Form 8.3 - Pfizer Inc ...
17 Novembro 2015 - 1:32PM
UK Regulatory
/**/
RNS Number : 0518G
Bank of New York Mellon Corp. (The)
17 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 (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
|
16 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
|
|
(%)
|
|
(1) Relevant securities
|
99,317,734
1.6090%
|
2,554
0.00004%
|
|
(2) Derivatives (other
than
options)
|
|
|
|
(3) Options and agreements to
purchase/sell
|
8,300
0.0001%
|
2,100
0.00003%
|
|
Total
|
99,326,034
1.6091%
|
4,654
0.0001%
|
|
|
|
|
|
|
|
(b)
Interests and short positions in relevant securities of the company, other than the class dealt in (Note 3)
|
Class of relevant
security:
|
Long
|
Short
|
|
|
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
securities
|
Price per unit (Note
5)
|
|
Sale
Sale
Purchase
Purchase
Sale
Purchase
Sale
Purchase
Purchase
Sale
Transfer In
|
31
7
7
64,917
63,629
933
1,085
218
346
308
216
|
USD 32.98
USD 33.35
USD 33.16
USD 33.14
USD 33.05
USD 33.24
USD 33.16
USD 33.16
USD 32.94
USD 32.93
N/A
|
(b)
Derivatives transactions (other than options transactions)
|
Product name,
e.g. CFD
|
Nature of transaction
(Note 6)
|
Number of relevant
securities
(Note 7)
|
Price per unit
(Note 5)
|
|
|
|
|
|
(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 5)
|
|
|
|
|
|
|
|
|
(ii)
Exercising
|
Product name,
e.g. call
option
|
Number of securities
|
Exercise price per unit
(Note 5)
|
|
|
|
|
(d)
Other dealings (including transactions in respect of new securities) (Note 4)
|
Nature of transaction
(Note 8)
|
Details
|
Price per unit
(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
|
17 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 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
|
Notes
1. Where there are open option positions or open derivative positions (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 Rule 8 of the Rules. If in doubt, consult the Panel.
This information is provided by RNS
The company news service from the
London Stock Exchange
END
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