchasing

500

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

1100

31

AMERICAN

21/06/2014

0.810

Common ISIN US7170811035

Call Option

Purchasing

100

31

AMERICAN

21/06/2014

0.810

Common ISIN US7170811035

Call Option

Purchasing

1500

31

AMERICAN

21/06/2014

0.850

Common ISIN US7170811035

Call Option

Purchasing

1000

31

AMERICAN

21/06/2014

0.850

Common ISIN US7170811035

Call Option

Purchasing

3200

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

1100

31

AMERICAN

21/06/2014

0.810

Common ISIN US7170811035

Call Option

Purchasing

800

31

AMERICAN

21/06/2014

0.850

Common ISIN US7170811035

Call Option

Purchasing

100

31

AMERICAN

21/06/2014

0.830

Common ISIN US7170811035

Call Option

Purchasing

6200

31

AMERICAN

21/06/2014

0.840

Common ISIN US7170811035

Call Option

Purchasing

100

31

AMERICAN

21/06/2014

0.830

Common ISIN US7170811035

Call Option

Purchasing

12800

32

AMERICAN

17/01/2015

1.43

Common ISIN US7170811035

Call Option

Purchasing

23200

32

AMERICAN

17/01/2015

1.43

Common ISIN US7170811035

Call Option

Purchasing

1800

32

AMERICAN

17/01/2015

1.43

Common ISIN US7170811035

Call Option

Purchasing

15200

32

AMERICAN

17/01/2015

1.43

Common ISIN US7170811035

Call Option

Purchasing

1100

32

AMERICAN

17/01/2015

1.43

Common ISIN US7170811035

Call Option

Purchasing

14800

32

AMERICAN

17/01/2015

1.43

Common ISIN US7170811035

Call Option

Purchasing

100

32

AMERICAN

17/01/2015

1.42

Common ISIN US7170811035

Call Option

Purchasing

11000

32

AMERICAN

17/01/2015

1.43

Common ISIN US7170811035

Call Option

Purchasing

10400

32

AMERICAN

17/01/2015

1.43

Common ISIN US7170811035

Call Option

Purchasing

1100

32

AMERICAN

17/01/2015

1.43

Common ISIN US7170811035

Call Option

Purchasing

100

32

AMERICAN

17/01/2015

1.43

Common ISIN US7170811035

Call Option

Purchasing

8400

32

AMERICAN

17/01/2015

1.43

Common ISIN US7170811035

Put Option

Purchasing

1100

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

7600

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

5200

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

3400

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

4600

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

1800

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

2000

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

2100

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

8600

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

2300

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

25600

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

4000

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

5600

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

10900

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

16900

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

4200

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

1800

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

6400

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

700

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

2700

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

2000

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

4400

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

3600

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

1100

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

2100

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

4900

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

6800

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

2100

31

AMERICAN

21/06/2014

1.27

Common ISIN US7170811035

Put Option

Purchasing

2400

31

AMERICAN

21/06/2014

1.27

 

 (ii)

 

Exercising

 

Class of relevant security

Product descriptione.g. call option

Number of securities

Exercise Price per unit

N/A

N/A

N/A

N/A

 

(d)

Other dealings (including subscribing for new securities)

Class of relevant security

Nature of dealinge.g. subscription, conversion

Details

Price per unit (if applicable)

N/A

N/A

N/A

N/A

 

The currency of all prices and other monetary amounts should be stated.Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(b), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.

 

4.

OTHER INFORMATION

 

(a)

Indemnity and other dealing arrangements

 

Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the exempt principal trader making the disclosure and any party to the offer or any person acting in concert with a party to the offer: If there are no such agreements, arrangements or understandings, state "none"

None

 

(b)

Agreements, arrangements or understandings relating to options or derivatives

 

Details of any agreement, arrangement or understanding, formal or informal, between the exempt principal trader making the disclosure and any other person relating to: (i) the voting rights of any relevant securities under any option; or (ii) The voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced: If there are no such agreements, arrangements or understandings, state "none"

None

 

(c)

Attachments

 

Is a Supplemental Form 8 (Open Positions) attached?

No

 

Date of disclosure:

09/05/2014

Contact name:

Stacy Otieno

Telephone number:

0207 995 1335

 

Public disclosures under Rule 8 of the Code must be made to a Regulatory InformationService and must also be emailed to the Takeover Panel at [email protected].The Panel's Market Surveillance Unit is available for consultation in relation to the Code's dealing disclosure requirements on +44 (0)20 7638 0129.The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.

 

This information is provided by RNS
The company news service from the London Stock Exchange
 
END
 
 
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