BkofA Merrill Lynch

Form 8.5 (EPT/NON-RI)

RNS Number : 8302H
Bank of America Merrill Lynch
22 May 2014
 

FORM 8.5 (EPT/NON-RI)

 

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN
EXEMPT 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 whose
relevant 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:

21/05/2014

(e)

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

Yes

 

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 owned
and/or controlled:

5,508,089

0.086%

7,417,810

0.116 %

(2)

Derivatives (other than
options):

100,000

0.00%

0

0 %

(3)

Options and agreements to
purchase/sell:

11,494,500

0.18%

17,669,300

0.277 %

TOTAL:

17,102,589

0.268%

25,087,110

0.393%

 

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

Common - ISIN US7170811035

Purchase

99,302

29.25 USD

Common - ISIN US7170811035

Purchase

400

29.265 USD

Common - ISIN US7170811035

Purchase

1,200

29.27 USD

Common - ISIN US7170811035

Purchase

4,400

29.28 USD

Common - ISIN US7170811035

Purchase

500

29.285 USD

Common - ISIN US7170811035

Purchase

11,348

29.29 USD

Common - ISIN US7170811035

Purchase

200

29.3 USD

Common - ISIN US7170811035

Purchase

900

29.56 USD

Common - ISIN US7170811035

Purchase

28,269

29.57 USD

Common - ISIN US7170811035

Purchase

800

29.574 USD

Common - ISIN US7170811035

Purchase

123

29.59 USD



147442


 

Class of relevant security

Purchase/sale

Number of
securities

Price per unit

Common - ISIN US7170811035

Sale

99,302

29.25 USD

Common - ISIN US7170811035

Sale

900

29.56 USD

Common - ISIN US7170811035

Sale

28,269

29.57 USD

Common - ISIN US7170811035

Sale

123

29.59 USD



128,594


 

(b)

Derivatives transactions (other than options)

Class of
relevant security

Product description
e.g. CFD

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

Number of reference securities

Price per unit

Common - ISIN US7170811035

Swaps

Short

800

29.574 USD

 

(c)

Options transactions in respect of existing securities

(i)

Writing, selling, purchasing or varying

Class
of
relevant security

Product description e.g. call option

Writing, purchasing, selling, varying etc.

Number
of
securities to which option relates

Exercise
price
per unit

Type
e.g. American, European etc.

