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Form 8.3 - Abbvie Inc

26th Aug 2014 15:11

FORM 8.3

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY

A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

Rule 8.3 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a) Identity of the person whose positions/dealings Barclays PLC.
are being disclosed:
(b) Owner or controller of interest and short
positions disclosed, if different from 1(a):
(c) Name of offeror/offeree in relation to whose ABBVIE INC
relevant securities this form relates:
(d) If an exempt fund manager connected with an
offeror/offeree, state this and specify identity of
offeror/offeree:
(e) Date position held/dealing undertaken: 25 August 2014
(f) Has the discloser previously disclosed, or are YES:
they today disclosing, under the Code in respect SHIRE PLC
of any other party to this offer?

2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE

(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)

Class of relevant security: ORD
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 3,288,177 0.21% 3,935,650 0.25%
(2) Derivatives (other than
options): 3,247,882 0.20% 0 0.00%
(3) Options and agreements to
purchase/sell: 6,402,600 0.40% 7,632,200 0.48%
TOTAL: 12,938,659 0.81% 11,567,850 0.73%

All interests and all short positions should be disclosed.

Details of any open derivative or option positions, or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

(b) Rights to subscribe for new securities (including directors’ and other executive options)

Class of relevant security in relation to which subscription right exists:
Details, including nature of the rights concerned and relevant percentages:

