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Form 8.3 - ABBVIE INC

22nd Aug 2014 14:15

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: 21 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: 3,963,829 0.25% 3,971,803 0.25%
(2) Derivatives (other than
options): 3,247,882 0.20% 0 0.00%
(3) Options and agreements to
purchase/sell: 6,390,300 0.40% 7,641,000 0.48%
TOTAL: 13,602,011 0.85% 11,612,803 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 100 54.9700 USD
ORD Purchase 100 55.0000 USD
ORD Purchase 100 55.0200 USD
ORD Purchase 111 55.0700 USD
ORD Purchase 141 54.9000 USD
ORD Purchase 183 55.0418 USD
ORD Purchase 200 54.8600 USD
ORD Purchase 200 54.9550 USD
ORD Purchase 200 55.0300 USD
ORD Purchase 200 55.0900 USD
ORD Purchase 265 54.9800 USD
ORD Purchase 300 54.9900 USD
ORD Purchase 300 54.9950 USD
ORD Purchase 300 55.0100 USD
ORD Purchase 423 54.8801 USD
ORD Purchase 442 54.9478 USD
ORD Purchase 500 54.9860 USD
ORD Purchase 500 54.9988 USD
ORD Purchase 1,000 54.9760 USD
ORD Purchase 1,100 54.9627 USD
ORD Purchase 1,326 54.9617 USD
ORD Purchase 1,700 55.0208 USD
ORD Purchase 2,083 55.0283 USD
ORD Purchase 2,100 54.9895 USD
ORD Purchase 2,560 55.0220 USD
ORD Purchase 2,689 55.0193 USD
ORD Purchase 2,979 55.0108 USD
ORD Purchase 3,300 55.0003 USD
ORD Purchase 3,400 55.0309 USD
ORD Purchase 4,347 54.7964 USD
ORD Purchase 5,010 54.9495 USD
ORD Purchase 5,400 54.8682 USD
ORD Purchase 5,968 55.0244 USD
ORD Purchase 8,900 55.0276 USD
ORD Purchase 9,178 54.9746 USD
ORD Purchase 9,200 54.9813 USD
ORD Purchase 10,969 54.9969 USD
ORD Purchase 11,320 54.9791 USD
ORD Purchase 12,000 54.9915 USD
ORD Purchase 15,661 54.9577 USD
ORD Purchase 15,701 55.0600 USD
ORD Purchase 21,004 54.9357 USD
ORD Purchase 28,150 54.9595 USD
ORD Purchase 34,607 54.9204 USD
ORD Purchase 35,100 55.0317 USD
ORD Purchase 41,300 54.9963 USD
ORD Purchase 47,000 54.9982 USD
ORD Purchase 67,130 54.9710 USD
ORD Purchase 95,232 55.0303 USD
ORD Purchase 95,232 55.0304 USD
ORD Purchase 123,034 54.9864 USD
ORD Purchase 127,041 55.0112 USD
ORD Purchase 128,803 54.9429 USD
ORD Purchase 323,034 54.9937 USD
ORD Purchase 1,939,418 54.9600 USD
ORD Sale 18 54.9300 USD
ORD Sale 19 55.0100 USD
ORD Sale 100 54.7200 USD
ORD Sale 100 54.9200 USD
ORD Sale 100 54.9800 USD
ORD Sale 122 55.1000 USD
ORD Sale 134 55.0300 USD
ORD Sale 300 54.9883 USD
ORD Sale 483 54.9700 USD
ORD Sale 485 54.9825 USD
ORD Sale 500 55.0000 USD
ORD Sale 543 54.8223 USD
ORD Sale 600 54.9983 USD
ORD Sale 700 55.0414 USD
ORD Sale 747 55.0900 USD
ORD Sale 905 55.0264 USD
ORD Sale 936 55.0266 USD
ORD Sale 1,100 55.0027 USD
ORD Sale 1,200 54.7742 USD
ORD Sale 1,215 54.9874 USD
ORD Sale 1,400 55.0164 USD
ORD Sale 1,600 55.0335 USD
ORD Sale 1,763 54.9594 USD
ORD Sale 1,800 55.0222 USD
ORD Sale 1,983 54.9919 USD
ORD Sale 2,400 54.7470 USD
ORD Sale 2,500 55.0019 USD
ORD Sale 2,600 55.0225 USD
ORD Sale 2,900 55.0362 USD
ORD Sale 3,036 54.9786 USD
ORD Sale 4,127 55.0095 USD
ORD Sale 4,451 55.0221 USD
ORD Sale 4,777 54.9716 USD
ORD Sale 6,500 54.8386 USD
ORD Sale 6,623 55.0249 USD
ORD Sale 7,119 54.9314 USD
ORD Sale 8,530 55.0370 USD
ORD Sale 9,468 54.9608 USD
ORD Sale 11,000 54.9886 USD
ORD Sale 12,200 54.9271 USD
ORD Sale 13,014 55.0271 USD
ORD Sale 13,555 54.9856 USD
ORD Sale 13,679 55.0338 USD
ORD Sale 13,711 54.9675 USD
ORD Sale 14,272 54.9498 USD
ORD Sale 14,769 54.9916 USD
ORD Sale 15,801 55.0600 USD
ORD Sale 17,900 55.0256 USD
ORD Sale 19,900 54.9878 USD
ORD Sale 27,800 54.9971 USD
ORD Sale 36,300 55.0080 USD
ORD Sale 37,000 55.0319 USD
ORD Sale 37,604 54.9379 USD
ORD Sale 42,533 54.9382 USD
ORD Sale 94,786 54.9463 USD
ORD Sale 95,232 55.0303 USD
ORD Sale 98,717 54.9832 USD
ORD Sale 1,931,845 54.9600 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 300 55 USD American 22 Nov 2014 2.1166 USD
ORD Call Options Purchasing 700 55 USD American 20 Feb 2015 3.3300 USD
ORD Call Options Selling 700 65 USD American 20 Feb 2015 0.5114 USD
ORD Put Options Purchasing 100 42.5 USD American 15 Jan 2016 2.6800 USD
ORD Put Options Selling 100 37.5 USD American 15 Jan 2016 1.7800 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: 22 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.

143221.01

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 of relevant security Product description e.g. call option Written or purchased Number of securities to which option or derivative relates Exercise price per unit Type

e.g. American, European etc.

Expiry date

3. AGREEMENTS TO PURCHASE OR SELL ETC.

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 -291,600 52.5000 American 20 Sep 2014
ORD Put Options Purchased -2,600 52.5000 American 18 Oct 2014
ORD Put Options Purchased -415,000 52.5000 American 22 Nov 2014
ORD Put Options Purchased -5,500 52.5000 American 17 Jan 2015
ORD Put Options Purchased -1,100 55.0000 American 20 Sep 2014
ORD Put Options Purchased -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 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 6,400 50.0000 American 17 Jan 2015
ORD Call Options Purchased 16,000 52.5000 American 20 Sep 2014
ORD Call Options Purchased 4,200 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 11,700 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 416,400 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 13,800 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 400 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 84,800 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 -125,400 55.0000 American 20 Feb 2015
ORD Call Options Written -5,000,000 55.0000 American 19 Jun 2015
ORD Call Options Written -5,000 57.5000 American 22 Nov 2014
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 -48,300 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

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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