Expiry date

Option money paid/ received per unit

Common - ISIN US7170811035

Call Option

Writing

400

32 USD

AMERICAN

20/09/2014

0.35 USD

Common - ISIN US7170811035

Call Option

Writing

1,100

29.5 USD

AMERICAN

23/05/2014

0.22 USD

Common - ISIN US7170811035

Call Option

Writing

100

29.5 USD

AMERICAN

23/05/2014

0.21 USD

Common - ISIN US7170811035

Put Option

Purchasing

1,000

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Call Option

Writing

100

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

3,700

32 USD

AMERICAN

20/09/2014

0.35 USD

Common - ISIN US7170811035

Call Option

Writing

700

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

1,100

29.5 USD

AMERICAN

23/05/2014

0.2 USD

Common - ISIN US7170811035

Put Option

Purchasing

1,000

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Call Option

Writing

300

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

600

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

100

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

200

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

200

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

1,100

29.5 USD

AMERICAN

23/05/2014

0.22 USD

Common - ISIN US7170811035

Call Option

Writing

900

29.5 USD

AMERICAN

23/05/2014

0.21 USD

Common - ISIN US7170811035

Call Option

Writing

200

29.5 USD

AMERICAN

23/05/2014

0.21 USD

Common - ISIN US7170811035

Call Option

Writing

1,100

29.5 USD

AMERICAN

23/05/2014

0.21 USD

Common - ISIN US7170811035

Call Option

Writing

1,000

29.5 USD

AMERICAN

23/05/2014

0.22 USD

Common - ISIN US7170811035

Call Option

Writing

1,100

29.5 USD

AMERICAN

23/05/2014

0.2 USD

Common - ISIN US7170811035

Put Option

Purchasing

1,100

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Put Option

Purchasing

100

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Call Option

Writing

100

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

500

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

400

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

100

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

100

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

1,100

29.5 USD

AMERICAN

23/05/2014

0.21 USD

Common - ISIN US7170811035

Call Option

Writing

100

29.5 USD

AMERICAN

23/05/2014

0.21 USD

Common - ISIN US7170811035

Call Option

Writing

100

29.5 USD

AMERICAN

23/05/2014

0.21 USD

Common - ISIN US7170811035

Call Option

Writing

300

29.5 USD

AMERICAN

23/05/2014

0.22 USD

Common - ISIN US7170811035

Call Option

Writing

100

29.5 USD

AMERICAN

23/05/2014

0.21 USD

Common - ISIN US7170811035

Call Option

Writing

2,100

29.5 USD

AMERICAN

23/05/2014

0.2 USD

Common - ISIN US7170811035

Call Option

Writing

1,100

29.5 USD

AMERICAN

23/05/2014

0.21 USD

Common - ISIN US7170811035

Call Option

Writing

100

29.5 USD

AMERICAN

23/05/2014

0.21 USD

Common - ISIN US7170811035

Call Option

Writing

700

29.5 USD

AMERICAN

23/05/2014

0.22 USD

Common - ISIN US7170811035

Call Option

Writing

1,100

29.5 USD

AMERICAN

23/05/2014

0.2 USD

Common - ISIN US7170811035

Call Option

Writing

100

29.5 USD

AMERICAN

23/05/2014

0.21 USD

Common - ISIN US7170811035

Put Option

Purchasing

8,200

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Put Option

Purchasing

7,800

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Put Option

Purchasing

10,600

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Put Option

Purchasing

26,800

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Put Option

Purchasing

4,600

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Call Option

Writing

1,000

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

300

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

400

32 USD

AMERICAN

20/09/2014

0.35 USD

Common - ISIN US7170811035

Call Option

Writing

800

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

100

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

900

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

300

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

3,700

32 USD

AMERICAN

20/09/2014

0.35 USD

Common - ISIN US7170811035

Call Option

Writing

100

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

200

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

400

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

100

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

800

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

100

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

1,400

29.5 USD

AMERICAN

23/05/2014

0.21 USD

Common - ISIN US7170811035

Call Option

Writing

100

29.5 USD

AMERICAN

23/05/2014

0.21 USD

Common - ISIN US7170811035

Call Option

Writing