If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE

(a) Purchases and sales

Class of relevant Purchase/sale Number of Price per unit
security securities
ORD Purchase 50 55.7600 USD
ORD Purchase 75 55.4500 USD
ORD Purchase 100 55.4000 USD
ORD Purchase 100 55.4150 USD
ORD Purchase 100 55.6800 USD
ORD Purchase 100 55.6900 USD
ORD Purchase 100 55.7250 USD
ORD Purchase 100 55.7400 USD
ORD Purchase 107 55.4392 USD
ORD Purchase 167 55.8200 USD
ORD Purchase 200 55.4625 USD
ORD Purchase 200 55.7100 USD
ORD Purchase 200 55.8450 USD
ORD Purchase 214 55.7385 USD
ORD Purchase 215 55.6923 USD
ORD Purchase 230 55.5260 USD
ORD Purchase 242 55.5100 USD
ORD Purchase 263 55.5005 USD
ORD Purchase 266 55.8121 USD
ORD Purchase 268 55.4700 USD
ORD Purchase 278 55.7777 USD
ORD Purchase 300 55.8433 USD
ORD Purchase 300 55.8766 USD
ORD Purchase 373 55.7800 USD
ORD Purchase 400 55.5375 USD
ORD Purchase 400 55.7300 USD
ORD Purchase 400 55.8375 USD
ORD Purchase 500 55.5140 USD
ORD Purchase 500 55.7900 USD
ORD Purchase 600 55.7866 USD
ORD Purchase 724 55.7751 USD
ORD Purchase 800 55.7850 USD
ORD Purchase 800 55.8312 USD
ORD Purchase 800 55.8499 USD
ORD Purchase 800 55.8599 USD
ORD Purchase 990 55.8002 USD
ORD Purchase 995 55.7905 USD
ORD Purchase 1,000 55.5235 USD
ORD Purchase 1,024 55.7660 USD
ORD Purchase 1,200 55.8075 USD
ORD Purchase 1,285 55.5332 USD
ORD Purchase 1,297 55.7459 USD
ORD Purchase 1,319 55.7831 USD
ORD Purchase 1,435 55.5221 USD
ORD Purchase 1,500 55.5566 USD
ORD Purchase 1,597 55.7450 USD
ORD Purchase 1,600 55.8066 USD
ORD Purchase 1,600 55.8386 USD
ORD Purchase 1,702 55.6970 USD
ORD Purchase 2,108 55.5447 USD
ORD Purchase 2,127 55.6903 USD
ORD Purchase 2,309 55.5290 USD
ORD Purchase 2,568 55.8234 USD
ORD Purchase 3,603 55.7727 USD
ORD Purchase 3,914 55.8120 USD
ORD Purchase 4,876 55.7486 USD
ORD Purchase 6,210 55.8361 USD
ORD Purchase 6,582 55.8191 USD
ORD Purchase 8,121 55.8183 USD
ORD Purchase 8,659 55.4560 USD
ORD Purchase 8,700 55.7763 USD
ORD Purchase 10,300 55.8115 USD
ORD Purchase 10,300 55.8283 USD
ORD Purchase 11,116 55.7520 USD
ORD Purchase 11,634 55.5453 USD
ORD Purchase 13,870 55.7733 USD
ORD Purchase 14,900 55.7951 USD
ORD Purchase 16,773 55.8345 USD
ORD Purchase 17,454 55.8336 USD
ORD Purchase 17,533 55.8351 USD
ORD Purchase 24,757 55.7616 USD
ORD Purchase 34,381 55.8217 USD
ORD Purchase 54,257 55.7667 USD
ORD Purchase 66,503 55.8318 USD
ORD Purchase 107,370 55.7835 USD
ORD Purchase 216,386 55.8068 USD
ORD Purchase 2,504,152 55.8700 USD
ORD Sale 50 55.7600 USD
ORD Sale 81 55.7388 USD
ORD Sale 100 55.8300 USD
ORD Sale 100 55.8400 USD
ORD Sale 100 55.8610 USD
ORD Sale 100 55.8750 USD
ORD Sale 100 55.8900 USD
ORD Sale 111 55.4800 USD
ORD Sale 113 55.8584 USD
ORD Sale 139 55.7777 USD
ORD Sale 146 55.8298 USD
ORD Sale 153 55.8161 USD
ORD Sale 177 55.4600 USD
ORD Sale 186 55.8200 USD
ORD Sale 200 55.8075 USD
ORD Sale 201 55.8500 USD
ORD Sale 290 55.8568 USD
ORD Sale 300 55.5166 USD
ORD Sale 300 55.6766 USD
ORD Sale 300 55.7500 USD
ORD Sale 300 55.7966 USD
ORD Sale 300 55.8450 USD
ORD Sale 300 55.8666 USD
ORD Sale 300 55.8716 USD
ORD Sale 323 55.5024 USD
ORD Sale 397 55.8597 USD
ORD Sale 400 55.7650 USD
ORD Sale 400 55.8375 USD
ORD Sale 498 55.8205 USD
ORD Sale 500 55.8860 USD
ORD Sale 579 55.8220 USD
ORD Sale 600 55.7691 USD
ORD Sale 600 55.8766 USD
ORD Sale 700 55.8257 USD
ORD Sale 1,100 55.7609 USD
ORD Sale 1,269 55.7894 USD
ORD Sale 1,275 55.7539 USD
ORD Sale 1,300 55.8238 USD
ORD Sale 1,381 55.8166 USD
ORD Sale 1,382 55.7982 USD
ORD Sale 1,400 55.7757 USD
ORD Sale 1,400 55.7764 USD
ORD Sale 1,400 55.8121 USD
ORD Sale 1,477 55.7815 USD
ORD Sale 1,600 55.7487 USD
ORD Sale 1,600 55.8187 USD
ORD Sale 1,600 55.8668 USD
ORD Sale 1,688 55.7882 USD
ORD Sale 1,700 55.4994 USD
ORD Sale 1,700 55.7997 USD
ORD Sale 1,700 55.8000 USD
ORD Sale 1,700 55.8779 USD
ORD Sale 1,800 55.8113 USD
ORD Sale 1,900 55.7805 USD
ORD Sale 1,900 55.7913 USD
ORD Sale 2,138 55.8100 USD
ORD Sale 2,525 55.7992 USD
ORD Sale 2,846 55.8800 USD
ORD Sale 2,940 55.8266 USD
ORD Sale 3,038 55.8453 USD
ORD Sale 3,200 55.7810 USD
ORD Sale 3,200 55.7829 USD
ORD Sale 3,210 55.8083 USD
ORD Sale 3,300 55.7981 USD
ORD Sale 3,500 55.7977 USD
ORD Sale 3,508 55.7825 USD
ORD Sale 3,908 55.6287 USD
ORD Sale 3,919 55.8389 USD
ORD Sale 3,995 55.5207 USD
ORD Sale 4,200 55.8467 USD
ORD Sale 5,200 55.7673 USD
ORD Sale 5,896 55.8286 USD
ORD Sale 6,011 55.8326 USD
ORD Sale 6,787 55.7800 USD
ORD Sale 7,500 55.8052 USD
ORD Sale 9,311 55.8213 USD
ORD Sale 9,449 55.7782 USD
ORD Sale 10,800 55.8372 USD
ORD Sale 11,083 55.8539 USD
ORD Sale 11,200 55.7641 USD
ORD Sale 11,318 55.8065 USD
ORD Sale 12,410 55.5055 USD
ORD Sale 14,800 55.7687 USD
ORD Sale 17,000 55.8056 USD
ORD Sale 17,885 55.8533 USD
ORD Sale 20,736 55.5415 USD
ORD Sale 21,743 55.8157 USD
ORD Sale 22,328 55.8054 USD
ORD Sale 25,961 55.7988 USD
ORD Sale 26,734 55.7538 USD
ORD Sale 45,193 55.7906 USD
ORD Sale 58,935 55.8036 USD
ORD Sale 115,169 55.7857 USD
ORD Sale 153,788 55.8288 USD
ORD Sale 2,496,119 55.8700 USD

