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Form 8.3 - ABBVIE INC

11th Sep 2014 13:44

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: 10 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: 3,496,731 0.22% 4,203,186 0.26%
(2) Derivatives (other than
options): 3,580,127 0.22% 0 0.00%
(3) Options and agreements to
purchase/sell: 6,423,300 0.40% 8,468,100 0.53%
TOTAL: 13,500,158 0.85% 12,671,286 0.80%

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 53 56.7500 USD
ORD Purchase 100 56.7300 USD
ORD Purchase 100 56.7650 USD
ORD Purchase 100 56.9000 USD
ORD Purchase 100 57.0600 USD
ORD Purchase 100 57.1400 USD
ORD Purchase 100 57.2200 USD
ORD Purchase 100 57.2400 USD
ORD Purchase 113 56.7234 USD
ORD Purchase 135 56.8200 USD
ORD Purchase 200 56.7225 USD
ORD Purchase 200 57.0350 USD
ORD Purchase 200 57.1350 USD
ORD Purchase 211 56.8100 USD
ORD Purchase 297 56.7100 USD
ORD Purchase 300 56.6833 USD
ORD Purchase 300 56.7566 USD
ORD Purchase 300 57.1000 USD
ORD Purchase 400 56.7275 USD
ORD Purchase 463 57.1343 USD
ORD Purchase 497 57.1300 USD
ORD Purchase 500 57.0900 USD
ORD Purchase 539 57.2500 USD
ORD Purchase 577 56.7538 USD
ORD Purchase 600 56.7133 USD
ORD Purchase 600 57.1731 USD
ORD Purchase 653 56.8994 USD
ORD Purchase 796 56.6904 USD
ORD Purchase 800 56.7125 USD
ORD Purchase 896 57.1264 USD
ORD Purchase 1,155 56.8385 USD
ORD Purchase 1,743 57.2155 USD
ORD Purchase 1,754 56.9552 USD
ORD Purchase 1,803 56.8432 USD
ORD Purchase 2,000 56.7395 USD
ORD Purchase 2,546 57.0955 USD
ORD Purchase 2,700 56.8811 USD
ORD Purchase 3,030 56.7121 USD
ORD Purchase 4,042 56.7962 USD
ORD Purchase 4,447 56.8295 USD
ORD Purchase 4,657 56.7900 USD
ORD Purchase 4,800 57.0773 USD
ORD Purchase 4,925 56.5792 USD
ORD Purchase 5,078 56.7376 USD
ORD Purchase 6,000 57.1912 USD
ORD Purchase 7,881 56.8420 USD
ORD Purchase 8,059 56.8996 USD
ORD Purchase 8,924 57.0977 USD
ORD Purchase 9,910 57.0821 USD
ORD Purchase 10,380 56.7325 USD
ORD Purchase 10,800 56.9378 USD
ORD Purchase 11,002 57.1145 USD
ORD Purchase 11,112 57.0070 USD
ORD Purchase 12,646 56.9500 USD
ORD Purchase 13,071 57.1523 USD
ORD Purchase 13,285 56.8892 USD
ORD Purchase 13,354 56.7513 USD
ORD Purchase 13,994 56.7767 USD
ORD Purchase 15,400 56.8605 USD
ORD Purchase 18,400 56.9785 USD
ORD Purchase 22,100 56.8903 USD
ORD Purchase 27,660 56.8251 USD
ORD Purchase 37,323 56.9123 USD
ORD Purchase 44,500 57.1150 USD
ORD Purchase 47,655 56.7932 USD
ORD Purchase 56,496 56.7950 USD
ORD Purchase 90,568 56.9654 USD
ORD Purchase 107,714 56.9594 USD
ORD Purchase 114,277 57.1520 USD
ORD Purchase 2,359,227 57.1900 USD
ORD Sale 12 56.8800 USD
ORD Sale 29 57.2600 USD
ORD Sale 96 56.8200 USD
ORD Sale 100 56.5600 USD
ORD Sale 100 56.5700 USD
ORD Sale 100 56.5900 USD
ORD Sale 100 57.1800 USD
ORD Sale 100 57.2050 USD
ORD Sale 100 57.2200 USD
ORD Sale 130 57.2446 USD
ORD Sale 151 57.2131 USD
ORD Sale 156 57.1500 USD
ORD Sale 197 56.5800 USD
ORD Sale 200 57.2400 USD
ORD Sale 200 57.2700 USD
ORD Sale 200 57.2750 USD
ORD Sale 209 57.2300 USD
ORD Sale 211 56.0000 USD
ORD Sale 211 56.8100 USD
ORD Sale 232 57.1655 USD
ORD Sale 246 57.0400 USD
ORD Sale 300 56.6000 USD
ORD Sale 300 56.6700 USD
ORD Sale 300 57.0000 USD
ORD Sale 300 57.2533 USD
ORD Sale 333 57.1729 USD
ORD Sale 400 56.5650 USD
ORD Sale 400 56.8050 USD
ORD Sale 400 57.1350 USD
ORD Sale 400 57.1875 USD
ORD Sale 427 57.1050 USD
ORD Sale 500 56.9080 USD
ORD Sale 500 57.2240 USD
ORD Sale 539 57.2500 USD
ORD Sale 600 56.8500 USD
ORD Sale 689 56.9110 USD
ORD Sale 691 57.0389 USD
ORD Sale 700 57.0978 USD
ORD Sale 700 57.1657 USD
ORD Sale 700 57.1684 USD
ORD Sale 800 57.1693 USD
ORD Sale 900 57.1550 USD
ORD Sale 1,050 56.8238 USD
ORD Sale 1,100 56.5764 USD
ORD Sale 1,336 57.0748 USD
ORD Sale 1,400 57.1092 USD
ORD Sale 1,425 56.5714 USD
ORD Sale 1,498 56.9552 USD
ORD Sale 1,600 56.7125 USD
ORD Sale 1,618 56.9509 USD
ORD Sale 1,800 56.5916 USD
ORD Sale 1,835 57.1481 USD
ORD Sale 1,849 56.8123 USD
ORD Sale 2,500 56.9250 USD
ORD Sale 2,584 57.0480 USD
ORD Sale 2,875 56.9189 USD
ORD Sale 3,011 56.9632 USD
ORD Sale 3,200 56.6840 USD
ORD Sale 3,371 56.7589 USD
ORD Sale 4,179 57.1815 USD
ORD Sale 5,104 56.8092 USD
ORD Sale 5,641 57.0791 USD
ORD Sale 6,021 57.0749 USD
ORD Sale 6,100 57.1903 USD
ORD Sale 6,600 57.2184 USD
ORD Sale 7,084 57.0672 USD
ORD Sale 8,200 57.2107 USD
ORD Sale 11,300 56.9150 USD
ORD Sale 12,000 57.0772 USD
ORD Sale 12,100 57.2078 USD
ORD Sale 12,200 57.1511 USD
ORD Sale 12,646 56.9500 USD
ORD Sale 13,400 57.0076 USD
ORD Sale 13,576 56.9946 USD
ORD Sale 15,700 56.9242 USD
ORD Sale 16,009 57.0900 USD
ORD Sale 18,303 56.9857 USD
ORD Sale 18,733 56.9717 USD
ORD Sale 20,002 57.0379 USD
ORD Sale 20,287 56.9064 USD
ORD Sale 24,870 56.7421 USD
ORD Sale 27,300 57.1559 USD
ORD Sale 28,688 56.9779 USD
ORD Sale 34,957 56.7720 USD
ORD Sale 38,300 57.1154 USD
ORD Sale 39,696 57.0567 USD
ORD Sale 44,768 56.7752 USD
ORD Sale 59,709 57.0029 USD
ORD Sale 96,757 56.9765 USD
ORD Sale 192,276 56.8067 USD
ORD Sale 2,361,143 57.1900 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 1,500 55 USD American 20 Feb 2015 4.3160 USD
ORD Call Options Purchasing 300 57.5 USD American 17 Jan 2015 2.5000 USD
ORD Call Options Purchasing 1,700 60 USD American 22 Nov 2014 0.7000 USD
ORD Call Options Purchasing 200 60 USD American 17 Jan 2015 1.3950 USD
ORD Call Options Selling 1,400 55 USD American 20 Sep 2014 2.2500 USD
ORD Call Options Selling 2,900 57.5 USD American 20 Sep 2014 0.5000 USD
ORD Call Options Selling 300 57.5 USD American 22 Nov 2014 1.7000 USD
ORD Call Options Selling 1,500 65 USD American 20 Feb 2015 0.7213 USD
ORD Put Options Selling 1,900 52.5 USD American 22 Nov 2014 0.8500 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: 11 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.