400

29.5 USD

AMERICAN

23/05/2014

0.21 USD

Common - ISIN US7170811035

Call Option

Writing

1,100

29.5 USD

AMERICAN

23/05/2014

0.22 USD

Common - ISIN US7170811035

Call Option

Writing

11,800

29.5 USD

AMERICAN

23/05/2014

0.22 USD

Common - ISIN US7170811035

Call Option

Writing

200

29.5 USD

AMERICAN

23/05/2014

0.2 USD

Common - ISIN US7170811035

Call Option

Writing

1,000

29.5 USD

AMERICAN

23/05/2014

0.22 USD

Common - ISIN US7170811035

Call Option

Writing

100

29.5 USD

AMERICAN

23/05/2014

0.21 USD

Common - ISIN US7170811035

Call Option

Writing

100

29.5 USD

AMERICAN

23/05/2014

0.22 USD

Common - ISIN US7170811035

Call Option

Writing

100

29.5 USD

AMERICAN

23/05/2014

0.21 USD

Common - ISIN US7170811035

Call Option

Writing

1,500

29.5 USD

AMERICAN

23/05/2014

0.21 USD

Common - ISIN US7170811035

Put Option

Purchasing

1,000

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Put Option

Purchasing

4,700

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Put Option

Purchasing

2,100

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Put Option

Purchasing

2,000

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Put Option

Purchasing

4,700

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Put Option

Purchasing

1,000

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Put Option

Purchasing

1,800

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Put Option

Purchasing

9,400

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Put Option

Purchasing

2,200

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Call Option

Writing

300

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

800

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

200

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

700

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

100

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

100

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

100

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

900

32 USD

AMERICAN

20/09/2014

0.34 USD

Common - ISIN US7170811035

Call Option

Writing

2,500

29.5 USD

AMERICAN

23/05/2014

0.21 USD

Common - ISIN US7170811035

Call Option

Writing

1,300

29.5 USD

AMERICAN

23/05/2014

0.21 USD

Common - ISIN US7170811035

Call Option

Writing

200

29.5 USD

AMERICAN

23/05/2014

0.21 USD

Common - ISIN US7170811035

Call Option

Writing

1,100

29.5 USD

AMERICAN

23/05/2014

0.21 USD

Common - ISIN US7170811035

Call Option

Writing

1,100

29.5 USD

AMERICAN

23/05/2014

0.22 USD

Common - ISIN US7170811035

Call Option

Writing

17,100

29.5 USD

AMERICAN

23/05/2014

0.22 USD

Common - ISIN US7170811035

Call Option

Writing

100

29.5 USD

AMERICAN

23/05/2014

0.22 USD

Common - ISIN US7170811035

Call Option

Writing

700

29.5 USD

AMERICAN

23/05/2014

0.2 USD

Common - ISIN US7170811035

Put Option

Purchasing

2,300

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Put Option

Purchasing

100

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Put Option

Purchasing

700

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Put Option

Purchasing

12,100

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Put Option

Purchasing

2,200

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Put Option

Purchasing

3,900

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Put Option

Purchasing

1,000

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Put Option

Purchasing

1,100

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Put Option

Purchasing

5,500

29 USD

AMERICAN

16/08/2014

0.94 USD

Common - ISIN US7170811035

Put Option

Purchasing

1,000

29 USD

AMERICAN

16/08/2014

0.94 USD

 

(ii)

Exercising

Class of relevant security

Product description
e.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 dealing
e.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?

Yes

 

Date of disclosure:

22/05/2014

Contact name:

Stacy Otieno

Telephone number:

0207 995 1335

 

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information
Service 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.



 

SUPPLEMENTAL FORM 8 (OPEN POSITIONS)
DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO
PURCHASE OR SELL ETC.
Note 5(i) on Rule 8 of the Takeover Code(the "Code")

 

1.

KEY INFORMATION

Identity of the person whose open positions are being disclosed:

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Name of offeror/offeree in relation to whose
relevant securities the disclosure relates:

Pfizer Inc

2.

OPTIONS AND DERIVATIVES

Class of relevant security

Product description
e.g. call
option

Written or purchased

Number of securities to which option or derivative relates

Exercise price per unit

Type
e.g.
American,
European
etc.

