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Home My WebLink About01-05914 iT" _,,"c_ "., .,- ." .,. 'I . . Barllara Swnple.Sullivan. Esquire Supreme Court #32317 549 Bridge Street New Cwnberiand, PA 17070 (717)774-1445 SHERRY LURIE 1835 RED SPRUCE LANE MECHANICSBURG, PA 17055 Plaintiff IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA NO. ~h59J'-/ ~ 2001 v. Civil Action - (X) Law ( ) Equity PFIZER, INC. 235 East 4200 Street New York, New York 10017-5755 Defendant PRAECIPE FOR WRIT OF SUMMONS TO THE PROTHONOTARY OF SAID COURT: Please issue a Writ of Summons in the above-captioned action. Writ of Summons shall be issued and forwarded to (X) Attorney ).Sheriff/~",' " , Barbara Sumole-Sullivan. Esauire / ~ . ~ignature of Attorney Supreme Court I.D. No. 32317 Dated: /0- /2-- 0 I X - 549 Bridoe Street New Cumberland. PA 17070 Name/Address/Telephone No. of Attorney WRIT OF SUMMONS TO THE ABOVE NAMED DEFENDANT(S) : YOU ARE NOTIFIED THAT THE ABOVE-NAMED PLAINTIFF HAS COMMENCED AN ACTION AGAINST YOU. Date: I D -- ) J - () I [ ] Check here if reverse is issued for additional I~- -~ or _ """",.,. "~ ~" - "~ ~ '''~ ~, ". j ->"1'1'-*~1 __ l'Iit""'iw."P' ~ --- :J t ---t=- > . , s:; tf ~ ~ ~ -C: ~ S ~ Jf ~ 3 '"1Z- ~ , CP ~ ..-- - f v e <::> ~~; ... -o(~D 0 ';Pt. " ,.'1\ ..... ~...1, ' i:':~ ze .; ;T< en,.::" r~. ."" ., ~". ':::.' ~r.~ :<.Ci ",. ;e:R ::<: Sf:';' z .' 5:"~ '?? ~ -, .-J ~ -< ,C~~....__ _c__...__ ...,- ~, I" , ' ,--.~< .,-v\..,o.~ , ! '--~"'! '~^ ."...,~ ',4,.. ,.." "1" --. , ./' ~~.~ , 'U - III .. 6 z " 0 0( " > ::i < .J Z :Jt;~ 0 01 ~ ..J ~ WD::>- I! .JIiiUl ~ lI..,Z :E'tO z e III ~ :JO:ll. :I 01 m . 0 0( ~ z 0: ~ < 0( ..J III 0: It III ~ ::E j U ~ Z _:1.. 'i" " :'1""-"",""";''''''-'';'" ~'; ~ ~ Barbara Sumple-SuUivan, Esquire Supreme Court #323 17 549 Bridge Street New Cumberland, PA 17070 (717) 774-1445 sllliRRY LURIE 1835 RED SPRUCE LANE MECHANlCSBURG, PA 17055 Plaintiff IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYL VANIA NO. 01-5914 Civil 2001 --- v. eml Action - (X) Law ( ) Equity PFIZER, INC. 235 EAST 42nd STREET NEW YORK, NEW YORK 10017-5755, Defendant AFFIDAVIT OF SERVICE I, Barbara Sumple-Sullivan, Esquire, do hereby certify that I served a true copy of the Praecipe for Writ of Summons and P1aintifrs First Request for Production of Documents in the above- captioned matter by United States Mail, Restricted Delivery, Certified No. 7000 0600 0028 3892 2908, Return Receipt Requested, on the above-named Defendant, Dr~ Henry A. McKinnell, Chief Executive Officer for Pfizer, Inc., on October 19, 2001 at Defendant's last known address: 235 East 42nd Street, New York, New York 10017-5755. The original receipt and return receipt card are attached hereto as Exhibit "A". I hereby certify that the facts set forth above are true and correct to the best of my knowledge, information and belief. I understand that any false statements made herein are subject to penalties of 18 Pa, C.S.A. 94904 relating to unsworn falsification to authorities. Dated: October f2i:L, 2001 / I ~arbara Sumple-Sullivan, Esquire 549 Bridge Street New Cumberland, PA 17070-1931 (717)-774-1445 Supreme Court ID #32317 Attorney for Plaintiff n,,>(' _,_<__,,,!,,_ ." - r r ~~ -.....- ~ . . I "'r~""'''''''-~~ ~'"N,' ,~ q'~' ,"', ., ,,,,' ... CI Ir ru ru -.. . Ir 12.10 Cl CertIflodF.. ", Cl Return ReceIpt Fee H.50 (Endorsement Required) ru RealrJcted Delivery Fee CI 13.20 CI (EndoxUment Required) CI 'rbtaI Po.u~ l Fees 0 ..a CI 0 0 CI ... ,,~ .Ir:'~ 1_1.2;,"" i iIiiO CilinPillhl .... 4 W Re8lI\cI8d DelIvery Is deoIred. . MII,your namo ancIllld_ an tho",...... , .118. we con IllIum the C8Rl to you. . ..,., this C8Rl to the baCk oIlhe msIlplece. ., on the _ W space permits. ;'__10: Dl'. IfemY A. McKirmell <2def Executive Officer "".,.-., Inc. , 235 East 42nd stteet .. York, New York 10017-5755 3._l'iPo . CertIft8d Moll C A8Ql8tlnd Clnsured Moll 4. C Express Moll C RIlum/loClelpllcrt""" r C c.o.o. Foe CA80nl C 11 C_ CNo 2, '--jCopyfnlm-1obtI) 7000 '0600 0028 3892 2908 "~3811,JuI!'l_ Dan.k_1IIoIilll 1....oglll_ EXHIBIT II A II -".~~~- "'1-' ~ ~ ~ ,,""-- ,- , ,'> -. ",,,,., .>-" "' , '--;:_l%,~}"'~~ .=,~ , 8 0 ~ ;:p,$: rr- 0 '1! 1,.-;7", n z:b .... .iT;:!) ~~ N -,;1=;:; Ul :00 Q' ~ " ;'"r'jQ ::J: ---., >~ c..> S?p, ~ .. 0' '0 ~ -0 -oIl__..... ~,,,,.... .._......~""'"'"....-".....". ,,'.. ,,-.r,.,,-,._'."'-" 1-- : ~ ',--C"~'.",>-, .,;,' "" ,"" '^ '1'1H~[~"., '"I ~-~---~-~ ~- , WOLF, BLOCK, SCHORR and SOLIS-COHEN LLP By: Caroline M. Austin, Esquire Identification No.: 75228 1650 Arch Street - 2200 Floor Philadelphia, PA 19103 (215) 977-2336 Sherry Lurie Court of Common Pleas Cumberland County Plaintiff v. Pfizer, Inc. Civil Action No. 01-5914-CV-2001 Defendant ENTRY OF APPEARANCE TO THE PROTHONOTARY: Please enter my appearance for Defendant Pfizer, Inc. in the above-captioned matter. ~~ Caroline M. Austin, Esquire Wolt; Block, Schorr and Solis-Cohen LLP 1650 Arch Street - 22nd Floor Philadelphia, PA 19103 Attorney for Defendant DSB:805858.lIoooo01-102007 ~r I'~ - t"Lr'~-' "0'11" .",c~, ",',- ,~" ~ ~ , CERTIFICATE OF,SERVICE 1, Caroline M. Austin, hereby certify that on November 1, 2001, I caused a true and correct copy of the foregoing Entry of Appearance to be served via first class mail, postage pre- paid to the following: Barbara Sumple-Sullivan, Esquire 549 Bridge Street New Cumberland, PA 17070 ~~ Caroline M. Austin, Esquire DSB:80S8S8.IIOOOOOI-I02007 '>>';~"C'~')~' " ~ - ~~ -'''-'~I <,r" "" -, , ... ~ c:> 0 -n :;;:: ;0: _n.! -oec1 c:> -.-:;i~ rnn'l ~- ~, Z::r:' I ",\: ~ Zt:;- ",Cjl:l ~.o;; ~:~~ 0' ,. , . :.~~ ;;~ w t<CJ ~ ~ ~c {-:::l~n - _....c.' :.;;0 - Oln c: ,,-I ~ :;:> ~ -< ~ r t,", f f I' I:., ;, , ~! I~<,,'.:" ,"' -, .~~ , ':~ I.",.:",.:'. ~: ;,: ct' " ":,, f",' ~.., (ii" '... +:;, f~.;' ~ ~~. .' .........- J..~ H'o>j1!\111\)l'f~I""" ~ ~- ,.. 1-- " """"""'" -- "I '''"', """-""j"H""" .-'_:;,,^_<,_, k'" ,~ , BIlIbIlIll Sumple-SuIlivao, Esquire Supreme Court #32317 549 Bridge Street New Cumberland, PA 17070 (717) 774-1445 SHERRY LURIE 1835 RED SPRUCE LANE MECHANICSBURG, PA 17055 Plaintiff IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA NO. 01-5914 Civil 2001 v. PFIZER, INC. 235 EAST 42nd STREET NEW YORK, NEW YORK 10017-5755, Defendant NOTICE You have been sued in court. If you wish to defend against the claims set forth in the following pages, you must take action within twenty (20) days after this complaint and notice are served, by entering a written appearance personally or by attorney and filing in writing with the court your defenses or objections to the claims set forth against you. You are warned that if you fail to do so the case may proceed without you and a judgment msy be entered against you by the court without further notice for any money claimed in the complaint or for any other claim or relief requested by the plaintiff. You may lose money or property or other rights important to you. YOU SHOULD TAKE TIDS PAPER TO YOUR LAWYER AT ONCE. IF YOU DO NOT HAVE A LAWYER OR CANNOT AFFORD ONE, GO TO OR TELEPHONE THE OFFICE SET FORTH BELOW TO FIND OUT WHERE YOU CAN GET LEGAL HELP. CUMBERLAND COUNTY BAR ASSOCIATION 2 LIBERTY AVENUE Carlisle, Pennsylvania 17013 (717) 249-3166 "--""!:r,?J~ .',"- .." ~I - -, ~ :,,''''<N'''''''''U'''~="''~'~' ,~ J Barbara Sumple-Sullivan, Esquire Supreme Court #323 17 549 Bridge Street New Cumberland, PAl 7070 (717) 774- 1445 sHERRY LURIE 1835 RED SPRUCE LANE MECHANICSBURG, PA 17055 Plaintiff IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA NO. 01-5914 Civil 2001 v. PFIZER, INC. 235 EAST 42nd STREET NEW YORK, NEW YORK 10017-5755, Defendant C.OMPT,AINT AND NOW comes Plaintiff, Sherry L. Lurie, by and through her attorney, Barbara Sumple-Sullivan, Esquire, and hereby asserts the following claims in the alternative against Defendant, PfIzer, Inc.: Facts l\ppllcable To All Counts 1. Plaintiff, Sherry L. Lurie, is an adult individual residing at 1835 Red Spruce Lane, Mechanicsburg, Cumberland County, Pennsylvania, 17050-8509. 2, Defendant, Pfizer, Inc. ("Pfizer"), is a corporation incorporated in Delaware which maintains a principal place of business at 235 East 42nd Street, New York, New York, 10017-5755, and a Pennsylvania address at c/o CT Corporate Systems, 1515 Market Street, Suite 1210, Philadelphia, Pennsylvania, 19102. "WJ:;""'_~~"^.,.,,, ,__, "-r-'" " - ~ ~~ .} . 3. Pfizer regularly transacts and conducts its business in Pennsylvania, including in Cumberland County. 4. Plaintiffbecame employed by Pfizer in 1978, and remained a dedicated, productive employee until an uncertain date in late 2000/early 2001 when her employment was terminated by Pfizer as part of a reduction in force arising from a corporate acquisition. 5, During her twenty-two plus (22+) years of service to Pfizer, Plaintiff functioned in a sales capacity, eventually rising to a sales position known as a "Premier Team Leader". 6. During her twenty-two plus (22+) years of service to Pfizer, Plaintiff worked diligently, faithfully, productively and with distinction, and through her efforts, conferred substantial benefits on Pfizer. 7. As a Pfizer employee, Plaintiff received compensation in the form ofa salary, certain fringe benefits not at issue herein, and stock option grants under Pfizer's Stock and Incentive 'Plan, which are at issue herein. 8. As ofDetember 31, 2000, Plaintiff was vested in the following stock options grants which entitled her to purchase a stated number of shares of Pfizer stock at a stated option price: a) Gr,ant Number 0370, with a GrantDate of August 17, 1992 and Termination Date of August 16,2002, for One Thousand Five Hundred (1,500) shares at -2- "p:i.m.'~"'~o' """",,'" . "]"'''''''''..,. ,-, " ,,;,,"''''''^ -, ," "'~ '- , .J . an option price of Six Dollars and Seventy-Five Cents ($6.75) (the "1992 Option"). b) Grant Number 0423, with a Grant Date of August 25, 1995 and Termination Date of August 24,2004, for One Hundred Ninety-Two (192) shares at an option price ofFive Dollars and Seventy-One Cents ($5.71) (the "1994 Option"). c) Grant Number 0600, with a Grant Date of August 22, 1996 and Termination Date of August 21,2006, for Nine Hundred Forty-Two (942) shares at an option price of Twelve Dollars and Forty-Two Cents ($12.42) (the "1996 Option''). . (The 1992 Option, 1994 Option and 1996 Option are referred to collectively at times herein as the "Disputed Stock Options"). 9. In addition, Plaintiff had vested rights in a 1998 Option and non-vested rights in a 1999 Option, n~ither of which is at issue herein, 10. The Disputed Options were fully earned by Plaintiff for the services she performed on behalf of and for PfIzer as a sales representative. 11. Prior to December 31, 2000, Plaintiff had also received prior stock option grants from PfIzer and had consistently exercised these prior stock options before their expiration dates. 12. On each occasion prior to December 31,2000, when one of Plaintiff's stock option grants was approaching its expiration date, Plaintiff received several written notices from or on behalf of Pfizer advising her that a stock option grant wou1d shortly expire. thereby -3- '--'/'f"~)j;l!'I~!?l~,_,_ .- -..-. - -1" - .- ;' - I providing notice to Plaintiff and ensuring that the stock option would be exercised before its expiration. 13. The provision of written advance notices by or on behalf of Pfizer described in the preceding paragraph was relied upon by Plaintiff and become part of the regular course of dealing between Plaintiff and Pfizer with respect to Plaintiffs stock option grants, including with respect to the Disputed Options. 