TIDMPFZ
RNS Number : 6939G
J.P. Morgan Securities LLC
23 November 2015
Ap27
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 J.P. Morgan Securities
trader LLC.
======================== ======================
Company dealt in Pfizer Inc
======================== ======================
Class of relevant Common Stock
security to which
the dealings being
disclosed relate
(Note 1)
======================== ======================
Date of dealing 20 November 2015
======================== ======================
2. INTERESTS AND SHORT POSITIONS
(a) Interests and short positions (following dealing) in the
class of relevant security dealt in (Note 2)
Class of relevant Long Short
security:
=========================== ================= ===================
Common Stock Number (%) Number (%)
=========================== ========= ====== =========== ======
5,251,990 4,108,861
(1) Relevant securities 0.09 0.07
=========================== ================= ===================
(2) Derivatives (other 1,239,408 2,496,887
than options) 0.02 0.04
=========================== ================= ===================
(3) Options and agreements 9.437.270 6,709,300
to purchase/sell 0.15 0.11
=========================== ================= ===================
14,555,643 13,315,048
Total 0.26 0.22
=========================== ================= ===================
(b) Interests and short positions in relevant securities of the
company, other than the class dealt in (Note 2)
Class of relevant Long Short
security:
========================== =================== =====================
Number (%) Number (%)
========================== ========= ====== =========== ======
(1) Relevant securities
========================== =================== =====================
(2) Derivatives (other
than options)
========================== =================== =====================
(3) Options and agreements
to purchase/sell
========================== =================== =====================
Total
========================== =================== =====================
Ap28
3. DEALINGS (Note 3)
(a) Purchases and sales
Purchases/ sales Number of relevant securities Price per unit (USD)
----------------- ------------------------------ ---------------------
Purchases 1,000,000 32.0000
400 32.1150
400 32.1200
1,900 32.1247
200 32.1300
600 32.1400
5,100 32.1450
3,500 32.1464
2,400 32.1500
1,600 32.1525
1,300 32.1550
1,952 32.1596
2,900 32.1600
2,900 32.1638
800 32.1650
1,700 32.1700
1,428 32.1738
4,900 32.1750
136,003 32.1800
3,200 32.1850
272 32.1868
1,100 32.1900
2,100 32.1925
3,300 32.1950
2,800 32.2000
100 32.2025
300 32.2050
200 32.2100
1,200 32.2650
500 32.2680
3,200 32.2700
17,331 32.2796
400 32.2800
2,700 32.2850
6,550 32.2871
5,558 32.2879
1,300 32.2885
36,778 32.2900
9,423 32.2926
12,148 32.2937
500 32.2940
13,200 32.2944
3,242 32.2946
9,215 32.2950
10,004 32.2953
4,805 32.2962
19,944 32.2963
14,600 32.2971
15,500 32.2973
27,100 32.3000
10,200 32.3034
304,800 32.3200
3,500 32.4050
56 32.4500
2,338 32.4664
828 32.4715
1,100 32.4732
1,834 32.4751
500 32.4760
400 32.4775
2,800 32.4800
17,600 32.5477
200 32.5500
Sales 500,000 32.0000
101,372 32.1800
6,295 32.2800
3,300 32.2850
3,497 32.2863
16,996 32.2892
4,779 32.2898
53,170 32.2900
3,067 32.2946
4,618 32.2947
2,800 32.2950
6,391 32.2977
1,800 32.2994
175,413 32.3000
1,040 32.3023
1,650 32.3032
9,500 32.3050
600 32.3100
1,182 32.3115
2,800 32.3150
800 32.3162
800 32.3175
200 32.3200
45,332 32.3631
7,775 32.3900
45,461 32.3954
120,900 32.3956
1,000 32.3960
6,900 32.3986
800 32.3988
1,700 32.4000
9,150 32.4030
1,200 32.4033
4,564 32.4048
11,500 32.4050
45,914 32.4104
700 32.4150
1,300 32.4200
2,266 32.4218
289 32.4250
(MORE TO FOLLOW) Dow Jones Newswires
November 24, 2015 02:00 ET (07:00 GMT)
3,849 32.4290
100 32.4300
2,100 32.4375
5,900 32.4600
100 32.4650
4,316 32.4800
800 32.4838
190,000 32.4842
4,730 32.4850
4,200 32.4883
9,244 32.4892
18,394 32.4923
7,332 32.4950
4,000 32.5400
70,944 32.5500
----------------- ------------------------------ ---------------------
(b) Derivatives transactions (other than options transactions)
Product Nature of Number of relevant Price
name, transaction securities per unit
(USD)
e.g. CFD (Note 5) (Note 6) (Note
4)
========== ============= =================== ==========
(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. call purchasing, to which American, paid/received
option varying the option European per unit
etc. relates etc. (Note
(Note 7) 4)
============ ============= =============== ========= =========== ========= ===============
Call Option Purchasing 130,000 34.50 American 11/12/15 0.15
Call Option Purchasing 2,000,000 32.50 American 27/11/15 0.44
Call Option Selling 500,000 32.50 American 27/11/15 0.45
Call Option Selling 250,000 32.50 American 27/11/15 0.46
Call Option Selling 600,000 32.50 American 27/11/15 0.47
Call Option Selling 50,000 33.00 American 11/12/15 0.62
Call Option Selling 130,000 33.00 American 11/12/15 0.68
Call Option Selling 14,700 34.00 American 18/03/15 1.19
Call Option Selling 15,100 33.00 American 18/03/15 1.61
Put Option Purchasing 2,000,000 32.00 American 27/11/15 0.25
Put Option Purchasing 745,000 30.00 American 19/02/15 0.92
Put Option Selling 4,200 32.00 American 27/11/15 0.23
Put Option Selling 500,000 32.00 American 27/11/15 0.25
Put Option Selling 508,100 32.00 American 27/11/15 0.32
Put Option Selling 91,900 32.00 American 27/11/15 0.33
Put Option Selling 500,000 31.00 American 19/02/15 1.23
Put Option Selling 14,500 31.00 American 18/03/16 1.49
Put Option Selling 21,100 32.00 American 18/03/16 1.90
Put Option Selling 600,000 32.00 American 18/03/16 2.07
============ ============= =============== ========= =========== ========= ===============
(ii) Exercising
Product name, Number of securities Exercise price
e.g. call per unit (USD)
option (Note 4)
============== =========================== ====================
Call Option 500,000 32.00
Call Option 1,000,000 32.00