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 -900 50.0000 American 20 Sep 2014
ORD Put Options Purchased -5,900 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 -218,800 52.5000 American 20 Sep 2014
ORD Put Options Purchased -4,100 52.5000 American 18 Oct 2014
ORD Put Options Purchased -619,300 52.5000 American 22 Nov 2014
ORD Put Options Purchased -197,900 52.5000 American 17 Jan 2015
ORD Put Options Purchased -325,400 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 6,500 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 31,100 50.0000 American 17 Jan 2015
ORD Put Options Written 900 50.0000 American 20 Feb 2015
ORD Put Options Written 1,800 52.5000 American 22 Nov 2014
ORD Put Options Written 2,800 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 16,100 52.5000 American 20 Sep 2014
ORD Call Options Purchased 6,700 52.5000 American 22 Nov 2014
ORD Call Options Purchased 200 52.5000 American 17 Jan 2015
ORD Call Options Purchased 1,200 52.5000 American 20 Feb 2015
ORD Call Options Purchased 200 52.5000 American 15 Jan 2016
ORD Call Options Purchased 127,600 55.0000 American 20 Sep 2014
ORD Call Options Purchased 14,100 55.0000 American 22 Nov 2014
ORD Call Options Purchased 22,600 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 3,000 57.5000 American 18 Oct 2014
ORD Call Options Purchased 429,100 57.5000 American 22 Nov 2014
ORD Call Options Purchased 7,200 57.5000 American 17 Jan 2015
ORD Call Options Purchased 1,000 57.5000 American 15 Jan 2016
ORD Call Options Purchased 19,900 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 1,400 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 73,700 65.0000 American 20 Feb 2015
ORD Call Options Purchased 5,000,000 65.0000 American 19 Jun 2015
ORD Call Options Purchased 6,700 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 -800 52.5000 American 15 Jan 2016
ORD Call Options Written -114,500 55.0000 American 20 Feb 2015
ORD Call Options Written -5,000,000 55.0000 American 19 Jun 2015
ORD Call Options Written -1,700 57.5000 American 20 Sep 2014
ORD Call Options Written -190,000 57.5000 American 17 Jan 2015
ORD Call Options Written -100 57.5000 American 20 Feb 2015
ORD Call Options Written -56,300 60.0000 American 17 Jan 2015
ORD Call Options Written -47,900 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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