14. Up until December 31, 2001, Plaintiff had regularly and routinely exercised all of her stock option grants on a timely basis. 15. In mid-to-late 2000, Plaintiff received notice from Pfizer that her position was being terminated due to "organizational restructuring" associated with Pfizer's acquisition of another drug company, Warner-Lambert. 16. Pfizer's "organizational restructuring" was a new, unique and extraordinary event incident to a major corporate acquisition, and was not part of any employee termination procedure contemplated or normally practiced by Pfizer. 17. As a result of Pfizer's termination of Plaintiff's position during its "organizational restructuring", Plaintiff underwent an "exit process" with Pfizer during which Plaintiff received erroneous, confusing and incomplete information from Pfizer regarding her separation benefits, including the status and expiration dates of the Disputed Options. -4- '''f'~l~ _"-'"_'"^",,'~ , > r-"'- - ;"'~ , '~')"ilj;.t,,,,,,,,.,,.,,~,, _' .. . 18. As part of the "exit process" and as part of the agreed upon terms of Plaintiffs separation agreement from Pfizer, Plaintiff was advised that she would have ninety (90) days after her termiriation to exercise the Disputed Options, 19. The ninety (90) day post-termination period represented to Plaintiff was, in fact, the option period also available to employees ofWamer-Lamberl, the company acquired by Pfizer that led to the "organizational restructuring." 20. As part of the "exit process" and as part of the agreed-upon tenns of Plaintiff's separation agreemen:t from Pfizer, Pfizer agreed to allow Plaintiff ninety (90) days after her termination to exercise the Disputed Options, thereby creating, in the alternative, either a new contract obligation, or an amendment of existing contract obligations, or an agreement to waive any requirement that the Disputed Options be exercised before Plaintiffs termination date, 21. As a result of the information provided to Plaintiff, Plaintiff reasonably believed she had ninety (90) days following her termination date in which to exercise the Disputed , Options. ' 22. Pfizer has now asserted to Plaintiff that the Disputed Options all expired on her "Termination Date," and that there was no subsequent allowable exercise period, resulting in a substantial windfall to Pfizer. -5- '~~"~'I' "'~'-,,, 'I' ;,"''''''~'o,;--&''''- -,_ "~~, ,'~. ~", 23. The "Termination Date" has been asserted by Pfizer at various times to be either January 1,2001, January 10, 2001 or February 12, 2001. 24. In October, 200 I, Plaintiff received from or on behalf of Pfizer, an account statement that reflected that the Disputed Options were forfeited on January 23,2001, then were reinstated on February 8, 2001, then forfeited again on February 12,2001. (See Exhibit "A" attached hereto). 25. Pfizer itself cannot state consistently and with certainty when it deems that Plaintiff reached her "Termination Date," and thus relinquished the right to exercise the Disputed Options, or on what other dates the Disputed Options may have allegedly been forfeited. 26. Plaintiff stood ready, willing and able to exercise the Disputed Options at any time in late 2000 or early 2001, if she had been advised that such exercise was necessary. 27. The Disputed Options represented a considerable value to Plaintiff, and there is no reason why she would not have exercised the Disputed Options if she had known they had to be exercised. 28. In January, 2001 Plaintiff received a "Status Notice, as of December 31, 2000" of her stock option grants under "The Pfizer Stock and Incentive Plan." (See Exhibit "B" attached hereto). .6. -- -'f'~ 1;] ,,~ "~,',' ,.! ,,'~_ T , '''-' T' 1" ,," - ',,7,- ,"'"' ,~ ~- ,- , ' 29. The Status Notice as of December 31, 2000, received by Plaintiff in January, 2001, supposedly after her alleged "termination date," showed that the original expiration dates of the Di~uted Options remained in place and were not accelerated to any so-called ''Termination Date." 30. Plaintiffwas never provided with any of the normal, written notices historically provided by or on behalf of Pfizer and relied upon by Plaintiff that any of the Disputed Options were set to expire. 31. In March, 2001, Plaintiff telephoned Pfizer to inquire whether the infonnation in the Status Notice was correct, that is, that the original expiration dates remained in place and that the Disputed Options did not have to be exercised within ninety (90) days of termination, which had been her reasonable belief based upon her "exit process" and separation agreement with Pfizer. 32. Plaintiff was advised for the first time in this phone call that Pfizer considered the Disputed Options to have expired because Plaintiff had not exercised the same before her ''Termination Date," identified for her at this time to have been January 10,2001. 33. Unbeknownst to Plaintiff, at some time during 2000, Pfizer engaged Merrill Lynch as a new service provider for the Pfizer stock option program, to be effective January 1,2001. -7- , ''''f'~!!li?;'""" ,',.,,""...... r -~, . 1~' -' 34. In January, 2001 Plaintiff became aware, after being informed that the Disputed Options had expired, of a Pfizer mailing to other Pfizer employees during the fourth quarter of 2000, advising Pfizer employees that after December 31,2000, the only way to exercise a Pfizer stock option was through a Merrill Lynch brokerage account. (See Exhibit "C" attached hereto). 35. Plaintiff was never sent the Pfizer mailing attached hereto as Exhibit "C." 36. Plaintiff never had a Merrill Lynch brokerage account, never had an opportunity to set up a Merrill Lynch brokerage account, never received the fourth quarter mailing from Pfizer and was kept in the dark by Pfizer concerning this critical information which was supposedly necessary in order to exercise Pfizer stock options. 37. Pfizer has never explained to Plaintiff how she could have exercised the Disputed Options after December 31, 2000 (assuming a January 10, 2001 "Termination Date") when it failed to provide the critical Merrill Lynch information to her. 38. Plaintiff thereafter spent several weeks attempting to resolve with Pfizer management, the Disputed Options (as well as numerous other mistakes by Pfizer relating to Plaintiff's employment separation, including months of effort to receive bonus compensation that was withheld and incorrect withholding from Plaintiff's pay), to no avail. -8- -',cr"';;I'J~L;,~" _ -"'1- ,"" - ">.!:'f~"..?(" ~ 39. On AprilS, 2001, Plaintiff exercised her 1992 Option, 1994 Option and 1996 Option, submitting the appropriate forms and a check in the cumulative amount of Thirty Two Thousand Seven Hundred Eighty-Seven dollars and Eighty Four cents ($32,787.84) representing the total exercise price for all the options (See Exhibit "D" attached hereto), within the ninety (90) day period specified in her exit interview and well within the period specified in the January, 2001 option statement received after her termination date. 40. By letter dated April 13, 2001, Pfizer returned Plaintiffs check to her and advised that the 1992 Option, 1994 Option and 196 Option could not be exercised since they allegedly had expired and could not be reinstated. (Pfizer did, however, express its "regret that you experiendM difficulties during the separation process." (See Exhibit "E" attached hereto).) 41. The increased value of the Pfizer stock over the exercise price, which varies depending on the actual market price of Pfizer stock, is nevertheless in the neighborhood of One Hundred Fifty Thousand Dollars ($150,000.00), and exceeds the amount requiring reference to compulsory arbitration. , . 42. Despite numerous attempts by Plaintiff to seek an amicable resolution with Pfizer throughout the first half of 200 1, Pfizer has steadfasted1y refused to permit Plaintiff to exercise the Disputed Options. -9- .., '..~,,~ '" . --'1'"- .. -. --~ "^, 43. The Disputed Options are unique and make an award of monetary damages, only, difficult or impossible to ascertain. Pfizer stock is publicly traded and its price fluctuates on a daily basis. Because Plaintiff's damages would depend upon calcu1ating the differences between Plaintiff's exercise price and the fluctuating value of Pfizer stock at any given time, and would necessarily include calculation of stock purchase transaction costs and differing tax consequences, the appropriate and necessary remedy herein is to require Pfizer to permit Plaintiff to exercise the Disputed Options. COUNT I BREACH OF CONTRACT 44. Paragraphs 1 through 43 are incorporated by reference as if fully set forth in full. 45. Pfizer's actions as described herein constitute a breach of its contract with Plaintiff. 46. Plaintiff has suffered significant damages as a result of Pfizer's breach. WHEREFORE, Plaintiff requests that this Honorable Court issue a decree and enter judgment against Pfizer, requiring Pfizer to issue to Plaintiff the proper number of shares of Pfizer stock at the stated exercise prices for Plaintiff's 1992 Option, 1994 Option and 1996 Option, as well as award costs and fees, plus such further and additional relief as may be appropriate. .\0- ; '~"'r""T.W>7'jJ ~,. > "Ff ,....~,"'"_~~ "' l rr' .~ ="." ....~~- ~~,...- .. COUNT II BREACH OF PENNSYLVANIA'S WAGE PAYMENT AND COLLECTION I.A W 47. The averments of paragraphs 1 through 46 are hereby incorporated by reference as ifset forth in full. 48. Plaintiff brings this count pursuant to Pennsylvania's Wage Payment and Collection Law, 43 P .S. ~260.1. . 49. The benefits due to Plaintiff pursuant to the exercise of her 1992 Option, 1994 Option and 1996 Option constitute wages under the Wage Payment and Collection Law. 50. Pfizer's refusal to accept Plaintiffs exercise of the Disputed Options and refusal to issue the stock to which Plaintiff is entitled constitutes a violation of the Wage Payment and Collection Law. 1 51. Pfizer's refusal to permit Plaintiff to exercise the Disputed Options is not in good faith. 52, In addition to the wages owed to Plaintiff, Plaintiff is entitled to liquidated damages in an amount equal to twenty-five percent (25%) of the value of the wages pursuant to the Wage Payment and Collection Law. 53. Plaintiff is entitled to an award of attorney's fe~s pursuant to the Wage Payment and Collection Law. -ll- '<'l'f<I'!"~p. J;Q ,," _, ,< , " . ~ " 'l..-1i'-O'<~"~""~~h'^~'-' "--^-'- , WHEREFORE, Plaintiff requests judgment be entered against Pfizer requiring that Pfizer permit Plaintiff to exercise the Disputed Options, plus liquidated damages equal to twenty-five percent (25%) o{the value of the Disputed Options calculated as of the date when Plaintiff attempted to exercise the Disputed Options, plus attorney's fees, costs ofthis suit and interest, plus such further and additional relief appropriate under the circumstances. COUNT ill UNJUST ENRICHMENT 54. The averments of paragraphs 1 through 53 are hereby incorporated by reference as if set forth in full. 55. By virtue of the services rendered by Plaintiff over an employment period of twenty. two (22) years, she conferred a substantial benefit on Pfizer. 56. Pfizer accepted and appreciated the benefits provided by Plaintiff. 57. Acceptance and retention of these benefits by Pfizer without compensating Plaintiff the value to which she is entitled would be inequitable under the circumstances. 58. Plaintiff is entitled to the reliefrequested herein under the doctrine of unjust enrichment. -12- <''''"~--,+,,-,," I' . ~ "" ,? 