Bank of New York Mellon Corp. (The) Form 8.3 - Pfizer Inc (5084G)
November 20 2015 - 10:34AM
UK Regulatory
TIDMPFZ
RNS Number : 5084G
Bank of New York Mellon Corp. (The)
20 November 2015
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 The Bank of New York
(Note 1) 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 US$0.05 common stock
security to which
the dealings being
disclosed relate
(Note 2)
====================== ===========================
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 (%)
============================= ========= ====== =========== ======
99,245,197
(1) Relevant securities 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%
============================= ================= ===================
99,253,497
Total 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 Long Short
security:
============================ =================== =====================
Number (%) Number (%)
============================ ========= ====== =========== ======
(1) Relevant securities
============================ =================== =====================
(2) Derivatives (other
than options)
============================ =================== =====================
(3) Options and agreements
to purchase/sell
============================ =================== =====================
Total
============================ =================== =====================
Ap20
1. DEALINGS (Note 4)
(a) Purchases and sales
Purchase/sale Number of relevant Price per
securities unit (Note
5)
=============== =========================== ================
Sale 147 USD 32.23
Sale 4 USD 32.82
Purchase 1 USD 32.29
Purchase 309 USD 32.17
Sale 32 USD 32.1625
Transfer 35 N/A
Out 14,409 USD 32.29
Sale 1,234 USD 32.14
Purchase 966 USD 32.29
Sale 146,523 USD 32.39
Purchase 151,595 USD 32.36
Sale 6,234 USD 32.29
Sale
=============== =========================== ================
(b) Derivatives transactions (other than options transactions)
Product Nature of Number of relevant Price
name, transaction securities per unit
e.g. CFD (Note 6) (Note 7) (Note
5)
========= ============ ================== ==========
(c) Options transactions in respect of existing relevant securities
(i) Writing, selling, purchasing or varying
Product Writing, Number Exercise Type, Expiry Option
name, selling, of securities price e.g. date money
e.g. purchasing, to which American, paid/received
call varying the option European per unit
option etc. relates etc. (Note
(Note 5)
7)
======= ============ ============== ======== ========== ====== ==============
Call Purchase 200 USD American 15 Jan USD 1.64
Option 32 2016
======= ============ ============== ======== ========== ====== ==============
Call Purchase 100 USD American 20 Jan USD 2.22
Option 35 2017
======= ============ ============== ======== ========== ====== ==============
(ii) Exercising
Product name, Number of securities Exercise price
e.g. call per unit (Note
option 5)
============= =========================== ===================
(d) Other dealings (including transactions in respect of new securities) (Note 4)
Nature of Details Price per
transaction unit
(Note 8) (if applicable)
(Note 5)
============ ============== ====================
Ap21
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)
============================ ================
Ap23
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 Written, Number Exercise Type, Expiry
name, or purchased of relevant price e.g. date
securities (Note American,
to which 2) European
the etc.
option
or derivative
relates
============== =============== ========= =========== ==========
e.g.
call
option
=========== ============== =============== ========= =========== ==========
Call Written 100 USD American 15-Jan-16
Option 28
Call Purchased 100 USD American 15-Jan-16
Option 31
Call Purchased 1,700 USD American 15-Jan-16
Option 36
Call Purchased 1,000 USD American 15-Jan-16
Option 38
Call Purchased 600 USD American 15-Jan-16
Option 39
Put Option Written 100 USD American 15-Jan-16
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