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Form 8.3 - ABBVIE INC

3rd Sep 2014 15:16

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: 2 September 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: 3,410,610 0.21% 4,145,195 0.26%
(2) Derivatives (other than
options): 3,410,635 0.21% 0 0.00%
(3) Options and agreements to
purchase/sell: 6,409,000 0.40% 7,780,200 0.49%
(4)
TOTAL: 13,230,245 0.82% 11,925,395 0.75%

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 8 55.2300 USD
ORD Purchase 10 55.1400 USD
ORD Purchase 14 55.1200 USD
ORD Purchase 100 55.0100 USD
ORD Purchase 100 55.1100 USD
ORD Purchase 100 55.1250 USD
ORD Purchase 100 55.2600 USD
ORD Purchase 100 55.2700 USD
ORD Purchase 100 55.3100 USD
ORD Purchase 100 55.3500 USD
ORD Purchase 100 55.4900 USD
ORD Purchase 133 55.1000 USD
ORD Purchase 144 54.9900 USD
ORD Purchase 184 55.1776 USD
ORD Purchase 184 55.1777 USD
ORD Purchase 199 55.4203 USD
ORD Purchase 200 54.9950 USD
ORD Purchase 200 55.1350 USD
ORD Purchase 200 55.1750 USD
ORD Purchase 200 55.2550 USD
ORD Purchase 259 55.1428 USD
ORD Purchase 270 55.1600 USD
ORD Purchase 300 55.2533 USD
ORD Purchase 300 55.3083 USD
ORD Purchase 300 55.4216 USD
ORD Purchase 300 55.4566 USD
ORD Purchase 319 55.2476 USD
ORD Purchase 342 55.2452 USD
ORD Purchase 398 55.2009 USD
ORD Purchase 400 55.1662 USD
ORD Purchase 400 55.2250 USD
ORD Purchase 448 55.1700 USD
ORD Purchase 500 55.0860 USD
ORD Purchase 563 55.1006 USD
ORD Purchase 600 55.0843 USD
ORD Purchase 600 55.1891 USD
ORD Purchase 600 55.1950 USD
ORD Purchase 600 55.4774 USD
ORD Purchase 700 55.2628 USD
ORD Purchase 800 55.0900 USD
ORD Purchase 830 55.2068 USD
ORD Purchase 899 55.2221 USD
ORD Purchase 900 55.0118 USD
ORD Purchase 1,200 55.0258 USD
ORD Purchase 1,290 55.0521 USD
ORD Purchase 1,388 55.2735 USD
ORD Purchase 1,400 55.1007 USD
ORD Purchase 1,583 55.2233 USD
ORD Purchase 1,824 55.1747 USD
ORD Purchase 1,900 55.1699 USD
ORD Purchase 1,900 55.2079 USD
ORD Purchase 2,009 55.0485 USD
ORD Purchase 2,300 55.1763 USD
ORD Purchase 2,344 55.1634 USD
ORD Purchase 2,366 55.0475 USD
ORD Purchase 2,600 55.2811 USD
ORD Purchase 3,200 55.2889 USD
ORD Purchase 3,600 55.2865 USD
ORD Purchase 4,000 55.1031 USD
ORD Purchase 4,277 55.0169 USD
ORD Purchase 4,620 55.1771 USD
ORD Purchase 5,000 55.0557 USD
ORD Purchase 6,169 55.1787 USD
ORD Purchase 6,226 55.1117 USD
ORD Purchase 6,301 55.1560 USD
ORD Purchase 7,386 55.1179 USD
ORD Purchase 7,700 55.2950 USD
ORD Purchase 11,100 55.1207 USD
ORD Purchase 12,097 55.1547 USD
ORD Purchase 14,001 55.4600 USD
ORD Purchase 14,601 55.2800 USD
ORD Purchase 18,369 55.1641 USD
ORD Purchase 25,009 55.1281 USD
ORD Purchase 40,821 55.2401 USD
ORD Purchase 63,587 55.1913 USD
ORD Purchase 66,000 55.1500 USD
ORD Purchase 80,742 55.1910 USD
ORD Purchase 200,000 55.1550 USD
ORD Purchase 2,541,854 55.0700 USD
ORD Sale 4 55.0025 USD
ORD Sale 5 55.0050 USD
ORD Sale 5 55.2700 USD
ORD Sale 6 55.0008 USD
ORD Sale 10 55.1400 USD
ORD Sale 14 55.1200 USD
ORD Sale 19 55.2100 USD
ORD Sale 98 55.1700 USD
ORD Sale 100 54.9900 USD
ORD Sale 100 55.2000 USD
ORD Sale 100 55.2250 USD
ORD Sale 184 55.1776 USD
ORD Sale 200 55.0000 USD
ORD Sale 200 55.0500 USD
ORD Sale 204 54.9803 USD