'l "'F' ;: > WHEREFORE, Plaintiff requests that this Honorable Court issue a decree and enter judgment against Pfizer, requiring Pfizer to issue to Plaintiff the proper number of shares of Pfizer stock at the stated exercise prices for Plaintiff's 1992 Option, 1994 Option and 1996 option, as well as award costs and fees, plus such further and additional relief as may be appropriate. COUNT IV PROMISSORY ESTOPPEL 59. The averments of paragraphs 1 through 58 are hereby incorporated by reference as if set forth in full. 60. By its conununications, conduct and silence, Pfizer misrepresented to Plaintiff, either negligently or intentionally, the expiration date by which she had to exercise the Disputed Options. 61. Plaintiff reasonably relied on the misrepresentation of Pfizer and did not exercise the Disputed Options until AprilS, 2001, beyond the dates now claimed by Pfizer to be the dates by which the Disputed Options had to have been exercised. 62. Plaintiffllad no reason, duty or obligation to question or inquire further regarding the information provided to her by Pfizer regarding the expiration of her stock options. 63. Pfizer is estopped from denying Plaintiff the right to exercise the Disputed Options. -13- i'''~,,,,,, ',,,-,,,>___ "'Pl ,." c_ . ~ , ~<~" ' ~ .~'~.'~" ,,,~~. . 64. Plaintiff is entitled to entry of a judgment requiring Pfizer to pennit Plaintiff to exercise the Disputed Options pursuant to the doctrine of promissory estoppel. WHEREFORE, Plaintiff requests that this Honorable Court issue a decree and enter judgment against Pfizer, requiring Pfizer to issue to Plaintiff the proper number of shares of Pfizer stock at the stated exercise prices for Plaintiffs 1992 Option, 1994 Option and 1996 Option, as well as award costs and fees, plus such further and additional relief as may be appropriate. Respectfully submitted, Dated: March~ 2002 Barbara Sumple-Su11ivan, Esquire 549 Bridge Street New Cumberland, PA 17070-1931 (717)-774-1445 Supreme Court ill #32317 Attorney for Plaintiff -14- ""''f"~,,~_~~,,,__ " _~"." ,lIT, r -........, "1~ ii- ~"~ -',q,;m"""",^ ",_7,,",",,, i ("'- EXHIBIT ~~ " , ~ RAil ~. , .- . '?-> - .- ,,~' '~~ ~ (':' :iJ , ' j n2' 'Jj J U :! iii tl! L () I I I ., .. ... L ... !- ~ ... Cl ggggg 8 -II i:) Cl .. ~ggg g 'ii Cl ~I ~.. i . 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Ijlf ,i n'~ i il Ii i I IIH I L i j i f II 'I if li!1 f I 1'311 did ~ii ',.1 Iii hd i tl : I f I I) I~ it II' : ,n '~,Ii, Iii I !iiIJUIIII.llI I! II If 1111 f IlllJi III" ,... . ~~n I IZ f s' ~ Z ~ i ' Z htt t'ltA' I ~ I ,.UJH1 I IUIII I Iii II jll.ul'l !{hUh II Ilhld I il!HI!!III!!!i II I i III Ii I; llll! I,hhl' it1iliij f: ~ j la. j I ~ .. ... . ... Ii III Is i I.... . .. ..,b l!u~UII; c. g.o ~.~~ c. QZO ~X.N II I iI I Iii I .1 1 5~.i !.. I Ihibu d If II If lif fill I I II .- n 1\11 I! ! i II II II ~~:~ :11 Itlll '. .1. II t " II i ; ,I 11' I I I 'll! .~ I, tt III I(~'~d tlJ I II 4' hIlt Ii I If'illllil lill I]llljllii II i ~ I~. Ii Jit ,In ~ r J It )1 bfJ ih } .. 1')1 Jill) 11 i ~ I IJI 11 j 181.IJI ii' lJUUJ1 fl~ljli ,Ill lilt !! I I I 'II it111j 'I tIll I Ill.! I b1i II I d.Jhn;:~Ht iil f el III I j,:I' i,i I: ji! iii 11 t' ~~l! ~ ~tHj I II Ils!~ I ,~~ ~; & :~~~ tlJ Ii ~~~I ~~ &~& ~~~~ !_~ i 1 , - .~.. '1.111: n ~ ~I I ~ ~-<CIl 1,)%0 I i I J.it i I . f . !- El"! j !.s i ~ 1 II ill 'I III Ii I' 111 J d 1 i i JJlI j '11ff III ul,.J I . II hll II! J , ~ ti 11 f~ 1111 II J''-/ hl1ili I ~dlljl I I J lui ! ~nt.t I II ,~ Illg I I'~~l~~~! l!~~~ I!l JI li~lili.1 I ~~I~~~lll~~~~ Ii J1 ~ill~lig IJ nilh;~ ..., ""0 U"N II~ ibls~ ~ 8 I..., ""0 ~""N it t~~~ll~< -'" ',-~-""'-';-,..: u.._.. :""'.........'~-...;..-'-- . ".._'-..'.__~..,.,... -'....-:-':7-.-.'---~...--~__:___:~~~-~-:.,. _, '____... "... -------.:.._.:...,;:"~,.;".. ....-....,",,,, - .-" ;V"",,:g;;~n,~,~ i""'"'~~''lPIII''r","_ -'fI""'''''''''''''''''''l'''~r~ " .~---... .....lJ"I'!'''~~ll'llI'''I''~.'~~~I" -~~ -~"~r!'~ *" , , ~'""'~-III"'i',,~ " ,'_ <-" ^-~,' EXHIBIT "B" . ,,'~ r ~ !'r'fr'.~" ""~~ , . 1 ' SHERRY ~ LURIE , 213-60-3301 '. The Pfizer Stock and Incentive Plan STATUS NOTICE. AS OF DECEMBER 31.2000 Y... .........utI in "" J.1Im>>in& optio.... TIw. Ollio... mo.y pr...ndy he .-cued: GRANT GRANT OPTION GRANT VESTING TERMINATION SHARES NUMBER TYPE PRICE ($) DATE DATE DATE ,0370 ISO ATB 6.75 08/17/92 08/17/93 08/16/02 1.500 , '.0423 ISO ATB S.71 08/25/94 08/25/95 08/24/04 1,920 ''''Mile. ,.UO ATB 12.42 08/22/96 08/22/97. 08/21/06 942 '0889,., '.' ISO A TB 3~.21 08/27/98 08/27/00 08/26/08 534 TOTA~ VESTED OPTIONS: 4,898 Y... ..... not...,ud in "" jolr-m, .plio.... TIIaso .plio... mo.y 1101 he _rcised unriI "" v.."'" dale: GRANT ~BER 1120 OPTION GRANT VESTING PRICE l$I DATE DATE TERMINATION DATE 04/21/09 SHARES GRANT TYPE ISO A7B 42,07 04/22/99 04/22/02 TOTAL NONVESTED OPTIONS: 450 4S0 COST TO. EXERCISE l$I 10,128,00 10,1183.20 11,&911.84 18.802. to $S1,S~18 POTENTIAL GAIN $(0) , . S8,87S.oo 71,;85&.80 a.'I:,&82.88 .' B."".8&~ '171,121:02' ' ". . . : ~ :'::.~;;/;;:~, ~~.~~;:~. COST'TO. :;,'~. ~I$E lSl ,':, GAIN ',:(1) , '..'~ . 18,83j.5Q $18.911.60 l.7l!8,.BO~. '1,78"50 TOTA~ VESTED AND NONVESTEO OPTIONS: 5,348 '175,194.52 o. , . ~._) . i -.-, ,n ".""'~'____'_~~___'_' n , ,. ~~-,>-p ,~ ,- ..,.,.~" .-, ~. '""-~-~ """- $70,521.48 . ~ .' , - ''j''R1<*~,_, EXHIBIT "e" ,..,,_.'lJl ,.," ~, ~~ () _J "7;,';,-ne:;,lI,_ .. . l')fixr.rT"~ . 235 1'....,42..d Slrcot Now York. NY IOon.5755 ..'':.'.. . ' Dear Pfizer Colleague: Yo~ Pfizer stock options provide you with an opportunity to share in the Company's future success. 1b help . you mab the most of this opportunity, eJfective JllJlualJ' 1,2001, Pfizer has engaged Merrill ~ch u the P provicler for our stock option program. Merrill Lynch was selected baaed on their ability to oft'er comprcbenslve , service to Pfizer emp1oyeea. The enclosed guide and related materials provide the information that}'Oll wlI1 need : to cmc:ise your stock options, including how your Merrill Lynch brokuage account will work. and the nnge of servic:a available to you lIS a Pfizer employee, Th get stMUi, /XImpktt, sip ami rellml m, encIDsed Brokerage Attount Form immediately in 1M mwdopc IfOPi4i4IO ' open yo.... brokerage llCCOunt Do this tIS soon lIS pouible bllQ%lISe you 1IllISt have your brokerage __ sd up In ord#r 10 eurcisc yo.... Pfizer st<<k optimu t1.fter Drumber 31, 2000. If you do not /uM t1. brokert1.ge IZCtDlIftt cstab1is1lI4. you' wiU not be IIble 10 eurcisc your optUms. Be sure to complete and sign the form in its entirety. including the appropriate W.8BBN or W.9 sectlODl. 'Ibis will help ensure that your taX identification infurmation is up-to-date. The enclosed broclt= provides instruc- tions fOr completing and returning the form. 0_ your Brokerage A<x:ount Form hIlS been procaaed, you will receive a letter with your Personal Identification Number (PIN), which you will need to acce5S your personal account information through a personal computer or ow:r the telephone. You can change this PIN to a Jive.. digit number of your choice.' : G- DOte that the only way you can exercise your P6zer stock options after'December 31. 2000 is through a) Merrill qnch brokerage account. After you .-diie your options. if you wish. you may transfer the stock or ash to another broker of yolll choice or to yoursel( , .AIon8 with explaining how to cmc:ise your P6zer stock options through Merrill Lynch. the enclQsed guick iacb1des the Terms and Conditioaa of the Merrill Lynch brokerage account and important forms, related materials, . md information about other servie8s Merrill Lynch wiU provide to you. Please keep these materlals in a sUe fI-, u you wlI1 need to refer to this information when you cmc:ise your stock options. Then: willbe DO coat associated with opening a brokerage account with Merrill Lynch. In additloa, ~ apect that cerI:llln lees associated With the services provided through this account Will be lower, on Mrage, than those ' that haw: been assessed previously. A Pee Schedule is include!i with this guide. P.. sip and return the Brokerage A<x:oUtlt Form immediately so that you will be able to exadac JOUr ItoCII: optioDl alter December 31. 2000. If you have any questions about the brokuage account or about exadsin& Pfizer stock optiOIlS, pleese Qlntact Merrill Lynch. toll-free in the United States. Puerto Rico, and CaD,<lq. at 866-P~ (866-734-9370). Outside the United States, Puerto Rico, and Canada, the telephone Dumber tD call is 732-563-8766, This number is not toll-free. . Sincerely, ~t~ Corporate Human Resources f'~ Tom J:?onatelli Corport" Pinance i Enclosures '.' ---- . ~ --.....,., " -.-., .-= ~.~ - "" ~ ~ -- '. '. " :;!. " "<'~__ _M__~ '<' '~_ _ ^ '" t. ,I EXHIBIT "D" ","",,~ ~ "'''' "''" ... 1'- , , 3017 o....~r.1 f:( ZoO/~ If $ s.a.7i7~ . . '--' "s:i."_-""'.' -OOLIAIl$ W '..... '.' '" , '. ;(,;'>:r~~:). . . . ^-"-1$;;j~r: ,,","'Y',^ '--' :'-~~"""~l .,.,\:~,~:I",,~O' : .. II>. .. - '. '. ':'l. ~ '" H'."" , , , , m.erdlILyDCII .,---... ( PFIZER EXERCISE REQUEST FORM (PI- _d ond follow the Instrudloll5 OD the revene side of this fo..... Vile one for... per OptleD eurdse) SECTION LACCOUNT INI'(lRMATlON ___)'OUWlllIIe IIIb}et:t to 31" U,s. backup wlllhaIdIng"'" unloathe '__!IX Ide_ _(W-8BENIM/ 1I01111/e.,_ ~ __ .d:.. L ~ ..k. !L ...:2 .2. Q.. L . . (Uso,... SOliioI Security NWllber ifdlal .,""ber hu _ daipoo<d as yaor.......'.umber lbf.... Pf_ Stock 0p00n P1al1, 0<1he Mem'U LyiICh_~lIII8IlI_ 1Ir~"':':-StockOpOonPl"'J m /,U.R.IE.. =- ===~,~~i2~1f !-=G;:b ~TeIephoneNumber: 1/11'3;1. 5":>1;. t:. HameTclephonoNWllber. '711 13:J.. SSe.;:. (PI<aseincllllle u.s..... code 0< .....u.s......1ry and cily oad.) .. . SECI'lO/ll Z: omaNS I AM EXERCISING 0ptl0D ll!I1It Dola Ol>d'" o..nt Price ~7'1::ll17 uss (, .2$ 0lInl_ (Gronlllllmber) o!J 10 Number ofOprians In Exercise I, :JOO . ( SECI'lON 3. TYl'E OF EXERCISE. ScIect lIIlC of"" following: <Xl C8Ib Purclwo Exc..is. ( ) CIShless-Hold SlOCIcIMarkot Order () CuIII...-Ho/dSlocldOayLimitOrder () Cash1...-Hold StoclclCooad Until CanoeIed 0nI... ( ) C8sh1...- Sell Stock ExerciseIMarke, Order ,() C........-SeDSto<:kB..n:iselDayLimitOrder () CabIeos-SeIl Sto<:k ExoreiselOood Until CanoeIed Order () E.,..;.. Request C....llolinnlOood Until C8neeled Order FOll CASH PUlICHASE EXERCISE REQUESTS ONLY. ~} ltidi,~' how,)lOlI would flu!R 1!lJ)' 1M .!-Ifrcuc Price O/IDII., r ,np~iDM, Imm ,hI! Worksheet f1n the rtllt"f able ilftltlslo",,: (,\C8IbEacIosedU.s.s 16,1.04,Lo-'!/CashinmyBlOkenlgeAccounIS, . ( )I'1IIIds beId ill my SIOCk Option Savinp AeeounI S 0 {II.J I..... 6... pa _Id lih I. poy your .ppli..61. witUoI41ng,,.,,from Ih. Worhh<<lon Ih. r...". rid. ofllJlsfor,., OC8lb1!llclooedU.s.s . ()Saleors......t'rom thi.ExcreiiCl {lCash in myM.rrill Lynch BlOuraseA..clIUlt ( )F.....!leld iIllll1Stoek Option SavinpA;oount S 0 r. ~,.., ,.,_'1JIIfIIII1II, mllS.,Q ortD )/rom /lJ. :",rkilt. on lb. ,...",11h oftllllfonn: (C.l_PnpoJ DIIiy 1beExerci.. Price. Mmm Lync:h will ...I_.hares 10 pay applicable.......d r..., (BxcIQite1'riee -.. pant priee. _ber nroptions being _iSed.) Am_I: U8$ "_ ~.) _J'nlpny....1!ltmise Pri.. snd appUcsbIe......lfyour total paYment is not sul6cient 10 cover these aI1IOWlts, Menill Lynch will seII_1IIww 10 _!l!l,~1. .~ IlSS " SEC11Cil.....OI$'tRlOUTION FOR CASHLESS SEW S'FOCK EXERCISES. U.5.;~,~""" Select on. nrlb. IOlIowing to noc:eive .... proceeds orlbe ._ in U. S. Dollats: ( ) S!siillbo __ proceeds to me .ia cheek. _ WIll'" ...,1 to the .ddress indicated On Merrill Lynch'. m:onls. ICY"" wish 10....... tb8I........ ....~Merlill Lync:h 111-866-734-9370 (I-866-PFIZER-O~ ( ) DepaoItlh..xcr.... proceeds ill my Merrill Lynch Ilro~ AccOunt sbown in Seetio~ I. ( ) Wire Tl8astiotIo my bank ....1IJ1I.1 h.... cotIlirmod dIBI Morri1ILync:h baa my bank _ infonnatlon. LoeaI C........." DUcrlbutln. Requ..... A ree may b. deducted' rrom your p.....ds. For m.... i.fonn8lion, ..filr to your PI.. COItIII1UIIic8I ~ CoImlIy/~~ I 'JbRe.LetlerCurreneyCodn: ___ () ReceIve proceeds via cheek. () Reeeive proceeds vi. wire lnInsli:r. To have your plO~ sen' vi. wi.. lr8II$filt,pleose provide MOIriU Lynch with your wire _lit iIllbtmIIioll prlo, 1o,Iha wire _filttnmsaelinn. You can do Ibis by coDlaCling II MorriU Lynch Customer SeMccl Repmenl8live. If....ldIIIlntioo..1bis form resolts in . ratum of your ~t to Merrill Lynch, ..y p~ &om the .... will ... cIepoaitod ill U.s. doII8n 10 your MeniII Lynch -.... and Metrill Lynch wiD ...t bo (labIe fnr~,~ d~ to ftuctood_in eXclwlse _. SECTION 5. SICNATUlI.E.llUIdorstand snd......lIlIltthiserei-C..'...,quost..m be ~ in"~wilhlllotennsand_ -"'amyMcIriU ~ _and lIlo_of1he '9jfSIoc!c 0pIi... ~I ~~ "" _ired approval to sell oroeIcundorSEC '!ole 1441145 ",as._16of11oor. . -pant~ RJ~. .~~. Daro: t.f/5"/O I Limit Pri..: ' Limit Pricc~ UIS UIS o . USS UIS Limit Price: Limit Price: o . ( ,-, '. '. ''T0%l'~'''''''7 .-T- -. "' ____e"'n - N, C, ~.'" A . . ....,:....",.. , " oo..errUI LyaC. :," PFIZER EXERCISE REQUEST FORM (Plellse read and follow 1Il.lnstruetionS on th. rev_ side 01 this form. Use one form per opllon .........) .~, .' l!ECTIPN"",CCO~'NF()RMATlON __th.ityauW/JIbIJ oubjecllD31:r6 u,s. bat:kup wifllho/dIIlgtax _1haappmpda/8 tax __ (WoBSENIWII)/atJ(lflleill_ Lynch. -- :;.. I .Q.k JL ...2 2 Q. .L . (\lso _Social Soourily NlIIlIber Trihat number hils been d..ipwled IS YOU''''''''' number... tho Pfi... Stock Option Plan. ar tho Memll L)'I1dl__ber__ ~,==:"'PlberStocIcOplionPlan) 51kM.~ L~I'E.. -: ':-'::: ~,~\~~~~ ~;~ .- . -- . 1lJ:::'lC) DoyIimo Telephone_ 1 / '? 13::J. .'S"'i(.,j; HCIIlI.T.Iep/IoneNlIIlIber 'J 11 (Please include v.s, .... c:ode arnon.U,S. counIJy....eity_1 13;;1. :>56/; SECI'ION 2: OPTIONS I AM EXERCISING Option 0- Dato Opti", (;...t Price <jJffItqT!'flZ lISS ,-5.2) 0- SufIIx lGnontNuinber) t) '/ :). ~ NumberofOptioJa to Exercise 19-9--0 , SEct10N3. TYPE OF EXERCISE. Select.... .ftho fullowina: 00 Cash PurdlIlse Eloon:ise ( 1 Cashless - Hold StocIcIMorket Orde. () Cashless -Hold Slll<tlDay Limit Order () Cashless- Hold Sto<k/Clood Until Canceled Orde. (l Cashless - 5.11 StDck ExerciselMarket Order () Cashless - SeD StDck Exe",iselDay Limit O.d.r () Cashless - Sell Stock ExerciselGaod Until Cancel.d Orde. () Elcercise ~ Cancellati.n/Good Until C....led Order FOR CASH PURCHASE EXERCISE REflUESTS ONLY. (A) 1nd1ct1Je how ,..would Ilk. If) pay Ih. Exercl.. Pr/c. .fyou,oplion.f- 'h. Workshe" /III Ih....me .Ide of this form: O(ICashEacl_U.SS 10. '-",3 .~CashinmYBrokalia.A...unt5 ._ ( IF- held in my Slll<k ojmon Savinp Account 5 . (B.) ladbl. hOW,.. ....hlllke IIJ pay,..' ."n,.6/. .,llhholt/Jo/llIJr f,... 'h. Wo,lIh.., nn Ihe ....",..Ide .fthls for., ( ) Cash EacIosed u.sS . _ () SaI. .fS...... fiom this Exorci.. ( ) cash in my MerriD Lynch Brokense A_ ()Funds belcl in my SInck Option Savinp Aocount S . r. .."".,.., paJ8Ulll......4 ....... (C) or (D )/NII! "" WorA<hUlo. tbt "'m.,8deofthlsfomr: (C.) _ PIepey only the Exmcise Price. Merrill Lynch will sell some .11l..s to pay applicabl...... and r.... ~ise Price -option 8fIlIII price x .wnber.f opti.... beiDa ,x<<cised.) Am_I: va . (D.) _ P_y the Elaon:ise Price ....applicabJ. ...... Ifynur total paym..t is not sufti....tto cover these amounts, M.rrill Lynch will sell some_to ~1I1,~fidl. Am_I: USS . 5U.TION~t>IS1'RlBunONFOR CAS~LESSS"LLsrOCK EXERCISES. U.s. Dallllr Dlml......... Select.ne .rthe f.llowing to ...,.;v. the proceeds .fth. oxorqse in U. S. Doll...: ( ) SoIldtho _ proceeds to me via c:I1ock. Proceeds Will be sen' to the add.... indicat<id.n Momll Lynch's records. (fyou wish to chance1hal address, p..... _Merrill Lynch. 1-866-734-9370 (1-ll66-PFIZER'()~ ( ) Deposlttbe.....iH proc:eeds in my Merrill Lynch Brokerag. A...unt shown in Section, I, ( ) Woe Tf\8ISfilr to my bank account I have oonfirmed lbot Momll Lynch has my bank ""count informati.n. Loal Curreacy Df:ltributknt ~uesIS. A fee may be deducted rrom your proceeds. For more infonnalion. refer to your Plan CDl1'lIDUDiallion RIIIleriaIs. CDllDIIy I C......cy Roquos1ed / Th....~ CuncnGy Cede: () Roceiveproc:eedoviac:heck. --- () Receive _do via wire .....fi:.. To bav. youcprocoods sent vie wire uan.filr, pl.... provide Merrill Lynch with your wire lI'8IISfilr intbnnlllion prior to tbe wile IranIICr lransac1ion. Y.u can do this by co_~g a Merrill Lynch Customer Service ~nlaIive.. IItbe intbmtalion on this lonn results in a rolum .fyouc disllursemetltto Merrill Lynch., olly, p<oc:eeds &om the saI. will be deposiled in U.S. dol.... to ynur _(Lynch _Q!I!.ODd Momll Lynch will IIOIbeliab..ibr anylDsses due to ft~"'~ rDI. SEcn01\J 5. SIGN'ATllRE.1 lIIIdamniI...._lbaIlIIisexen!ise _will be ~ in~wiih tho........... conditiono.......RIIRlY Memlll,ynch _1IId tho -. oflhe P€fJStocIc Option -'" I ~.....~ Il1Y requi.... approva/ In seI' srock under SEe Ru 144/1 5 ar IS' Section t6 officer. _penlSi_:---#L~A1 ;;i{....-:/j.;.,Ii: Date: -5 0 Limit Price: . I.imitPricc: U55 . \J55 _____. ___ Limit Price: Limit Price: US5 USS . . 3"Fi*-''l>~_ "' , ,~C,~ I' '" -~5 , {ii;;i'--- .' "",< '.""',!","'"'''''..;r. . . . I' I ,..,. ._ ~"IIUI Lyncll ; "..\ , , PFIZER EXERCISE REQUEST FORM , (p1eoie read and follow tb.I..-dou OR tbo rove'" sIcIo of this ronn. U.. ODe rom. per opllOIl e:wdIe) :j-,,< '~:,t."'t,~,~T10N ,.' ,,'"', __IIiIt)'llllwWbit III 3f" U.s. bIIo/aIp wIbIloIdInglalt _the'__IaIt .ldo.~- "n_rM(W8BEN/WlIIII~IIlIII"'" :;, ..... . .'... =~~\SemDUY.~&LJhot~.9;-,:J:~_~.k.~dM__Opti..~crdM_~_" ..~":(.>:~~ =~S-OpIiaD:3He.e~~ Lt.t.!/~ .': ,';: ",:, ~k;.=",r ~~ ~d~e, ~ ~p" I ~~~. . ,.' 'i?S;.i:f~!il!i:I?";. . .-. .~..~#k , . .." '~..1- ,., . ~ToIIpIIaao_ ')1" 'J~" ~'5(,.t;. _~NlIIIlbor: 'JJ? "X3.:l S'St..l. .:t:l~\~:f.> " . ,. , ' (PIoosoi1loludoU.S..................u.s......lryandcilycodo.) .,. :.,::~;t'iiii . r ,\",;~v,:J.~;iIji.~ . 8EC1'.lON 2: omONS I AM EXEllCISING ~".':.~rnr,~:;, =jr.~ O..Uallix(GaDNIIIIIbct) IJ t. 00 5CTION 3. TYPE. ,01' ,EXERCISE. ScIocI... of tho 1bI1owins: ~ Cl8llPurcboIo!llon:iso ( ) CIIhl..-HoId SlDok/MaJtIt 0nIct () ~-HoI4SIIlcIdDayUmiIOlder () CIIhl..- Hold SlIlcldGood U.dl CaocoIed Older .( ) ClIsb1.....:WSIDetExmisolM...blOrder '() CoobIou_SoIISIDetE~UmiIOnlor ( ) CoobIou-SoII S...t~UIIliI CaocoIed 0nIer ( ) ~~ c.calalioni<lao!dUnlil CBQCOIcd 0nIer FOil CA8ll 'UIlQIMEDUUlCI$EIlBQUESTS ONLY. fA)~. """, ,..,WOr4!~,Ike.A"'1th..1Wicl6.l'rkeof_.pI-l"",. Ih. W.rklhHt"" IA. __ slil. of/AI6~"'" ClCoilb" 1iltclc!Ied,' ,.U.s.s lI,tAL,' ....!7Cuhi.myBrotonaeAccounI$ . (IF_1Ill1d ia I!IY SIDet Opti.. Saviop Accounl S, . (&) ,.... UtI I'" _Milk. iii "" ,.., .,plkobh wllllltoldl., IiClfrll1ll lb. W...llh..,.. !A' ".,.,...w. '111I101_ OCoola EDOIored U.s.s . ( ) saI..rs...... from IiIis E....... ( ) Cull i. my Moml1 L)'IICh Brokonp AoooaaI (~,lIoI4ia.I!IYSIIIct Optioa s...... Aoooaat , '_ r.t:tt#ttIt*1!I/II'.-ItIIUIII!II,....(C) or (D)j/'oIa IU Worbll..,OII IN _". .[tJdslom: (C.),....l'P.PI7 0lIIy I!It ~ Price. MelriIl LyndI Will soU ............10 pay applicable taxel ..d rc... " ".'" \:{~_' (I!xeIl:lsIPrIioo-opliaa"pric:oxnOlllber.f~beilla_'la.d.) t\aamIIl1lS$ _ . (D.),....i'Jl:Pqdlo I!adao Price IIllI applicabl. -. .lfyour loIII payIIIIIll is DOt IIllIlCienlIo _Ibeso -lI, McaiII LJIICIa wlII..u -....... """""..~ :AJa_1lS$ ,'" ."' '" amON4.nfSl'lWltmONFOR CA$HLESSSELL srOCK EXERCISES. 1J.S.UO....lI/IfriIla... ScIoet_oflhll filIIolMDIlo....wethop_orth. __ ia U. $. Dollm: . ( l.......... promedIlo me Yla check. Pnlceeds Wi111Ill senlto tho eddresa lndicaIed OIl MeniIl L"'ch'......-.Is. If,... wlsIa 10 .......lIIII....... p1_ __MonlII Lyach 111.-734-9370 (l-86HfIZER.ll). , ( ) Doporiltho __ __ in my Merrill Lynch Brokonp AOOOllllllhown i. Sec:lla. 1. , ( ) WiN TnDIilt to I!IY bllaIt......L I..... _firmed thai Merrill Lynch has my bank .......t,IoCOIlIIIlioII. J.aI c.rno.y D!Ilrlllalloa Roq.... A fee IDlY b. dedllded from your, pl<l<COlls. For,",,", io,lbnoatioD. roIlIr 10 your PIIIl-_m"- M-"~ c-cry I C1Iaooc:y llcojD<Iled I Tbroo-LeItrr Curnocy Cod.: () Reoaiw~Ylac:hecl<. --- . () ~.. proeaeds via wim ......rer. To have your proceeds SIIIl via wiro lnnalOr, p. ptllYido MeIrilI LYlldl willi your winl1nDdlr IaImDIlioD ...... III dIo.....1rIIlIllor .......... V...... do this by conlll:lioa. MelriIl Lynch CastomorSolvico Repmaeo/aIi... .. If tho lDIinaalioa oa IiIis Ixm ..uti in . -.. oryour disb1IIIomoalto MeIrilI L)'IICb. IIl7 ~ds from tho aoIe wi111Ill do,..lIod III v.s. ...... your MorilIIL --.1IllI Morrill L".... will not be Ili!blo lb, lOIY"'''' duo 10 8ucluations,iIle I ..-.' SBCnONI. SICNATl1RE.1 andrrsland'IncI.....* 11I10...... "'1_10111 bo pmceuoI ill ' wiIh 11Io...... and-..... --"'i1D711lal11 ~ _1llII1IIo_~dM 0pIl0n~~A""""",III71<q11ind~ to..h..fr~SIlC Rakt 144/145 .....SeoIloalhll..... '.'. I'orticlpool~ : _~ ~ Dolt: I./lsjO/ .I,t . . ': "'I Numbor.r(lpiomto_lso q '-I :J. ,::"'/1, :. ;. . ',,~ Limit Price: ' Limit Price: USS US$ . . Limit Pri;o: Limit Price: USS USS . . ". .~ \. .. '. ' -~l'~~""'~l~,'llil~ ' ~F ~n,~ '1"""" ~~ ~ - ~ - "' "" :1 "'fi!"":/!---4 ,'-, .., , . EXHIBIT "E" flI!~ ~~ '" "7"' ~~'" "~ : ~, "~H~~ ~~ ~~" ~ ... I l ~ . . Barbara Swnple-Sullivan, Esquire Supreme Court #32317 549 Bridge Street New Cumberland, PA 17070 (717) 174-1445 SHERRY LURIE 1835 RED SPRUCE LANE MECHANICSBURG, PA 17055 Plaintiff IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA NO. 01-5914 Civil 2001 v. PFIZER, INC. 235 EAST 4200 STREET NEW YORK, NEW YORK 10017-5755, Defendant VERIFICATION I, SHERRY L. LURIE, hereby certify that the facts set forth in the foregoing Complaint are true and correct to the best of my knowledge, information. and belief. I understand that any false t statements made herein are subject to penalties of 18 Pa, C.S.A. ~4904 relating to unsworn falsification to authorities. DATED: M~'2. ~::~ "<;"""0')\~JLliI 1-- - " , " . 'f" ':; , f .. t , . " ' Barllara Sumple-Sullivan, Esquire Supreme Court #32317 549 Bridge Street New Cumberland, P A 17070 (717) 774-1445 SHERRY LURIE 1835 RED SPRUCE LANE MECHANICSBURG, PA 11055 Plaintiff IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA NO. 01-5914 Civil 2001 v. PFIZER, INC. 235 EAST 42nd STREET NEW YORK, NEW YORK 10011-5755, Defendant CERTIFICATE OF SERVICE I, Barbara Sumple-Sullivan, Esquire, do hereby certify that on this date, I served the foregoing Complaint, in the allove-captioned matter upon the following individual by first class mail, postage prepaid, addressed as follows: Caroline M, Austin, Esquire Wolf, Block. Schorr and Solis-Cohen LLP 1650 Arch Street, 22nd Floor Philadelphia, PA 19103 Barbara Sump1e-Sullivan, Esquire 549 Bridge Street New Cumberland, P A 11070-1931 (717)-774-1445 Supreme Court ID #32317 DATED: March~ 2002 '""",i"\\'~ J~" ,~< ~ ~ ~ ,^, ',' ~, ~~. " Ei: U') ~ Z Z ~ .= ~ :::>~ UJQ 0" h~~:" 04: ; 0- 'J~ (1l..:. 7>C ., ("r') 3W \~;\ ; .Z '::<:z _,J,. e<: ,-uuJ !.!. ....:" :00.. :0: 5- u. N :::> c} c:.) 0 . . . ... .~._-,,---"'"'........._"""'....- -^~..'<,- ..- "n'"."'_"'1^~" .,..,,,. ,'- -~- ,~ .,.~ ~o~~._IIIlI""I . "... .,.-."-',........... ,-,.'