Expiry date

Common - ISIN US7170811035

Call Option

Long

81,500

27 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Call Option

Long

11,700

28 USD

AMERICAN

15/01/2016

Common - ISIN US7170811035

Call Option

Long

167,700

29 USD

AMERICAN

21/06/2014

Common - ISIN US7170811035

Call Option

Long

80,000

29.5 USD

AMERICAN

23/05/2014

Common - ISIN US7170811035

Call Option

Long

273,600

30 USD

AMERICAN

16/08/2014

Common - ISIN US7170811035

Call Option

Long

1,729,400

30 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Call Option

Long

24,200

30 USD

AMERICAN

15/01/2016

Common - ISIN US7170811035

Call Option

Long

118,400

31 USD

AMERICAN

21/06/2014

Common - ISIN US7170811035

Call Option

Long

225,400

31 USD

AMERICAN

16/08/2014

Common - ISIN US7170811035

Call Option

Long

7,300

31 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Call Option

Long

590,300

32 USD

AMERICAN

21/06/2014

Common - ISIN US7170811035

Call Option

Long

400,000

32 USD

AMERICAN

19/07/2014

Common - ISIN US7170811035

Call Option

Long

420,700

32 USD

AMERICAN

16/08/2014

Common - ISIN US7170811035

Call Option

Long

848,400

32 USD

AMERICAN

20/12/2014

Common - ISIN US7170811035

Call Option

Long

2,395,900

32 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Call Option

Long

62,400

32 USD

AMERICAN

15/01/2016

Common - ISIN US7170811035

Call Option

Long

315,200

33 USD

AMERICAN

16/08/2014

Common - ISIN US7170811035

Call Option

Long

100,000

33 USD

AMERICAN

20/09/2014

Common - ISIN US7170811035

Call Option

Long

3,200

33 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Call Option

Long

73,500

34 USD

AMERICAN

20/09/2014

Common - ISIN US7170811035

Call Option

Long

3,000

34 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Call Option

Long

389,500

35 USD

AMERICAN

20/12/2014

Common - ISIN US7170811035

Call Option

Long

2,085,200

35 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Call Option

Long

26,600

35 USD

AMERICAN

15/01/2016

Common - ISIN US7170811035

Call Option

Long

2,700

36 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Call Option

Long

2,500

37 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Call Option

Long

24,300

37 USD

AMERICAN

15/01/2016

Common - ISIN US7170811035

Call Option

Long

2,400

38 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Call Option

Long

2,300

39 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Call Option

Long

197,500

40 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Call Option

Long

26,600

40 USD

AMERICAN

15/01/2016

Common - ISIN US7170811035

Call Option

Long

17,300

42 USD

AMERICAN

15/01/2016

Common - ISIN US7170811035

Call Option

Long

18,000

45 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Call Option

Long

10,900

45 USD

AMERICAN

15/01/2016

Common - ISIN US7170811035

Call Option

Long

57

16065 USD


20/06/2014

Common - ISIN US7170811035

Call Option

Long

76

16270 USD


20/06/2014

Common - ISIN US7170811035

Call Option

Long

851

16335 USD


20/06/2014

Common - ISIN US7170811035

Put Option

Long

15,800

13 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Put Option

Long

140,700

15 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Put Option

Long

96,400

18 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Put Option

Long

374,700

20 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Put Option

Long

40,600

20 USD

AMERICAN

15/01/2016

Common - ISIN US7170811035

Put Option

Long

422,400

22 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Put Option

Long

54,000

23 USD

AMERICAN

15/01/2016

Common - ISIN US7170811035

Put Option

Long

9,100

24 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Put Option

Long

380,600

25 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Put Option

Long

51,900

25 USD

AMERICAN

15/01/2016

Common - ISIN US7170811035

Put Option

Long

5,100

26 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Put Option

Long

112,600

27 USD

AMERICAN

21/06/2014

Common - ISIN US7170811035

Put Option

Long

740,500

27 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Put Option

Long

75,000

28 USD

AMERICAN

20/09/2014

Common - ISIN US7170811035

Put Option

Long

4,400

28 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Put Option

Long

36,100

28 USD

AMERICAN

15/01/2016

Common - ISIN US7170811035

Put Option

Long

356,800

29 USD

AMERICAN

16/08/2014

Common - ISIN US7170811035

Put Option

Long

4,100

29 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Put Option

Long

95,600

30 USD

AMERICAN

19/07/2014

Common - ISIN US7170811035

Put Option

Long

401,200

30 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Put Option