(b) Derivatives transactions (other than options)

Class of relevant security Product description

e.g. CFD

Nature of dealing

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

Number of reference securities Price per unit

(c) Options transactions in respect of existing securities

(i) Writing, selling, purchasing or varying

Class Product Writing, Number Exercise Type Expiry Option
of description purchasing, of price date money
relevant selling, securities per unit paid/
security varying etc to which received
option per unit
relates
ORD Call Options Purchasing 500 50 USD American 17 Jan 2015 6.6000 USD
ORD Call Options Purchasing 1,000 52.5 USD American 22 Nov 2014 4.0310 USD
ORD Call Options Purchasing 2,000 55 USD American 20 Feb 2015 3.6290 USD
ORD Call Options Purchasing 21,400 57.5 USD American 22 Nov 2014 1.2997 USD
ORD Call Options Purchasing 300 60 USD American 22 Nov 2014 0.6200 USD
ORD Call Options Purchasing 600 60 USD American 22 Nov 2014 0.6833 USD
ORD Call Options Purchasing 300 60 USD American 20 Feb 2015 1.6200 USD
ORD Call Options Purchasing 500 62.5 USD American 17 Jan 2015 0.6700 USD
ORD Call Options Selling 300 55 USD American 22 Nov 2014 2.5700 USD
ORD Call Options Selling 1,000 57.5 USD American 22 Nov 2014 1.3310 USD
ORD Call Options Selling 2,000 65 USD American 20 Feb 2015 0.6295 USD
ORD Put Options Purchasing 1,500 52.5 USD American 20 Sep 2014 0.2100 USD
ORD Put Options Purchasing 600 52.5 USD American 22 Nov 2014 1.1500 USD
ORD Put Options Selling 1,500 55 USD American 20 Sep 2014 0.7800 USD

(ii) Exercising

Class of relevant security Product description

e.g. call option

Number of securities Exercise price per unit

(d) Other dealings (including subscribing for new securities)

Class of relevant security Nature of dealing

e.g. subscription, conversion

Details Price per unit (if applicable)

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

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.

4. OTHER INFORMATION

(a) Indemnity and other dealing arrangements

Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the person making the disclosure and any party to the offer or any person acting in concert with a party to the offer:

If there are no such agreements, arrangements or understandings, state “none”

NONE

(b) Agreements, arrangements or understandings relating to options or derivatives

Details of any agreement, arrangement or understanding, formal or informal, between the person making the disclosure and any other person relating to:

(i) the voting rights of any relevant securities under any option; or

(ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced:

If there are no such agreements, arrangements or understandings, state “none”

NONE

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached? YES
Date of disclosure: 26 Aug 2014
Contact name: Rajesh Muthanna
Telephone number: 020 3555 4634

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at [email protected]. The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s dealing disclosure requirements on +44 (0)20 7638 0129.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

SUPPLEMENTAL FORM 8 (OPEN POSITIONS)

DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the “Code”)

1. KEY INFORMATION

Identity of the person whose positions/dealings Barclays PLC.
are being disclosed:
Name of offeror/offeree in relation to whose ABBVIE INC
relevant securities this from relates:

2. OPTIONS AND DERIVATIVES

Class Product Writing, Number Exercise Type Expiry
of description purchasing, of price date
relevant selling, securities per unit
security varying etc to which
option
relates
ORD Put Options Purchased -50,000 30.0000 American 15 Jan 2016
ORD Put Options Purchased -100 32.5000 American 17 Jan 2015
ORD Put Options Purchased -61,600 32.5000 American 15 Jan 2016
ORD Put Options Purchased -14,100 35.0000 American 17 Jan 2015
ORD Put Options Purchased -202,000 35.0000 American 15 Jan 2016
ORD Put Options Purchased -8,300 37.5000 American 17 Jan 2015
ORD Put Options Purchased -400 37.5000 American 15 Jan 2016
ORD Put Options Purchased -7,900 40.0000 American 17 Jan 2015
ORD Put Options Purchased -2,900 40.0000 American 15 Jan 2016
ORD Put Options Purchased -1,200 42.5000 American 22 Nov 2014
ORD Put Options Purchased -3,600 42.5000 American 17 Jan 2015
ORD Put Options Purchased -5,500 42.5000 American 20 Feb 2015
ORD Put Options Purchased -1,000 42.5000 American 15 Jan 2016
ORD Put Options Purchased -400 45.0000 American 20 Sep 2014
ORD Put Options Purchased -900 45.0000 American 22 Nov 2014
ORD Put Options Purchased -900 45.0000 American 17 Jan 2015
ORD Put Options Purchased -500 45.0000 American 15 Jan 2016
ORD Put Options Purchased -400 50.0000 American 20 Sep 2014
ORD Put Options Purchased -5,800 50.0000 American 22 Nov 2014
ORD Put Options Purchased -50,000 50.0000 American 20 Feb 2015
ORD Put Options Purchased -1,100 50.0000 American 15 Jan 2016
ORD Put Options Purchased -293,100 52.5000 American 20 Sep 2014
ORD Put Options Purchased -2,600 52.5000 American 18 Oct 2014
ORD Put Options Purchased -415,600 52.5000 American 22 Nov 2014
ORD Put Options Purchased -5,500 52.5000 American 17 Jan 2015
ORD Put Options Purchased -2,700 55.0000 American 22 Nov 2014
ORD Put Options Purchased -1,400 55.0000 American 17 Jan 2015
ORD Put Options Purchased -1,900 55.0000 American 15 Jan 2016
ORD Put Options Purchased -200 57.5000 American 17 Jan 2015
ORD Put Options Purchased -1,000 57.5000 American 15 Jan 2016
ORD Put Options Purchased -400 60.0000 American 22 Nov 2014
ORD Put Options Purchased -400 60.0000 American 15 Jan 2016
ORD Put Options Purchased -100 62.5000 American 17 Jan 2015
ORD Put Options Purchased -300 65.0000 American 15 Jan 2016
ORD Put Options Purchased -1,900 70.0000 American 15 Jan 2016
ORD Put Options Written 1,300 25.0000 American 17 Jan 2015
ORD Put Options Written 200 27.5000 American 17 Jan 2015
ORD Put Options Written 300 30.0000 American 17 Jan 2015
ORD Put Options Written 400 30.0000 American 15 Jan 2016
ORD Put Options Written 1,400 35.0000 American 15 Jan 2016
ORD Put Options Written 6,100 45.0000 American 17 Jan 2015
ORD Put Options Written 1,600 45.0000 American 20 Feb 2015
ORD Put Options Written 28,800 47.5000 American 20 Sep 2014
ORD Put Options Written 3,800 47.5000 American 22 Nov 2014
ORD Put Options Written 4,100 47.5000 American 17 Jan 2015
ORD Put Options Written 1,600 47.5000 American 20 Feb 2015
ORD Put Options Written 2,100 47.5000 American 15 Jan 2016
ORD Put Options Written 31,300 50.0000 American 17 Jan 2015
ORD Put Options Written 900 50.0000 American 20 Feb 2015
ORD Put Options Written 400 55.0000 American 20 Sep 2014
ORD Put Options Written 7,900 55.0000 American 20 Feb 2015
ORD Put Options Written 1,800 57.5000 American 22 Nov 2014
ORD Put Options Written 800 60.0000 American 17 Jan 2015
ORD Call Options Purchased 200 32.5000 American 20 Sep 2014
ORD Call Options Purchased 100 35.0000 American 20 Sep 2014
ORD Call Options Purchased 700 42.5000 American 17 Jan 2015
ORD Call Options Purchased 100 47.5000 American 15 Jan 2016
ORD Call Options Purchased 7,500 50.0000 American 20 Sep 2014
ORD Call Options Purchased 5,200 50.0000 American 22 Nov 2014
ORD Call Options Purchased 6,900 50.0000 American 17 Jan 2015