-~' , , , WOLF, BLOCK, SCHORR and SOllS-COHEN LLP By: Caroline M. Austin, Esquire Identification No.: 75228 1650 Arch Street - 22nd Floor Philadelphia, PA 19103 (215) 977-2336 SHERRY LURIE COURT OF COMMON PLEAS CUMBERLAND COUNTY PLAINTIFF v. PFIZER, INC. NO.01-5914-CV-2001 DEFENDANT TO: Prothonotary Please take note that the above-captioned case has been removed to the United States District Court for the Middle District of Pennsylvania pursuant to 28 U.S.C. g 1446 by Defendant Pfizer Inc. A copy of the Notice of Removal being filed in the United States District Court for the Middle District of Pennsylvania is attached hereto. ("~ a~~ Caroline M. Austin, Esquire Wolf, Block, Schorr and Solis-Cohen LLP 1650 Arch Street - 22nd Floor Philadelphia, PA 19103 Attorney for Defendant Date: April 3, 2002 DSB:83407S.IIPPlOO3-1S662S .':"~i",R " .. .. 1 ~~.~- ,fi" ~m__O"d__ ^ -~ >" "\'''"','\'!~ ,""~ ,~,,"" - , CERTIFICATE OF SERVICE I, Caroline M. Austin, hereby certify that on April 3, 2002, I caused a true and correct copy of the foregoing Notice to the Prothonotary to be served via first class mail. postage pre- paid to the following: Barbara Sumple-Sullivan, Esquire 549 Bridge Street New Cumberland, P A 17070 C~~ Caroline M. Austin. Esquire DSB:83407S.1IPFlOO3.IS6628 '" "T ~ ~, , - r"m ~" '"'re',~~" , UNITED STATES DISTRICT COURT FOR THE MIDDLE DISTRICT OF PENNSYLVANIA SHERRY LURIE NO. PLAINTIFF v. PFIZER INC. DEFENDANT DEFENDANT'S NOTICE OF REMOVAL Defendant Pfizer Inc., hereby provides notice that SherrY Lurie v, Pfizer rnc" No. 01- 5914-CV-2001, in the Court of Common Pleas of Cumberland County, has been removed to the United States District Court for the Middle District of Pennsylvania. A. Grounds For Removal 1. On or about June 8, 2001, Plaintiff Sherry Lurie filed a Complaint in the Court of Common Pleas of Cumberland County, Pennsylvania against Defendant entitled SherrY Lurie v.' Pfizer Inc., No. 01-5914-CV-2001. The Complaint was served on March 12,2002 by mail and received by Defendant's counsel on March 18,2002. A copy of the Complaint is attached as Exhibit 1. 2. Plaintiff alleges that Defendant breached a contract with Plaintiff and violated the Pennsylvania Wage Payment and Collection Law when Plaintiffs vested stock options expired upon the termination of her employment, thereby precluding her from exercising such options, Plaintiff also asserts claims of unjust enrichment and promissory estoppel. 3. This Court has original jurisdiction over this Complaint based on diversity of citizenship pursuant to 28 U.S.C. ~ 1332 in that: DSB:S340Q4.IIPPl003-1S6628 <. - I - , . ~ R ,~-- , (a) Defendant is a corporation incorporated in Delaware with its principal place of business in New York. (b) Plaintiff is a citizen of, and resides in, the Commonwealth of Pennsylvania. (c) This action is a civil action in which the amount in controversy ex.ceeds the sum or value of $75,000, exclusive of costs and interest, and is between citizens of different states. Therefore, removal is appropriate in accordance with 28 D.S.C. ~~ 1441(a) and (b). B. The Petition For Removal Is Time1v 1. The Complaint was served by mail on Defendant's counsel on March 12, 2002. This Notice is filed within thirty (30) days of the date of service as required by 28 D.S.C. 99 1446(a) & (b). C. Venue Is AllllronrlateIn This Judicial District 1. Venue is appropriate in the Middle District of Pennsylvania because the Court of Common Pleas of Cumberland County is located in this judicial district. 28 D.S.C. ~ 144I(a). D. Couies or The Pleadlnl!S And Process Are Attached 1. No other orders or pleadings have been served upon Defendant in this action while it was in state court, so there is nothing to attach to this Notice of Removal pursuant to 28 D.S.C. 9 1446. E. Notice Has Been Given To Plaintiff And The State Court 1. Pursuant to 28 D.S.C. ~ 1446(d), Defendant will file a Notice of Removal with the Court of Common Pleas for Cumberland County, Pennsylvania. A copy of that Notice of Removal is attached as Exhibit 2. The state court Notice of Removal and this Notice of Removal will also be served upon Plaintiff. DSB:834004.1/PPlOO3.1S662& -2- ""'""'"'!,'iI%'i!'!;, .. -If , WHEREFORE, Defendant Pfizer Inc., removes the aforesaid action from the Court of Common Pleas for Cumberland County, Pennsylvania. ('~~ Caroline M. Austin, Esquire Wolf, Block, Schorr and Solis-Cohen UP 1650 Arch Street - 22nd Floor Philadelphia, PA 19103 Attorney for Defendant Date: Apri13, 2002 DSB:834004.1/PI'IOO3-IS6li28 - 3- -'!'-'!'i"'1\"C",=__",~"" __<'._~ . I" - , ~~~, "'- -" r- - - --~~ ;;;:; ~ , CERTIFICATE OF SERVICE I, Caroline M. Austin, hereby certify that on April 3. 2002, I caused a true and correct copy of the foregoing Defendant's Notice. of Removal to be served via first class mail, postage pre-paid to the following: Barbara Sumple-Sullivan, Esquire 549 Bridge Street New Cumberland, PA 17070 ~~ Caroline M. Austin, Esquire DSB:834004.I/Pf1OO3-IS6628 ."'F'I-*-~'~J, .~ ,'\" -I~"' '" - ~- , '-"~,'~ .^"--,,~,,"*,,,,'ffl, Exhibit A -, ""'~"1 " , 4 .,." '~\':i'J f.~i;:}~' ~I~) Barllara Sump1e.sullivan, Esquire Supreme Court #32317 549 Bridge Street New Cumberland, P A 17070 (717) 774-1445 SHERRY LURIE 1835 RED SPRUCE LANE MECHANICSBURG, PA 17055 Plaintiff IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA NO. 01-5914 Civi12001 v. PFIZER, INC. 235 EAST 421ld STREET NEW YORK, NEW YORK 10017-5755, Defendant COMPLAINT AND NOW comes Plaintiff, Sherry L. Lurie, by and through her attomey, Barbara Sump1e-Sullivan, Esquire, and hereby asserts the following claims in the alternative against Defendant, Pfizer, Inc.: Fa~ts AIIPIl~able To All Counts I. Plaintiff, Sherry L. Lurie, is an adult individual residing at 1835 Red Spruce Lane, Mechanicsburg, Cumberland County, Pennsylvania, 17050-8509. 2. Defendant, Pfizer, Inc. (''Pfizer''), is a corporation incorporated in Delaware which maintains a principal place of business at 235 East 420d Street, New York, New York, 10017-5755, arid a Pennsylvania address at c/o CT Corporate Systems, 1515 Market Street, Suite 1210, Philadelphia, Pennsylvania, 19102. '<'T''-~~,.,., ~ R} ',~__, ' ~~" -- ~ -1 ) l ""'l "..~!" 'IK:,;,; f1~' '~i"f,. 3. Pfizer regularly transacts and conducts its business in Pennsylvania, including in Cumberland County. 4. Plainti1ibecame employed by Pfizer in 1978, and remained a dedicated, productive employee until an uncertain date in late 2000/early 2001 when her employment was terminated by Pfizer as part of a reduction in force arising from a corporate acquisition. 5. During her twenty-two plus (22+) years of service to Pfizer, Plaintiff functioned in a sales capacity, eventually rising to a sales position known as a ''Premier Team Leader". 6. During her twenty-two plus (22+) years of service to Pfizer, Plainti1iworked diligently, faithfully, productively and with distinction, and through her efforts, conferred substantial benefits on Pfizer. 7. As a Pfizer employee, Plaintiff received compensation in the form of a salary, certain fringe benefits not at issue herein, and stock option grants under PfIZer's Stock and Incentive 'Plan, which are at issue herein. 8. As of December 31, 2000, P1aintiffwBs vested in the following stock options grants which entitled her to purchase a stated number of shares of Pfizer stock at a stated option price: a) ~t Number 0370, with a Grant Date of August 17, 1992 and Termination Date of August 16,2002, for One ThOUSand Five Hundred (1,500) shares at -2- ""',~rM^T'~ -~ ," " '~ r . ~ ,~ ,- "~'".. ...- ~'!' ~~ ~~,. ~ u ,,',' M' '=" , . ,ti~ -<;;"',ill ~t\~;) an option price,ofSix Dollars and Seventy-Five Cents ($6.75) (the "1992 Option"). c) Grant Number 0423, with a Grant Date of August 25, 1995 and Termination Date of August 24, 2004, for One Hundred Ninety-Two (192) shares at an option price of Five Dollars and Seventy-One Cents ($5.71) (the "1994 option"). Grant Number 0600, with a Grant Date of August 22, 1996 and Termination Date of August 21, 2006, for Nine Hundred Forty-Two (942) shares at an option price of Twelve Dollars and Forty-Two Cents ($12.42) (the "1996 Option"). b) , ' (The 1992 Option, 1994 Option and 1996 Option are referred to collectively at times herein as the "Disputed Stock Options"). 9. In addition, Plaintiff had vested rights in a 1998 Option and non-vested rights in a 1999 Option, n~ither of which is at issue herein. 10. The Disputed Options were fully earned by Plaintiff for the services she performed on behalf of and for Pfizer as a sales representative. 11. Prior to December 31, 2000, Plaintiff had also received prior stock option grants from Pfizer and had consistently exercised these prior stock options before their expiration dates. 12. On each occasion pr!or to December 31, 2000, when one of Plaintiff's stock option grants was approaching its expiration date, Plaintiff received several written notices from or on behalf of Pfizer advising her that a stock option grant would shortly expire, thereby .3. --:""1'~ ~.'"~~'t-~ I"~ ~~ ~ " ,"'~, ',~_. .~ ~J\: '~,i} ~~:~ providing notice to Plaintiff and ensuring that the stock option would be exercised before its expiration. 13. The provision of written advance notices by or on behalf of Pfizer described in the preceding paragraph was relied upon by Plaintiff and become part of the regular course of dealing between Plaintiff and Pfizer with respect to Plaintiffs stock option grants, including with respect to the Disputed Options. 14. . Up until December 31, 2001, Plaintiff had regularly and routinely exercised all of her stock option grants on a timely basis. 15. In mid-to-late 2000, Plaintiff received notice from Pfizer that her position was being terminated due to "organizational restructuring" associated with Pfizer's acquisition of another drug company, Warner-Lambert. 16. Pfizer's "organizational restructuring" was a new, unique and extraordinary event incident to a major corporate acquisition, and was not part of any employee termination procedure contemplated or normally practiced by Pfizer. 17. As a result of Pfizer' s termination of Plaintiff s position during its "organizational restructuring", Plaintiff underwent an "exit process" with PfIZer during which Plaintiff received erroneous, confusing and incomplete information from Pfizer regarding her separation benefits, including the status and expiration dates of the Disputed Options. -4- ""'-';'i?ir, ._,' -- >, 1-- - ~'" 1" " !ill" ."'<> ~ ~ , ~ :J A ~-k~t' i'~~ ,iI"lfi 18. A3 part of the "exit process" and as part of the agreed upon terms of Plaintiffs separation agreement from Pfizer, Plaintiff was advised that she would have ninety (90) days after her termiIiation to exercise the Disputed Options. 19. The ninety (90) day post-tennination period represented to Plaintiff was, in fact, the option period also available to employees of Wamer-Lambert, the company acquired by Pfizer that led to the '~organizational restructuring." 20. A3 part of the "exit process" and as part of the agreed-upon terms of Plaintiffs separation agreement from Pfizer, Pfizer agreed to allow Plaintiff ninety (90) days after her termination to exercise the Disputed Options, thereby creating, in the alternative, either a new contract obligation, or an amendment of existing contract obligations, or an agreement to waive any requirement that the Disputed Options be exercised before Plaintiffs tennination date. 21. A3 a result of the information provided to Plaintiff, Plaintiff reasonably believed she had ninety (90) days fOllowing her tennination date in which to exercise the Disputed Options. ' 22. Pfizer has now asserted to Plaintiff that the Disputed Options all expired on her "Termination Date," and that there was no subsequent allowable exercise period, resulting in a substantial windfall to Pfizer. -5- '~'i,__",,<,'N'~) ~ '. -,,_, '''7" -'1", ~ - r .. 