Long

58,000

30 USD

AMERICAN

15/01/2016

Common - ISIN US7170811035

Put Option

Long

296,600

31 USD

AMERICAN

21/06/2014

Common - ISIN US7170811035

Put Option

Long

40,600

31 USD

AMERICAN

20/09/2014

Common - ISIN US7170811035

Put Option

Long

145,000

32 USD

AMERICAN

16/08/2014

Common - ISIN US7170811035

Put Option

Long

110,000

32 USD

AMERICAN

20/09/2014

Common - ISIN US7170811035

Put Option

Long

831,200

32 USD

AMERICAN

20/12/2014

Common - ISIN US7170811035

Put Option

Long

1,081,100

32 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Put Option

Long

141,000

32 USD

AMERICAN

15/01/2016

Common - ISIN US7170811035

Put Option

Long

360,000

35 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Put Option

Long

44

16065 USD


20/06/2014

Common - ISIN US7170811035

Put Option

Long

851

16335 USD


20/06/2014

Common - ISIN US7170811035

Call Option

Short

310,700

30 USD

AMERICAN

21/06/2014

Common - ISIN US7170811035

Call Option

Short

10,527,500

32 USD

AMERICAN

20/09/2014

Common - ISIN US7170811035

Call Option

Short

250,000

35 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Call Option

Short

100,000

35 USD

AMERICAN

15/01/2016

Common - ISIN US7170811035

Call Option

Short

44

16065 USD


20/06/2014

Common - ISIN US7170811035

Call Option

Short

851

16335 USD


20/06/2014

Common - ISIN US7170811035

Put Option

Short

428,800

30 USD

AMERICAN

21/06/2014

Common - ISIN US7170811035

Put Option

Short

3,700

31 USD

AMERICAN

17/01/2015

Common - ISIN US7170811035

Put Option

Short

324,400

32 USD

AMERICAN

21/06/2014

Common - ISIN US7170811035

Put Option

Short

57

16065 USD


20/06/2014

Common - ISIN US7170811035

Put Option

Short

76

16270 USD


20/06/2014

Common - ISIN US7170811035

Put Option

Short

851

16335 USD


20/06/2014

3.

AGREEMENTS TO PURCHASE OR SELL ETC.

 

Full details should be given so that the nature of the interest or position can be fully
understood:

None

 

It is not necessary to provide details on a Supplemental Form(Open Positions) with regard to
contracts for differences ("CFDs") or spread bets.

The currency of all prices and other monetary amounts should be stated.

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.

 

 

FORM 8.5 (EPT/NON-RI)

 

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN
EXEMPT 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 whose
relevant securities this form relates:
Use a separate form for each offeror/offeree

AstraZeneca PLC

(c)

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

Pfizer Inc

(d)

Date position held/dealing undertaken:

21/05/2014

(e)

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

Yes

 

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 - GB0009895292/ ADR - US0463531089


Interests

Short Positions

Number

%

Number

%

(1)

Relevant securities owned
and/or controlled:

13,830

0.001%

15,989

0.001 %

(2)

Derivatives (other than
options):

0

0%

0

0%

(3)

Options and agreements to
purchase/sell:

189,200

0.015%

116,700

0.009 %

TOTAL:

203,030

0.016%

132,689

0.011%

 

 

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

ADR - ISIN US0463531089

Purchase

400

74.03 USD

ADR - ISIN US0463531089

Purchase

800

74.035 USD

ADR - ISIN US0463531089

Purchase

1,300

74.04 USD

ADR - ISIN US0463531089

Purchase

600

74.05 USD

ADR - ISIN US0463531089

Purchase

100

74.06 USD

ADR - ISIN US0463531089

Purchase

100

74.1 USD

ADR - ISIN US0463531089

Purchase

200

74.11 USD

ADR - ISIN US0463531089

Purchase

100

74.115 USD

ADR - ISIN US0463531089

Purchase

800

74.12 USD

ADR - ISIN US0463531089

Purchase

100

74.125 USD

ADR - ISIN US0463531089

Purchase

136

74.13 USD

ADR - ISIN US0463531089

Purchase

600

74.14 USD

ADR - ISIN US0463531089

Purchase

100

74.145 USD



5336


 

Class of relevant security

Purchase/sale

Number of
securities

Price per unit

ADR - ISIN US0463531089

Sale

3,100

73.83 USD

ADR - ISIN US0463531089

Sale

100

73.845 USD

ADR - ISIN US0463531089

Sale

100

73.865 USD

ADR - ISIN US0463531089

Sale

100

73.885 USD

ADR - ISIN US0463531089

Sale

400

73.93 USD

ADR - ISIN US0463531089

Sale

1,100

73.94 USD

ADR - ISIN US0463531089

Sale

34

74.1



4934


 

(b)

Derivatives transactions (other than options)

Class of
relevant security

Product description
e.g. CFD

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

Number of reference securities

Price per unit

N/A

N/A

N/A

N/A

N/A

 

(c)

Options transactions in respect of existing securities

(i)

Writing, selling, purchasing or varying

Class
of
relevant security

Product description e.g. call option

Writing, purchasing, selling, varying etc.