Put Option 1,000,000 33.50
============== =========================== ====================
(d) Other dealings (including transactions in respect of new securities) (Note 3)
Nature of Details Price per
transaction unit
(Note 7) (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 23 November 2015
======================== ===================
Contact name Tung Le
======================== ===================
Telephone number 020 7742 7272
======================== ===================
Name of offeree/offeror Allergan plc
with which connected
======================== ===================
Nature of connection Adviser to Allergan
(Note 9) 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 Written Number Exercise Type, Expiry
name, or purchased of relevant price e.g. American, date
e.g. call securities (Note European
option to which 2)(USD) etc.
the option
or derivative
relates
============== =============== =============== ========= ================ ========
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 363,900 35.00 American 15/01/16
============== =============== =============== ========= ================ ========
Call option Purchased 700 38.00 American 15/01/16
============== =============== =============== ========= ================ ========
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 6,000 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 21/12/15
============== =============== =============== ========= ================ ========
Call option Purchased 383,200 34.71 European 21/12/15
============== =============== =============== ========= ================ ========
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 Written 200,000 33.00 European 16/12/16
============== =============== =============== ========= ================ ========
Call option Written 383,200 34.71 European 21/12/15
============== =============== =============== ========= ================ ========
(MORE TO FOLLOW) Dow Jones Newswires
November 24, 2015 02:00 ET (07:00 GMT)
Put option Purchased 30,000 35.00 American 20/01/17
============== =============== =============== ========= ================ ========
Put option Purchased 20,000 35.00 American 20/01/17
============== =============== =============== ========= ================ ========
Put option Purchased 4,300 30.00 American 15/01/16
============== =============== =============== ========= ================ ========
Put option Purchased 2,800 28.00 American 15/01/16
============== =============== =============== ========= ================ ========
Put option Purchased 300 32.00 American 15/01/16
============== =============== =============== ========= ================ ========
Put option Purchased 150,000 30.00 American 16/09/16
============== =============== =============== ========= ================ ========
Put option Purchased 100,000 36.00 American 18/03/16
============== =============== =============== ========= ================ ========
Put option Purchased 32,900 32.00 American 15/01/16
============== =============== =============== ========= ================ ========
Put option Written 9,200 33.00 American 19/02/16
============== =============== =============== ========= ================ ========
Put option Written 19,100 31.00 American 19/02/16
============== =============== =============== ========= ================ ========
Put option Written 5,300 23.00 American 15/01/16
============== =============== =============== ========= ================ ========
Put option Written 100,000 30.00 American 15/01/16
============== =============== =============== ========= ================ ========
Put option Written 5,600 25.00 American 15/01/16
============== =============== =============== ========= ================ ========
Put option Written 250,000 28.00 American 15/01/16
============== =============== =============== ========= ================ ========
Put Option Written 500,000 33.00 American 18/03/16
============== =============== =============== ========= ================ ========
Put Option Purchased 200,000 33.00 European 16/12/16
============== =============== =============== ========= ================ ========
Put Option Written 117,900 35.00 American 17/06/16
============== =============== =============== ========= ================ ========
Put Option Written 62,400 35.00 American 17/06/16
============== =============== =============== ========= ================ ========
Put Option Written 71,300 35.00 American 17/06/16
============== =============== =============== ========= ================ ========
Put Option Written 646,800 35.00 American 17/06/16
============== =============== =============== ========= ================ ========
Put Option Written 154,500 35.00 American 17/06/16
============== =============== =============== ========= ================ ========
Put Option Written 308,100 35.00 American 17/06/16
============== =============== =============== ========= ================ ========
Put Option Written 139,000 35.00 American 17/06/16
============== =============== =============== ========= ================ ========
Put Option Written 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 14,874
Accumulator Purchased + 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 14,874
Accumulator Written + 29.12 N/A 12/09/16
============== =============== =============== ========= ================ ========
Leveraged
Accumulator Written 9,000+ 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 14,874
Accumulator Written + 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 05/04/16
============== =============== =============== ========= ================ ========
Equity
Link Note Purchased 31,133 32.12 N/A 15/12/15
============== =============== =============== ========= ================ ========
Equity
Link Note Written 31,133 32.12 N/A 15/12/15
============== =============== =============== ========= ================ ========
Equity
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