1l ( r 1 ! . , ":.'i'&;;"" _ '_-or ;,:;,~ .~,!i) 8.G1i. "~*f- "..~~, 23. The ''Termination Date" haS been asserted by Pfizer at various times to be either January 1,2001, January 10,2001 or February 12, 2001. 24. In October, 2001, P1aintiffreceived from or on behalf of Pfizer, an account statement that reflected that the Disputed Options were forfeited on January 23, 2001, then were reinlltated on February 8, 2001, then forfeited again on February 12, 2001. (See Exhibit "A" attached hereto). 25, Pfizer itself cannot state consistently and with certainty when it deems that Plaintiff reached her "Termination Date," and thus relinquished the right to exercise the Disputed Options, or on what other dates the Disputed Options may have allegedly been forfeited. 26. Plaintiff stood ready, willing and able to exercise the Disputed Options at any time in late 2000 or early 2001, if she had been advised that such exercise was necessary. 27. The Disputed Options represented a considerable value to Plaintiff, and there is no reason why she would not have exercised the Disputed Options if she had known they had to be exercised. 28, In January, 2001 Plaintiff received a "Status Notice, as of December 31,2000" of her stock optiOn grants under ''The Pfizer Stock and Incentive Plan." (See Exhibit "B" attached hereto). -6- --" ~ ,~'-'!"'-~ ~=- "" I~ ~~'- ~ . . - " l"-"-,--~,, -"^' ~il!t- I <;;f;\;) .1'.:' ~"F;;~ <fl~~ 29. The Status Notice as of December 31, 2000, received by Plaintiff in January, 2001,' supposedly after her alleged "termination date," showed that the original expiration dates of the Dis~uted Options remained in place and were not accelerated to any so-called "Termination Date." 30, Plaintiff was never provided with any of the normal, written notices historically provided by or on behalf of Pfizer and relied upon by Plaintiff that any of the Disputed Options were set to expire, 31. In March, 2001, Plaintiff telephoned Pfizer to inquire whether the information in the Status Notice was correct, that is, that the original expiration dates remained in place and that the Disputed Options did not have to be exercised within ninety (90) days of termination, which had been her reasonable belief based upon her "exit process" and separation agreement with Pfizer. 32. Plaintiff was advised for the first time in this phone call that Pfizer considered the Disputed Options to have expired because Plaintiff had not exercised the same before her "Termination Date," identified for her at this time to have been January 10, 2001. 33. Unbeknownst to Plaintiff, at some time during 2000, Pfizer engaged Merrill Lynch as a new service provider for the Pfizer stock option program, to be effective January I, 2001. .7. Ti"",,,,",,,,,< " - ~ -~ , " - '"7 _ ~ 'l' ,- ~,;.,-<;;,. 1 'I . ,-~C:QL",l"_w"", '" " * . 34. In January, 2001 P1aintitIbecame aware, after being informed that the Disputed Options had expired, of a Pfizer mailing to other Pfizer employees during the fourth quarter of 2000, advising Pfizer employees that after December 31, 2000, the only way to exercise a Pfizer stock option was through a MenilI Lynch brokerage account. (See Exhibit "C" attached hereto). 35. PlaintitIwas never sent the Pfizer mailing attached hereto as Exhibit "C." , . 36. Plaintiff never had a Menill Lynch brokerage account, never had an opportunity to set up a Merrill Lynch brokerage account, never received the fourth quarter mailing from Pfizer and was kept in the dark by Pfizer concerning this critical information which was supposedly necessary in order to exercise Pfizer stock options. 37. Pfizer haS never explained to Plaintiff how she could have exercised the Disputed Options after December 31, 2000 (assuming a January 10,2001 "Termination Date'') when it failed to provide the critical Menill Lynch information to her. 38. Plaintiff thereafter spent several weeks attempting to resolve with Pfizer management, the Disputed Options (as well as numerous other mistakes by Pfizer relating to Plaintiff's employment separation, including months of effort to receive bonus compensation,that was withheld and incorrect withholding from Plaintiff' s pay), to ~ avail. -8- " -," ~ ~-"" ".-. .. ~~~...... .~~ ;,., r-~'r r """rr~ ,',--'",,' .'" -,- - ~~ iii;.t~~1 .:;:>" .;:i}, '~J~ 39. On April 5, 2001, Plaintiff exercised her 1992 Option, 1994 Option and 1996 Option, submitting the appropriate forms and a check in the cumulative amount of Thirty Two Thousand Seven Hundred Eighty-Seven dollars and Eighty Four cents ($32,787.84) representing the total exercise price for all the options (See Exhibit "D" attached hereto), within the ninety (90) day period specified in her exit interview and well within the period specified in the January, 2001 option statement received after her termination date. 40, By letter dated April 13, 2001, Pfizer returned Plaintiff's check to her and advised that the 1992 Option, 1994 Option and 196 Option could not be exercised since they allegedly had expired and could not be reinstated, (pfizer did, however, express its "regret that you experienJ~d difficulties during the separation process." (See Exhibit "E" attached hereto).) 41, The increased value of the Pfizer stock over the exercise price, which varies depending on the actual market price of Pfizer stock, is nevertheless in the neighborhood of One Hundred Fifty Thousand Dollars ($150,000,00), and exceeds the amount requiring reference to compulsory arbitration. 42. Despite nUmerous attempts by Plaintiff to seek an amicable resolution with Pfizer throughout the first half of 200 1, Pfizer has steadfastedly refilsed to permit Plaintiff to exercise the Disputed Options. -9- '''f'';'~~''!:!if: ___~ , 'I~- ~ . , , , "~ ~. 'i?l.} " ~,. , '\t>. ""..f"'} '. ,',1/ ~. 43, The Disputed Options are unique and make an award of monetary damages, only, difficult or impossible to ascertain. Pfizer stock is publicly traded and its price fluctuates on a daily basis. Because Plaintiff's damages would depend upon calculating the differences between Plaintifi's exercise price and the fluctuating value of Pfizer stock at any given time, and would necessarily include calculation of stock purchase transaction costs and differing tax consequences, the appropriate and necessary remedy herein is to require Pfizer to permit Plaintiff to exercise the Disputed Options. COUNT! B~ACH OF CONTRACT 44. Paragraphs 1 through 43 are incorporated by reference as if fully set forth in full. 45. Pfizer's actions as descn'bed herein constitute a breach of its contract with Plaintiff. 46. Plaintiff haS suffered significant damages as a result of Pfizer's breach. WHEREFORE, Plaintiff requests that this Honorable Court issue a decree and enter judgment against Pfizer, requiring PfIZer to issue to Plaintiff the proper number of shares of Pfizer stock at the stated exercise prices for Plaintiff's 1992 Option, 1994 Option and 1996 Option, as well as award costs and fees, plus such further and additional relief as may be appropriate. -10- .it.,!~,~,"_,",,~,. ">._ - 1"'""'"-,' ""~ .:r~\,. .....;.ijx. '~.i.~;~. "'! ;.',.1, '''''j ;.~!;~: if COUNT IT BREACH OF PENNSYLVANIA'S WAGE PAYMENT AND con ,RCTION I.A W 47. The averments of paragraphs 1 through 46 are hereby incorporated by reference as if set forth in full. 48, Plaintiff brings this count pursuant to Pennsylvania's Wage Payment and Collection Law, 43 P.S. fi260, 1. 49, The benefits due to Plaintiff pursuant to the exercise of her 1992 Option, 1994 Option and 1996 Option constitute wages under the Wage Payment and Collection Law. 50. Pfizer's refusal to accq>t Plaintiff's exerci~e of the Disputed Options and refusal to issue the stock to which Plaintiff is entitled constitutes a violation of the Wage Payment and Collection Law, , 51. Pfizer's refusal to permit Plaintiff to exercise the Disputed Options is not in good faith. 52. In addition to the wages owed to Plaintiff, Plaintiff is entitled to liquidated damages in an amount equal to twenty-five percent (25%) of the value of the wages pursuant to the Wage Payment and Collection Law, 53. Plaintiff is entitled to an award of attorney's fe:s pursuant to the Wage Payment and Collection Law. -11- . ;-''''~'''<=~fn. ~. ~~ ~ " ,~ _ _._0 '~'M'"' J " . ~~ ','04J\:,I WHEREFORE, Plaintiff requests judgment be entered against Pfizer requiring that Pfizer permit Plaintiff to exercise the Disputed Options, plus liquidated damages equal to twenty-five , percent (25%) of the value of the Disputed Options calculated as of the date when Plaintiff attempted to exercise the Disputed Options, plus attorney's fees, costs of this suit and interest, plus such further and additional relief appropriate under the circumstances. COUNT ill UNJUST ENRICHMENT 54. The averments of paragraphs 1 through 53 are hereby incorporated by reference as if set forth in full. ;5, By virtue of the services rendered by Plaintiff over an employment period of twenty-two (22) years, she conferred a substantial benefit on Pfizer. 56. Pfizer accepted and appreciated the benefits provided by Plaintiff. 57, Acceptance and retention of these benefits by Pfizer without compensating Plaintiff the value to which she is entitled would be inequitable under the circumstances. 58, Plaintiff is entitled to the relief requested herein under the doctrine of unjust enrichment -12- -""""'5lll'~_",_." -"c'---'-- r' - ~~~"" ~ - 1 " .< ..;;~,,,,,~~..... ~." i?M~. 'C;N~ \'/'ij'- 1'"";,,,,", :~~r~'.'<} WHEREFORE, Plaintiff requests that this Honorable Court issue a decree and enter judgment against pfizer, requiring Pfizer to issue to Plaintiff the proper number of shares of Pfizer stock at the stated exercise prices for Plaintiff's 1992 Option, 1994 Option and 1996 Option, as well as award costs and fees, plus such further and additional relief as may be appropriate. COUNT N PROMISSORY ESTOPPEL 59. The averments of paragraphs 1 through 58 are hereby incorporated by reference as ifset forth in full. 60. By its c01'!lll1unications, conduct and silence, Pfizer misrepresented to Plaintiff, either negligently or intentionally, the expiration date by which she had to exercise the Disputed Options. 61. Plaintiff reasonably relied on the misrepresentation of Pfizer and did not exercise the Disputed Options until April 5, 2001, beyond the dates now claimed by Pfizer to be the dates by which the Di,9puted Options had to have been exercised 62. Plaintiff had no reason, duty or obligation to question or inquire further regarding the information provided to her by Pfizer regarding the expiration of her stock options. 63. Pfizer is estopped from denying Plaintiff the right to exercise the Disputed Options. -13- -~~ ,,- ~ , - , Jl . ~, ~ ~~ ~~ .' '~\!h r~.~~ ';:'1.1',; """) .:,,:., ". ::~ 64. Plaintiff is entitled to entry of a judgment requiring Pfizer to permit P1aintift'to exercise the Disputed Options pursuant to the doctrine of promissory estoppel. 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II Ilil II fit llli I I t' ' , ,Ill II l} i I!I fi Ii 1.-- I jll Jj-f t I ~ Itllt -) .I~ II t a i 11 "'lI,gl ~ 111\ I' I' I Ililllllil IIII Illlilllll II 1;;111:: J'l . · 'I! Il'jill'l II n.dlHdl uldu'j.illq III t .1 IflJ J ~~lJj I j . tifIR)!fl ~I 1 I Ji. ! 