Number
of
securities to which option relates

Exercise
price
per unit

Type
e.g. American, European etc.

Expiry date

Option money paid/ received per unit

ADR - ISIN US0463531089

Call Option

Purchasing

3,900

75 USD

AMERICAN

21/06/2014

3.1 USD

ADR - ISIN US0463531089

Call Option

Purchasing

8,000

75 USD

AMERICAN

21/06/2014

3.1 USD

ADR - ISIN US0463531089

Call Option

Purchasing

900

75 USD

AMERICAN

21/06/2014

3.1 USD

ADR - ISIN US0463531089

Call Option

Purchasing

1,000

75 USD

AMERICAN

21/06/2014

3.1 USD

ADR - ISIN US0463531089

Call Option

Purchasing

2,000

75 USD

AMERICAN

21/06/2014

3.1 USD

ADR - ISIN US0463531089

Call Option

Purchasing

4,000

75 USD

AMERICAN

21/06/2014

3.1 USD

ADR - ISIN US0463531089

Call Option

Purchasing

1,500

75 USD

AMERICAN

21/06/2014

3.1 USD

ADR - ISIN US0463531089

Call Option

Purchasing

300

75 USD

AMERICAN

21/06/2014

3.1 USD

ADR - ISIN US0463531089

Call Option

Purchasing

1,400

75 USD

AMERICAN

21/06/2014

3.1 USD

ADR - ISIN US0463531089

Call Option

Purchasing

500

75 USD

AMERICAN

21/06/2014

3.1 USD

ADR - ISIN US0463531089

Call Option

Purchasing

3,700

75 USD

AMERICAN

21/06/2014

3.1 USD

ADR - ISIN US0463531089

Call Option

Purchasing

12,800

75 USD

AMERICAN

21/06/2014

3.1 USD

 

(ii)

Exercising

Class of relevant security

Product description
e.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 dealing
e.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?

Yes

 

Date of disclosure:

22/05/2014

Contact name:

Stacy Otieno

Telephone number:

0207 995 1335

 

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information
Service 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.



 

SUPPLEMENTAL FORM 8 (OPEN POSITIONS)
DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO
PURCHASE OR SELL ETC.
Note 5(i) on Rule 8 of the Takeover Code(the "Code")

 

1.

KEY INFORMATION

Identity of the person whose open positions are being disclosed:

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Name of offeror/offeree in relation to whose
relevant securities the disclosure relates:

AstraZeneca PLC

2.

OPTIONS AND DERIVATIVES

Class of relevant security

Product description
e.g. call
option

Written or purchased

Number of securities to which option or derivative relates

Exercise price per unit

Type
e.g.
American,
European
etc.

Expiry date

ADR - ISIN US0463531089

Call Option

Long

70,200

70 USD

AMERICAN

19/07/2014

ADR - ISIN US0463531089

Call Option

Long

6,000

75 USD

AMERICAN

19/07/2014

ADR - ISIN US0463531089

Call Option

Long

62,000

80 USD

AMERICAN

21/06/2014

ADR - ISIN US0463531089

Put Option

Long

1,000

55 USD

AMERICAN

19/10/2013

ADR - ISIN US0463531089

Put Option

Long

39,700

75 USD

AMERICAN

21/06/2014

ADR - ISIN US0463531089

Call Option

Short

55,000

67.5 USD

AMERICAN

21/06/2014

ADR - ISIN US0463531089

Call Option

Short

22,000

75 USD

AMERICAN

21/06/2014

ADR - ISIN US0463531089

Put Option

Short

51,000

75 USD

AMERICAN

19/07/2014

 

 

3.

 

AGREEMENTS TO PURCHASE OR SELL ETC.

 

Full details should be given so that the nature of the interest or position can be fully
understood:

None

 

It is not necessary to provide details on a Supplemental Form(Open Positions) with regard to
contracts for differences ("CFDs") or spread bets.

The currency of all prices and other monetary amounts should be stated.
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.

 

 


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