ORD Call Options Purchased 16,000 52.5000 American 20 Sep 2014
ORD Call Options Purchased 5,200 52.5000 American 22 Nov 2014
ORD Call Options Purchased 200 52.5000 American 17 Jan 2015
ORD Call Options Purchased 200 52.5000 American 15 Jan 2016
ORD Call Options Purchased 118,800 55.0000 American 20 Sep 2014
ORD Call Options Purchased 11,800 55.0000 American 22 Nov 2014
ORD Call Options Purchased 22,000 55.0000 American 17 Jan 2015
ORD Call Options Purchased 255,700 55.0000 American 20 Feb 2015
ORD Call Options Purchased 304,100 55.0000 American 15 Jan 2016
ORD Call Options Purchased 1,200 57.5000 American 20 Sep 2014
ORD Call Options Purchased 3,000 57.5000 American 18 Oct 2014
ORD Call Options Purchased 431,800 57.5000 American 22 Nov 2014
ORD Call Options Purchased 6,200 57.5000 American 17 Jan 2015
ORD Call Options Purchased 400 57.5000 American 15 Jan 2016
ORD Call Options Purchased 14,700 60.0000 American 22 Nov 2014
ORD Call Options Purchased 100 60.0000 American 17 Jan 2015
ORD Call Options Purchased 2,600 62.5000 American 22 Nov 2014
ORD Call Options Purchased 900 62.5000 American 17 Jan 2015
ORD Call Options Purchased 100 62.5000 American 20 Feb 2015
ORD Call Options Purchased 400 62.5000 American 15 Jan 2016
ORD Call Options Purchased 5,900 65.0000 American 17 Jan 2015
ORD Call Options Purchased 78,300 65.0000 American 20 Feb 2015
ORD Call Options Purchased 5,000,000 65.0000 American 19 Jun 2015
ORD Call Options Purchased 5,800 65.0000 American 15 Jan 2016
ORD Call Options Purchased 1,000 70.0000 American 17 Jan 2015
ORD Call Options Purchased 100 75.0000 American 17 Jan 2015
ORD Call Options Purchased 200 75.0000 American 15 Jan 2016
ORD Call Options Purchased 300 77.5000 American 17 Jan 2015
ORD Call Options Purchased 100 80.0000 American 15 Jan 2016
ORD Call Options Written -100 35.0000 American 15 Jan 2016
ORD Call Options Written -100 37.5000 American 15 Jan 2016
ORD Call Options Written -300 40.0000 American 17 Jan 2015
ORD Call Options Written -7,500 40.0000 American 15 Jan 2016
ORD Call Options Written -3,500 45.0000 American 17 Jan 2015
ORD Call Options Written -100 45.0000 American 15 Jan 2016
ORD Call Options Written -4,100 47.5000 American 22 Nov 2014
ORD Call Options Written -800 47.5000 American 17 Jan 2015
ORD Call Options Written -100,000 50.0000 American 17 Jan 2015
ORD Call Options Written -600 50.0000 American 15 Jan 2016
ORD Call Options Written -2,700 52.5000 American 17 Jan 2015
ORD Call Options Written -200 52.5000 American 20 Feb 2015
ORD Call Options Written -800 52.5000 American 15 Jan 2016
ORD Call Options Written -118,900 55.0000 American 20 Feb 2015
ORD Call Options Written -5,000,000 55.0000 American 19 Jun 2015
ORD Call Options Written -300 57.5000 American 20 Feb 2015
ORD Call Options Written -56,500 60.0000 American 17 Jan 2015
ORD Call Options Written -48,000 60.0000 American 20 Feb 2015
ORD Call Options Written -62,300 60.0000 American 15 Jan 2016
ORD Call Options Written -12,100 65.0000 American 17 Jan 2015
ORD Call Options Written -414,300 65.0000 American 20 Feb 2015
ORD Call Options Written -334,200 65.0000 American 15 Jan 2016
ORD Call Options Written -177,000 67.5000 American 20 Feb 2015
ORD Call Options Written -2,500 67.5000 American 15 Jan 2016
ORD Call Options Written -104,400 70.0000 American 15 Jan 2016
ORD Call Options Written -5,600 75.0000 American 15 Jan 2016
ORD Call Options Written -29,600 80.0000 American 15 Jan 2016

3. AGREEMENTS TO PURCHASE OR SELL ETC.

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

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

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

The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s dealing disclosure requirements on +44 (0)20 7638 0129.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

Copyright Business Wire 2014

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