1 1111 Ij J Jill tfl.ti~tI1 Jli i hit ,.. Is',;i I - II I II -II I'lollll'! t.1 I'I~' II ..,,,llll!.!./. It I i I!- I t~:j ~~~1'~~! ! Iii If U!Ulas II.. .. ~ .... hi J Ii !~~ Id &~d :~.. !_~ ~_ ~ ~o U~ 0 "JC~N . nJ~ IjJl1 J~bl I"" 8o!i1oo ;;c:!!2C1J~ I zU 4 n h!t ltlli !jhUai h itj,t~lii!l .1-; -IJ t.. J 11111111 If "11~tJ& · HUliu II ." n .:.,::.: .1 1 ~4 I 1,1 II" It I e I II " . 1. II JU n! z. Ii li!l Ii lJi lift lu~U,i "HIU!! rdut:1 I I . ~ II I :I /I \J ....<CID uzc II ul i tn Ii II.d I ill I Ii IIII 1 . i't! 'I' II ..111 ,II hI! !II Iltll p~ 11!1 1I I~ 11111 ,hllllHllll'! . ij !, Iltll .!l1 it II III 11111 i ilb U I j\.> hill!" 1-;11111 I ' I ,lhH.; ~Ht d j I tlul~ I Il~~l~~~ I~~~~ I" 1111111:1 I' ~!!~~~dl~~~~ ita I" !iilll~ I dn&l~ ".. uza ......N d( !! ii i .... <>z ......N f 8..,~~~ii~i ---_..---- --- ''''F~'''''~'''>>~''''f~~!I!!~!il' ~,,_,__ ,.,_ ,-'~~ -- __-,'1Irnl'l.......--ljIJ['''m'"'r!~I''!.... , ,~ > ~~'I!II!lIl!II!!I~I-t1'-~...,. 1 _ ,_, _I .l r~"~"'-~' ^, -,-,- ''''-'r'''F~L~, . " '"-~- EXHIBIT '"B" O~ It) - " ~l ~- ~" ",,c/o -" """_ .'? '.-" ~-_" -'- -, -. ~'<"- :!il SHERRY J. LURIE f'~>' '. i~~W 213-60-3301 ....'...' , --. The Pfizer Stock and Incentive Plan STATUS NOTICE. AS OF DECEMBER 31,%000 Y... _.-.4 ill rlMfo/loulillt; opcio"'. ThoI. 'pM'" ma,rp.....nJly 6. .".,..;.,.rf: GRANT GRANT OPTION GRANT VESTING TERMINATION SHARES NUMBER TYPE PRICE {$1 DATE DATE DATE ,0370 aOATB &.7S 08/17/91 oe/17/93 oe/l&/02 1,500 " ';0423 ISO AT8 S.71 08/25/94 08/25/9B 08/34/04 1,920 ,""GI~' .:ISO ATB 12.42 08/22/ft 08!22/97, oe/2'1/08 942 "ossa., \' ISO ATB 3~.21 08/27/98 08/27/00 oe/26/08 634 " TOTAL veSTED OPTIONS: 4,898 Yo.. CIl'I MllJf,llJiIl rlMfollowi", 'pM"'. ThoI.."w'" ma,r no16. .".,..;.,orl..nrillM ...m., Gala: " GRANT GRANT OPTION GRANT veSTING TERMINATION ~BER TYPE PRICE ($1 DATE DATE DATE 1120 ISO A T8 42,OT 04/22/99 04/22/02 04/21/09 TOTAL NONVESTED OPTIONS: SHARES 4S0 450 " COST TO EXERCISE ISI pOTENTIAL GAIN $ "" 10,1:15.00 " 81,,878.00 10,963.20 " 77"IU.IO 11,ISI.14 ' a:1:,132.I& 18,10:1.\4" ,', ,.1,711.811, SS1,58?-t, $173.82e;02;~ '.. . . . '." " . ~ . ..., ., . ':::'I':',;~~' 1""\~ ,'., ;-:.f.:,'':''.....~:',~_il'' , .~. '. ..,' "''-'~' COST TO' ..... pOTENTW. ' EXERCI$E ISI 0:,:;: GAIN ,::teI , ...~ , 1,71!a..10~. $1,7SUO ,1I,S:U.5Q S 11,831.50 , " TOTA.L VESTED AND NONVESTED OPTIONS: 5,346 .70,5U4' $175.~ o. . . " ~) . "I .--....-.---.... "'-~-""^""""",~,-~ - "", ~ : i. . . ~, - 1 ' ' i--- ""-""'i""~'''''''J , -~-~"'- .'~ "/,:;J ,. - ,~" ~ EXHIBIT 'OeD . ,-., '."J ",.' - , . , r ~A I~~"' " ;~ o , H") '-, . -'I"'-~"""C'''''''',1'_ '11r::J ~7,i~ j' ..hxnr hln 23., EooL 42..d 5..... Now York, N'1(t;iIljl.575$ "';.";~ .'.'-", ,. ' Deu Pfizer Col1eague: YoJ,lt Pfizer stock options p~e you with an Opportunity to share in the Company's future suc=L To help . JDu make the most of thia opportunity, effective January 1, 2001. Pfizer bas enpsed Merrill L-,ncb IS the 'IJ:rice provider for our stock option prop-am. Merrill L-,ncb was selected based on their ability to offer comproheDsiw servlce to Pfizer employees. Th. enclosed guide and related materials provide the informatioD that.,ou will ueccI : to a:rc:iae your stack options, includins bow your Merrill Lynch brokerage account will work. and the rmge of SIt'YIces avaiIab1c to you IS a Pfizer employee. Te,.,.I1lIJ'fU, compkt4 liB" arulrellml 1M encIoud :Brekcnzge MalUllf Perm immt:diatdy In tM ~ pm.1,JMI Ill' I1pen ytJllr br#kcnzlJ. II<<J>>JnL Do thu IU soen lIS pom'Dle beawe ytJlI mllSt have your /mlkerAg. -~ Nt lip In ~ III -au your Pj/ar sfDI:k opllotu tifter DeumlHr 31. 2000. If you do PUJf have . brokcnzge M&Dunt attIblU1wl, ytnA' w/IlllDt he IIbIe to curW' your opt/inrJ. ' 114 sure to complete and slan the form in its entirety, incluclinS the appropriate W-8BEN or W-9 sec:tioIls. 'I'hia will help ensure that your tax identifkatlon information b up-to-date. The enclosed brochure provida inItruc- tic)ns fOr complelins and retumins the Conn. Once your Brokerage Account Form bas been procesSed. you will receive a letter with your Personal Identification Number (PIN). which you will neec1 to access your penona1 ~unt information throuSb a personal computer or over th. telephone. You can chanse this PIN to a five- dlsit number of your choice.' : UPleueDOte that the enlyWll.YYOU can exmiseyour Pfizer stack options after'December31,2000 b,tbmush a) . MerrIll Lynch brokerage account. After you ewcife your options, if you wish, you may transfer the stack or , cash lo another broker of your choice or lo yoursel! , .Alo1l8 with a:p1aining liow to exer~ your Pfizer stack options ihrough Merrill Lynch, the enclosed guiciC incluclea the Terms aDd Condltlons of the Merrill Lynch brokerage account and important forms, n1atcd materiIIr, , anc1 information ab~ other serricds Merrill L7ftCh will provide to you. Plaue keep these materiaIIln a safe place, .. you will need to Rfer to this information when you exercise your stock options. 'I'hllll will be IlO cost asso""-' with opening. brokerage aa:ount with Merrill Lync:h.1n acIdltioD, we expect , that certain feea associated With the $UVi= provided through this 8ccoUllt will be lower, on mrage, than those . that have been assessed previowly. A Fee Schedu1e is includc:!l with this guide. Plase aip and cetum the Brokerage Mcountl'orm immediately 10 that you will be able to exercise}Ow stock optioDa after December 31, 2000. If you have IIJI)' questions about the brokerage account or about eradains Pfizer stock options, llI- contact Merrill Lyucb, toU-free in th. United StaleI, Puerto lli<:o, and Coft...I.. at 866-P~O (866-734-9310). Outside the United States, Puerto Rice. and Canaela. tbe telepbollC Dumber to call b 732-563-8766. This number is not ton-free. . Slacerely, ~Mr-~...L.- '_ 1lJIlbdone, Corporate Human Resources ~~ Tom I?onateUi Corporfle Finance I I!nclosures ,-""" ".. : ~~ 1- , ' " ~ ~- '. '. " :). " I' ~. "~, ","'~,...o ,-,""..",,,, "-<"'-'"-""._""'~""-' H--'-''''<'''","~I(. ..:"" '!- .' - ~ "II ~" EXHIBIT ODD "T1) 'r.:., ;:w'i:,; [" , , ~ fr''''''-'-"~''~' -', --~-,-, ,-,' - ~". " , ,. -,~ -, ~,.- 8017 -Ar r./ ("( 200/Ite t? "I 'c ,.'i.of r: ,~.767~_:, , '/OtIDOUAU' iYI'E.-=':'i~, , ,.:,~,,;:~:.~~;;~\ . It?u; . '~~l~""~:""';' : ., . . , . i '--~'-<-<7'''''~'"l;--.;'_,__, -1- - ,- '. " I .' . .1:. . " .'f:r.\ . :~<:~v "~.., '~Th I~~J f'iaiemJ.Lyach .,-..... (... ,:: PFIZER EXERCISE REQUEST FORM (PIcase rud and rollow the Iastrucdmu "" l!Jc _...... sId<I of Ihio form. Vie ODe form per option curdre) RCGelfl,A~BJiiI'!!jJRMI\TlQIf . ",......I/IlIIY..,WI//'r.. auOjlII:IlD 31"'IJ.S. bl/dllql wiJIho/d/tIglIX u/lle.. 1/1. ~ /Ix 1dt_1kln /nfoImOIlOII (W-SBSN/WlIJ /I MIIlO"_ &.,nc/L Mo....Ub.. ..l L ~..iL /) ~.2. Q.. L ' . (Uoo,..,1lccioI SeourityNumbet ifthal....bor....been ~plIIi II "'"' _ JIWIlbor lilr the PfizorStack Option Plan, or the Merrill L"""_....borlllllllilbod "')'llII"'=-Stacko,donP!all.)~~ ~I e.. . ' :"* =~=~'I~~~Fj :~~~ . '. .. DaytimeTeI~_ 1111'3~5'S-~? HomcTt!ellhoneNumbo.. '711 18;), $~,t (PI.... incladc u.s..... code or .....v.s, _w city cod&) ... SECJlON' 2: OPTIONS I AM EXERCISING _~ OI>.ionOtunlPri.. I,' . ~7 uss---1L...15 CllIntSufllx(GrontN_) 02; 70 . ~CJlONL. ,TYPE,. OF, EXltRCI,' SI!:.Se"""...ofthcf'allo....., OQ Caob l'Iln:hue Blccrcisc ( ) Corhl...-HoIdSrodoMl/kctOnler () Corhl_- Hold StocldDa\t Limit Ordor () C".III...- Hald Stoc!dC'..od Unal Ca1lGC!ed Onlcr ( ) CIIbIca - SellStocl< I!~arkct Order () c..w--s.u.StockE:~lciwoOfUmitOtd<t , () ~..,~Stooltbolci""OoodU.ti.C"""cdOnlcr () "'~1PII!lIt C~i.lrionIOood l1nIiJ C....lcd Onlcr FOR GlS1IPtlR~EXER(jj~E REQUESTS ONLY. (A) (,',ndJluiiCGU. ','.~,. ""',' ..., '" ,,~ld, I,;",'. 'Jf, ' ,,,, ~H Pri.. 0/,.", .ptions from th. W.,bh." on ,h. "".... sid. ./t.Is/.,,,,, QS.Ca!Ib,IIIcIDledlU.s 16, I ,.J.&(Cashi.mYBrok...soA......tS, ._ ( )f~1ltIcI.... rIt!J SlDCltOplillliS!riinss Acc.unt S ._ (&) 1.~"AIIW ,....."14 I/te t~ /HI, )1011' .ppl/..b/nlth"ldl", ""'from ,.. W.,a.eeI.ft 'h. ,...nul. o/tfl&/.,"" () 0\tIr8ocl9ocdU.S.s . ,'"_ () Solo orShans liarD driB Exotoi.. () Caob i. my M.rriIl Lynch BroItolqe Account (~Jic!klIarIt!JS~QpliqnS~viDssAccollDtS "_ To~,."r~.ti"" C/l0Ii!' (Q 11I'(1) Jpmlll"lI".,u.eeI.ft Ill. _me rid" o/tlIlljo,,,,, (C.).....~ ODIyitJlij ~~... Merrill Ll'lIdlwil...n...... sh...1O Plly~IiClbI. _lIld f.... ~,~-~pl(o!l)I!\lIIl,p~coix lIIIIlIber .ropti.lIIllelq cxcrciscd.) ,Ala_I: 1IS$ .'_ (D.) , ,Pil:psy1lll~ Pri...lId opplicable .......Ifyoilt lOIII plIyIIlClllI..ot sufBcieat to _ these IIII!lIlIIlI;,MetrilI Ll'lICb will scI\ ___Ill --~ " . '.Atu_ USS . . SE: .4i.~,t,linO ,'OR CASHLESSSELL srOCK IXERCl$ES, U.s..~~iSelAl<lDl\O.rlho lhll...... fa Nceivc1lleproceods .rtho.... in U. S.DolWs: ( ) ~~'~~;IO/D'i via dlIc:lt. Ploceods will lle SCII' fa the IlldtCII iIldi_d on McrriII Ll'lIch'. noo:dI. If,... w!sh ID cbqe tbot llddtas, P..... \lOtdlIl:IMOIri1!Ll'\ICbll 1~734-9310 (l466-PfIZER-o~ ' ( ) 090slt tile ~ p"""*'"in lilY MetrilI LynoIt BIllIca8ge Account ohown, in Sectio. 1. ( ) WOld T..... to lilY lleDk ~ lbave conlitmed t!lI\ Merrill Lynch bas lilY lleDk......... ialhrmotloa. Local C......C)' DIsi...utlo. Reqa..... A ree mey lle <lcducted 110m your p......... For IllOm iafillll\llio.. "'~r to your PI.. ..1IIIllUIlicodoD lIlIlIriiIs. C-1Iy I CIamIoy Rcqaatcd I Three-Louer CurrCacy Code: () 1Ioc:cMpI!lCO<4s...~' , --- () 1Ioc:cM proceods ... wiIo _rer. To lIavc your proceedllOlll'" wi", _lit, please proYido Merrill Ll'lIch willa ,..... wire __1IUbnuIiott pr!orlOtIle......liltlralllldi.!n. Yoa,_ do liIis byconll<tiDs .MeIriD LYn4I C_S~"" R~. lf~ ~ DIlIhis Ibm~" in . ~ or,..... disbunomeDt, 10 MerriIl!-ytlOb.lIll' ,PIO<ZCdI tom tho .1110 will lle dopoIited hi U.s. do1WIto JOur " .LY!!!;Ii.. ""., .,.4 mmL . .wiII~tbo",*l>rllll'ro..o..uoh!Bul;D!llio!ll,lIi~ -. IE,' " ON!osrCill~ ,." ,J'I~"".....lhI\dli._""roq_...'lbop__ln~owillllllollmli!""ODIIdl_.........rIt!JlofmiIILyDolI _OIld...._.rlho'!1;IIiCtOpli...;J~IIIl'~....~IOIOIIIIOGIr_SEC, Rule 144l14SI.r"o,Sooli...l4ofl1ccr. _,..,.51_ ~' ~., ~ ' Doto: l./,/5',/0 I " ' Number .FOpciaro to F.>cc.o.... / . :5'00 . limit Price: . LimitPricc: USS USS "- .- Linrit Pric:e: Limit Price: US! USS "- "- ( ........ .. '. ".-."--'-'" "'-~~'.. ..-_",,,,..,E'i"V""~. ."'_"~ '" ,- -~"'l'''"~" ,__1 d'!'1 - ~, "'- . . . ...~,;","" .' , "" ( ,., I ~~~ILl'IIcJa ~ ',-, ..~.J.W) ~ PFIZER EXERCISE REQUEST FORM (PIeue read Ind follow the Instnl<tlt>ns on tII........... sId. ot this ftl...... Use "ne form per optlon uerdse) ........i<: .'" s~~'" ~ACCOllNTOO'ORMATlON ,.,..._lIletyau lIIII/ ~ au/lJfClIO 31" U.s, bat:Iwp w#IlIIcIliIng "'" _lIle epptfljltfI/e "'" Ide~ infamlIIfcn (WSSENIIMl) ill 011 file .- Lynch. _Nombor .2:. 1 .Q ~ Q....2.i Q..L . (Usa_SocioISecurily N....ba' iflheiiiimba' hos..... daianooo<! asycur ~' number filr the Pflzer Stock Option Plan. at the Marin Lyndl___l,1hod "'~lllr:r_S""OpIionPlan.l Sf/t;~~ Lv..I!./E. :-- ~ I~~~i~,~t~~~~ <;~: ' _ ' ~ .- _ Oll":X:; '1 i 'J 13:l :,,"'j. H_TelophcmeNumber: 'J I') 13;;2. S":56 h (I'Iwo include U.S. .... code at -US. COUIIlIy and city code.) ~... Tel..... Number. RenON 2, 0P110NS I AM EXERCISING 0pIian a.aIllle Cpli"" Grtnl Price <jJI'ffJr!'fI)~:r " lTU .~ ..2) GlonI SulIIx(GnJnlNuinbct) IJ t.f :J ~ Numba' ofOpciono to f,=i.. I q:).