Bank of New York Mellon Corp. (The) Form 8.3 - Pfizer Inc (3534G)
19 Novembro 2015 - 1:32PM
UK Regulatory
TIDMPFZ
RNS Number : 3534G
Bank of New York Mellon Corp. (The)
19 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 18 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 (%)
============================= ========= ====== =========== ======
99,265,480
(1) Relevant securities 1.6081% 2,568 0.00004%
============================= ================= ===================
(2) Derivatives
(other than options)
============================= ================= ===================
(3) Options and
agreements to purchase/sell 8,300 0.0001% 2,000 0.00003%
============================= ================= ===================
99,273,780
Total 1.6083% 4,568 0.00007%
============================= ================= ===================
(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)
=============== =========================== ================
Purchase 550 USD 33.3327
Purchase 3 USD 33.31
Purchase 73,045 USD 33.19
Sale 72,814 USD 33.25
Purchase 425 USD 33.31
Sale 10,154 USD 33.31
Sale 739 USD 33.31
Purchase 22,414 USD 33.04
Sale 20,269 USD 33.30
Sale 27,006 USD 33.31
Purchase 283 USD 33.27
Sale 8 USD 33.2625
Transfer 302 N/A
Out
=============== =========================== ================
(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 100 USD American 18 Dec USD 1.13
Option 33 2015
======= ============ ============== ======== ========== ====== ==============
(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 19 November 2015
============================ ================
Contact name Andrew Weiser
============================ ================
Telephone number 516-338-3752
============================ ================
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 of relevant price e.g. date
purchased 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 Written 200 USD American 15-Jan-16
Option 32
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
28
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