ORD Sale 270 55.1600 USD
ORD Sale 300 54.9923 USD
ORD Sale 300 55.1100 USD
ORD Sale 300 55.2567 USD
ORD Sale 368 55.1777 USD
ORD Sale 400 55.0075 USD
ORD Sale 400 55.2301 USD
ORD Sale 404 55.2300 USD
ORD Sale 441 55.1788 USD
ORD Sale 500 55.1910 USD
ORD Sale 576 55.1413 USD
ORD Sale 578 55.2581 USD
ORD Sale 600 55.1775 USD
ORD Sale 603 55.0248 USD
ORD Sale 612 55.2400 USD
ORD Sale 800 55.1850 USD
ORD Sale 1,000 55.1645 USD
ORD Sale 1,300 55.1861 USD
ORD Sale 1,400 55.1521 USD
ORD Sale 1,440 55.2119 USD
ORD Sale 1,570 55.3129 USD
ORD Sale 2,208 55.1639 USD
ORD Sale 2,250 55.2208 USD
ORD Sale 2,267 55.2235 USD
ORD Sale 2,462 55.1743 USD
ORD Sale 2,481 55.2552 USD
ORD Sale 2,506 55.1893 USD
ORD Sale 3,393 55.2060 USD
ORD Sale 3,500 55.1407 USD
ORD Sale 3,800 55.1500 USD
ORD Sale 3,887 55.1623 USD
ORD Sale 4,006 55.0987 USD
ORD Sale 4,006 55.2628 USD
ORD Sale 4,100 55.0497 USD
ORD Sale 4,338 55.1840 USD
ORD Sale 4,767 55.1405 USD
ORD Sale 4,990 55.1836 USD
ORD Sale 5,398 55.1534 USD
ORD Sale 6,100 55.1464 USD
ORD Sale 6,174 55.1443 USD
ORD Sale 6,800 55.1311 USD
ORD Sale 7,602 55.1818 USD
ORD Sale 8,654 55.2245 USD
ORD Sale 9,589 55.2218 USD
ORD Sale 10,005 55.2276 USD
ORD Sale 10,281 55.2064 USD
ORD Sale 12,622 55.1358 USD
ORD Sale 14,601 55.2800 USD
ORD Sale 15,700 55.4590 USD
ORD Sale 17,600 55.1681 USD
ORD Sale 18,969 55.2649 USD
ORD Sale 20,900 55.2782 USD
ORD Sale 29,112 55.1446 USD
ORD Sale 36,507 55.1503 USD
ORD Sale 54,981 55.5459 USD
ORD Sale 67,565 55.2019 USD
ORD Sale 72,568 55.1878 USD
ORD Sale 100,000 55.1550 USD
ORD Sale 2,541,775 55.0700 USD

(b) Derivatives transactions (other than options)

Class of Product Nature of dealing Number of Price per
relevant description reference unit
security securities
ORD SWAP Long 54,981 55.5459 USD

(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 100 55 USD American 20 Sep 2014 0.8000 USD
ORD Put Options Purchasing 200,000 52.5 USD American 22 Nov 2014 1.3000 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: 3 Sep 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 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 -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 -1,400 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 -219,600 52.5000 American 20 Sep 2014
ORD Put Options Purchased -2,600 52.5000 American 18 Oct 2014
ORD Put Options Purchased -617,000 52.5000 American 22 Nov 2014
ORD Put Options Purchased -5,500 52.5000 American 17 Jan 2015
ORD Put Options Purchased -20,000 55.0000 American 20 Sep 2014
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 4,000 55.0000 American 18 Oct 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 118,900 55.0000 American 20 Sep 2014
ORD Call Options Purchased 11,800 55.0000 American 22 Nov 2014
ORD Call Options Purchased 23,100 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 15,900 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 78,200 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 1,100 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 -118,800 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 -56,700 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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