() . SECTION 3. TYPE OF EXERCISE. Sol", one ofllle iIlllowins: 0() CaIb Purc'- Exelcile ( ) Cashless -llGld Stocl</Mall<et Onle' I) Calli.,. -1lG1d S"",k!Day Limil Ordo, I) Calbl_ - Hold S"",k!Conod IIntil C.ncoled Order () C..bI... - Sell Sklck ExcrciselM8tket Order I) CasIll... -SeU Steck Exo..iselDay Umil Order I) CasIll... - Soil SlOC~ ExerciselOaod Until C.nceled Order () El!ercise Requesl C""cel,~tionl(jood Unlil Canceled Onler TOR (;ASH PURCHASE EX61ICISE REQUESTS ONL Y. fA) inIJkaI./Jow you woulii'llkll. pay Ih. breis. Pm of YOU' opl"..f- Ih. Wo,ksh..." Ih. _ sid. of/bbfo",,: OOc..hEaclosedU.s.s 10,9,,3 ...z,aCashinmyBro,,"",scAo;ount$ 0_ ( IF_hoId in lIlY SIIlcIc Ojmon Savings Account S' 0 (B.) ImtIt:./d... 1"" ..."M Ilk. /JJ PO'1"'" .,p'ko." Jt/llhho1d1nllllUftsm lb. Wo,ksh,,'o~ /h. ,,,,n.lllk O//b/8fo'lII: ( )~~ U.s.s " () Sol. .rs"","" fioom dIis Bun:i.. () Cashi. mY Mom'll Lynch B"","",," Acoo.ot ( lFoaibllolll in lIlY SIIlcIc 0pIi0n Sovmgs AcoouatS 0 ' T....~.,""'"".._nl. dIolIS.(C)., (b )j'nJmllt. W"W,"o.Ibt,..,,,,, sldqftlJJifom,: (C.) -,-1'MpIy only1lle Exercise Price. Merri11 Lynch wl1l sell some shares kl pay appliClble taXei IIIId ro... (ExcrclIcPiil:o -opdm.... price. number .roplions be... cxcrciscd.) ,Am_I: USS ,,_ ' (0,) _ PnlJIOY the ExcrciH Price ond applicable1lXeS, If you, lOlal PlI)'III01It II not sufficient kl,covcrlhesc amounts, Momll Lynch wl1laensomulwcs to ~l\!t~. Am_I: uss " , SEmON4- DISTRIBUTION, FOR CASHLESSSEU. STOCK EXERCISES. U.8.D;iIla,Ilk!rl1latloL Select one .flhc rollowins kl recci..1hc "",..Ods .flbe excrciac in U, S. Don8l1: ( ) SOlId tho___plIICCCdS kl me via cI1cdc. Pru<ceds wl1l bUcnllO tbc addtess indicated_n Momll Lynch" reco,ds.lfyOll wish kl chIIISC tbataddms, pl....oq&1IQlMcmll Lyneh .1-8d6-134-!I370(I-866-PFIZER..o~ ( ) Ocposltlhccxcn:lse pI'OCCCCIs in my Mem'U L)'IIcI1 Brokeraae A-.nuhown in Section 1. ( ) W.... Trans'" to my honk _nL I have _finned tbat Marin Lynch h.. my bank ...."'" informacion: '....1 C.......cy Dlstriboli.. RcqllGlL A r.. may ba deducted rrom your proceeds. F... mo.. in'omullion, ...lCr 10 your PI.. _uaicalion _alL COUDlly/C1III'ClICy1lequaoled , I Th_Lel1ll'CutTcncyCode: ___ I) Recilve JIl'*Ods via ebeck. () Receive prvcceds vi. wi.. _lCr. To have yo'" proceeds sene vi. wire _lOr, please provide Marin Lynch with your mlrllnSlCr inllmDalion prlo.to Ibe mlrllnSlCr _ction. You can de thil by contaclina' Merrill Lynch Cuatomcr S.rvi..'~_wivc.. It the iIlawmaIion on thi,limn rcsuIts'in . _ of your disburmneul kl Merrill Lyneh. any P~C:c.lItllomth....o win be deposited in U,S, doll", kl your tdemlU.~ ~.I!II!I MemllLynch will not ~ liable lbr any !ossa due to 8uctuatians III ~ ...... RenON 50 SIGNATtIR!.I ~snd..... dill...;,....... requeoI will be....- in ..~_lhe...... and _Id... ........11I\' Merrill Lyneh _lIlddw _ofdwPtJSlOCkOption -'"' I ~ ..........IIJly..,..w.d oppnlvallOseII__ see RUf 144111-' ......_on 16 oftlcer, ' .' ParticipanISI_-#L~.l':1 ?/.....-;lii),A J Dote: r.f,l? 10 I " , LimilPriGe: . I.imitPricc: USS lJS$ o _._e_ Limit Priec: Limit Price: USS IISS "- '- """-'-",!,,_~""f'l!I"I- ",", , , -- '.'- . r -~, :tI .., I - . .~;" ......, ....- '. \ .. '. , ""ff."' f:R' r~ '<. ",\' ~''k' ~'r!;..,' ~.(ki~ _ ~MerruIJ.yacll i ;'j . ~.'~, PFIZER EXERCISE REQUEST FORM . (1'leue _d end follow 1II.lDItractlons .. III. ........ aide ottJa/s to...... 11M _ tor!II peropdn aenIIe) :';"';' .~~,"~iiti,,.~~-:c: -.WIJIhoIIfIlr1IallUllleaItJ.."",."".1all1de ~ !II' - .~: ::.'~, .2;.L ~..k.1l..:fJ..z ~ /: ,', >K::,:f.~ (UII)!lOt~SocoqNul!l1!cri(,_..bcr'bai"" cIaipoIoIa)'llllr........tbir1br 11Io l'lizorSlDclcOplan I'IIn, <<dill MarilI Lynob -...... ,.,..... re::-s...OJ*e......~HeiR.~ ~~ ,:' ::" ;:':',;;:;', . ' ,M..: " ,..- ~' ~ ~~ ,,'.' " ~P./ ~~ ' . .",e,';':' '".,;;::",/;/. tit~~!UlIlor. 'JI'J ?~;;l. 5''St,I.. HomeToIcp.....Numbor. ?J? ~ii'ssi.r~':":}J~P, ,q,~~", , ~incIUIleU.s.....codo<<.....u.s."""*Yond.iIycod&l ,":;':'~:. ',~:z:OPtlONS lAM EXERCiSING / ";~~ OpdaIIGou&_ '~" ~~ Il8S IJ.~ 'GIIIIl,SulIIa(9lln&-l ./) t.. 00 $JC110I'U..'DH,':' "O.,li'"dERClSII.SeIlol....oflllofllllowins: ~ CeI/ll'mcllolt ExIIdH . () ~-!lQldS~OIdot ( ) CaMaa.-HGldSlDddDey,tJmitOnlor () c:a.w..- HilId SIIlcIo'OaaiI U.~I CanooIodOrdor , ( ) CJsbIaa-ScllSfIlck ~t Orda' (l CaiIIIou-SeI1SlDck~sdDayLimitO...... LimitPri"", USS ._ () ~-Sa!lSlDck~Gn04Unlil~OIdot LimitPri.., USS .._ () ~~~Ih!IiICaIIoclcclOldot. , 'OIl(:Ml!"~~~~"'V REQUESTSONl.y' (;IJ,~-., ioII"""l4, ',,',' '. il... ,'/D,pO,_,FnicU.t'm'q{JOWoplltJlUpomlb, W.'u....""Ib.-.-.Id..f_/olMl ()(~IIII".k.~",'.., ..".u"JIS,II"!J,.":~,.fer,,.',h_l,!....!, "Cp Cash, i...yBIIlTcorapAccou.tS '_, (">l'_UWiaIDYS~lepa...ra.iia..~tS ._ (AJ,I"... UlPPl' lIIOIIl4.,o,.,,.,,, op,lkdlnllJJholdb/J =/""" IIu W.tub.., M tIr,.~. 11M o/__/ontC O.hilooo!IU.u " '., .'_ OSaloofSII...dl_dlisElooroioo()Calrill my Morrill LynclrB......AoCouat ("lioiI4il1,III)'S.opd!l8~AoCouat' ,'_ . r'~~""Ci!",~II"'~1Ul4 p..~(C) OI'(D)po..t1rd'RIt4hutMIIu -IIM'("'~h- , , (C.),_~~~~._;MorrilILYDcIa wWl!lI!~sha!atoplI)'opplli:olrle -~- '.. "'~ i"';~:;~:' ~1lIIall..~....pri..~lIllIIIberotop_lltIIIJa<<ciIod.) ,,,,,,",,,USS' ....:.;;.;': ' CJ).)_\WII)'lI-~Prioo IIj4 oppllcable toxes. IfyourlOCll ~ iJlIlIIsuflicienl fIl_lIrcM IIIlGIIIIlI,N..mLyacIa wW 1III_sha!a. ~~~, '.' . . . . ,:~USS".'"'' B~~"~W~'~'''nnON poRCASHLESSSELLSTOCK~RCISIS. . ' ' 1f.&~Pk~ SoIed_ioflbo lbl\oWiDs ID ftICl!ivtlbop""*"'" oflbo~ ia U.S, Do.., , . ( )~~~~~'~ID~'Il8 clIII:Ic.Placicdswll\beRlllfll dlO addna lIldlated..Mmri\J L)'IIc:h.I..........lf~wiIII fIl...._.... ..~~LlDc:h.I-866r-734-9370 (1-866-P~00). " ( )~ lIIU....pracecdsill'my Morrill L!'IIc:h B~ A.,.IIDltlh_ ia Soodoo I, . ( ) WinI T...&rfllmy 1lIIlIc .......t.I_ ...ftrmod IIlDtMortiIl Lyndlllu my bllllc .......tbjl'OfIIIIIt!oo. Local Carreacj Df*lbIlUAa Rtq1l".... A feet may be dedw::tcd.&om your. proceeds. For mG.. ~ dr 10 your PJaa. _.".,~'6...a_ -.......:.1. ~/c-cyb{uatlld I ~CIlmllCl'Codt: ___ () IleccIv. pnICIIodI vie dI.de. , () IIcoive ~ via wi..!Innriir. To _ )'OW' P"!C<<CII- via wire lI'IIlIar, pl. ill"'Yiclo Merrill Lyodl willi your win lnIIIlir JDlh-tl- poforlD!bo....lnIIIlir~ Y......cIolllilby"""........IIMorriIIL!'IIc:hCullomor*"~~_ .' If!bo!l>c~ ~1; OIIl1!iotomrnsultsiD._ofyour~IDMorriII'I.;)'IIdl;!IDY "'IdIhmlboSllewWbe4 ~ t ..tIlaU.s.cIa1DIIllI)'OUI' ~t! ,_!ll!li;!il\4~IL\rnol!wWno\bollobl'~WlosloS.m,~.~bL "'....... ", , ." 5.SI",~I~JlIlI..thatthfl_..lIq1loI!,.;nb6p~fn~wid/dIlIiAoDllIlI____....,.r.;lII)'NaaiII~' _1lIlI1III_~1III -~"e}~~~lIqulI04lpJlll1Y11to""""""SEd""'I44/1<l5<<ul""lhll1"'" "". -"'st-= : ~.' ~ ' DIre 11,/$'101 ":\: ' ': .. i " NlIlIlbotofOpdamtoElllMe Qif :J. " .. .. ~ .~ '. .. . .;.l..i .' . "iit. r:-~, Limit Pri..: Limit Pri"", USS USS "- '- '. \ '. ~ '... ,- ....--....... . ."".".,1"'", . ~ ", "-,. l~-"'~~ ~ . "I'" '-''''-~'''Ft'''1'",<'4f j . -r <. r (,:) ,"J~ :;1 - EXHIBIT 'liE" " :ff) ....'IlII' d "' ,. "-,-,-, o '., , ...... . 'I , ...'\ . :J ::J Warner.Lambert Consumer H..~ . Pfizorln.':.'/ 20 I Tabor Raad ' .. Morri. Plains, NJ 07950 Tel 973 385 2000 ..,,',.... ''-,- " Warner-Lambert Consumer Group Rossana Gray Senior DirCOlOr, Human Resources " Aprl113,~001 Sherry L. Lurie 1835 Red Spruce Lane Mechanicsburg, PA 17050 , .. Dear Sherry: As we discussed we are returning your check in the amount of $32.787.84 since your stock opUons have expired and cannot be reinstated., We regret that you experienced dlfflcullies during the separation process. r will call you by the end of this month, or sooner, regarding the stock option Issue. If you have any questions, I can be reached at 973-385-7049. Regards, b;-~ Senior Director, Human Resources Consumer Healthcare U,S. co; Peter Wentworth Attachments Ii " II .' .' ~----"-"-"'~-"'.'.- . - - ". '-,--"?r'iff'i~ "~"" """~~ ~ _""",_, ~~ ~" r........"!'"'<...' M~~~ -'" , t ,. , . .. ~ ."") ";"'.," t{::,:~~i '''1 . .f Barbara Sump1e-Sullivan, Esquire Supmne Coutt #32317 549 Bridge Street New Cumberland, PA 17070 (717) 774-1445 SHERRY LURIE 1835 RED SPRUCE LANE MECHANICSBURG,PA 17055 Plaintiff . IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYLVANIA NO. 01-5914 Civil 2001 v. PFIZER, INC. 235 EAST 42nd STREET NEW YORK., NEW YORK. 10017-5755, Defendant VERmTCA TION I, SHERRY L. LURIE, hereby certify that the facts set forth in the foregoing Complaint are true and correct to the best of my knowledge, information and belief. I understand that any false . statements made herein are subject to penalties of 18 Pa. C.S.A, ~4904 relating to unsworn falsification to authorities. DATED: &/M-z. ~;!~ SHERRY 1. URlE . . '-''--f;~''_-''''-,''r," ,. . "." ~,_ >,~ . 'I~-~ ',,' "- "" '" . 'I ~~[ ,~ ..., . .. 'I , ,~!;r~ ;. ~-;~rtJ '~:-1'\ ''''~ ' t~:., !,!!.~:. Barbara Sump1e-Sullivan, Esquire SupreIl1ll Court #32317 549 Bridge Sueet New Cumberland, P A 17070 (717) 774-1445 SHEaRY LURIE 1835 RED SPRUCE LANE MECHANICSBURG, PA 17055 Plaintiff ' IN THE COURT OF COMMON PLEAS OF CUMBERLAND COUNTY, PENNSYL V ANlA NO. 01-5914 Civi12001 v. PFIZER, INC. 235 EAST 42nd STREET NEW YORK, NEW YORK 10017-5755, Defendant CERTIFICATF. OF SERVICE I, Barbara Sumple-Sullivan, Esquire, do hereby certify that on this date, I served the foregoing Complaint, in the above-captioned matter upon the follOwing individual by first class mail, postage prepaid, addressed as follows: Caroline M, Austin, Esquire Wolf, Block, Schorr and Solis-Cohen LLP 1650 Arch Street, 22M Floor Philadelphia, P A 19103 Barbara Sumple-Sullivan, Esquire 549 Bridge Street ' New Cumberland, P A 17070-1931 (717)-774-1445 Supreme Court ID #32317 DATED: March!.l:..... 2002 , :--'-'i"__'''-='=_~~, , -',_~,__"' _ ," " 1-- ""' ~ ~- - , ...... ""'''~'>'C;~''ff<\~_''''~' . - ,- Exhibit B ""1 r'~ ,,,~~ .. I " ~ WOLF, BLOCK, SCHORR and SOUS-COHEN LLP By: Caroline M. Austin, Esquire Identification No.: 75228 1650 Arch Street - 22nd Floor Philadelphia, PA 19103 (215) 977-2336 SHERRYLURlE COURT OF COMMON PLEAS CUMBERLAND COUNTY PLAINTIFF v, PFIZER. INC, NO.01-5914-CV-2oo1 DEFENDANT TO: Prothonotary Please take note that the above-captioned case has been removed to the United States District Court for the Middle District of Pennsylvania pursuant to 28 U.S.C. ~ 1446 by Defendant Pfizer Inc, A copy of the Notice of Removal being filed in the United Stales District Court for the Middle District of Pennsylvania is attached hereto. ca~~ Caroline M. Austin, Esquire Wolf, Block, Schorr and Solis-Cohen UP 1650 Arch Street - 22ndFloor Philadelphia, PA 19103 Attorney' for Defendant Date: April 3, 2002 DSB,S34075.IIPPlOO3-15662S "'"""'Y""""fl'''''_-''~='~ '''~', ~ . ~. . h ~ , " , ~ERTIFlCA TE OF SERVICE I. Caroline M. Austin, hereby certify that on April 3. 2002,1 caused a true and correct copy of the foregoing Notice to the Prothonotary to be served via first class mail. postage pre- paid to the following: Barbara Sumple-Sullivan, Esquire 549 Bridge Street New Cumberland, PA 17070 c~~ Caroline M. Austin. Esquire DSO,S3407S.1/PPIOO3-IS6628 ' <-~'--""-".")'''''!l!';$_ -,,,,--,,,,--,, , - '~~'1""'1"- ~ ~ - " ~ ~ " ~ t") t - " ft~ - if: ~rJ. ~ , ,0: I ft~! lE 1- .... ~'~.~ - \ . ~ -~,''---:''~'-'~''''''F ~"- ' -"' _!JQIW" I~ ~_..~ - ~r ,,,~~-~~ Curtis R. Long Prothonotary Renee K. Simpson Deputy Prothonotary John E. Slike Solicitor . <l&ffice of tbe llrotbonotarp Q[umberlanb Q[ountp Court of Common Pleas Cumberland County, Pennsylvania RECE\\! b;U HARRISBURG. PA ~PR 2 2 2.002. Docket No. 01- 59/1 C:lv;! ~ "..,;on'" '0'1'\' . ,...,- MAti y 1:. 5 Per Please acknowledge receipt of this case by signing and dating this document. Please send this back to: PROTHONOTARYOFnCE ~ CUMBERLAND COUNTY COURTHOUSE ONE COURTHOUSE SQUARE CARLISLE, P A 17013 Attn: Becky Record received: Date: J pJl (~9f1turJ & title) ? ) L I~, , Ii ri ,,' ~7 ;if" "" ~ ~';'" ""~"""'"'~,.~ , ~, .~~.