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Form 8.3 - ABBVIE INC

9th Sep 2014 15:24

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: 8 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: 3,480,712 0.22% 4,310,803 0.27%
(2) Derivatives (other than
options): 3,580,127 0.22% 0 0.00%
(3) Options and agreements to
purchase/sell: 6,419,300 0.40% 8,165,600 0.51%
(4)
TOTAL: 13,480,139 0.85% 12,476,403 0.78%

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 55.7200 USD
ORD Purchase 73 55.5800 USD
ORD Purchase 100 55.4200 USD
ORD Purchase 100 55.4900 USD
ORD Purchase 100 55.7700 USD
ORD Purchase 100 55.8100 USD
ORD Purchase 100 55.8190 USD
ORD Purchase 100 55.8199 USD
ORD Purchase 100 55.8450 USD
ORD Purchase 179 55.7800 USD
ORD Purchase 194 55.8900 USD
ORD Purchase 200 55.5450 USD
ORD Purchase 200 55.6300 USD
ORD Purchase 300 55.6100 USD
ORD Purchase 300 55.6450 USD
ORD Purchase 300 55.7166 USD
ORD Purchase 300 55.8399 USD
ORD Purchase 400 55.5900 USD
ORD Purchase 400 55.8200 USD
ORD Purchase 400 55.8500 USD
ORD Purchase 500 55.8400 USD
ORD Purchase 543 55.6955 USD
ORD Purchase 600 55.4841 USD
ORD Purchase 600 55.8499 USD
ORD Purchase 602 55.5218 USD
ORD Purchase 700 55.5885 USD
ORD Purchase 700 55.6385 USD
ORD Purchase 800 55.7943 USD
ORD Purchase 900 55.7372 USD
ORD Purchase 900 55.8283 USD
ORD Purchase 1,100 55.5263 USD
ORD Purchase 1,100 55.8295 USD
ORD Purchase 1,181 55.5466 USD
ORD Purchase 1,578 55.6163 USD
ORD Purchase 1,610 55.5836 USD
ORD Purchase 1,820 55.6431 USD
ORD Purchase 2,090 55.9400 USD
ORD Purchase 2,300 55.6676 USD
ORD Purchase 2,600 55.5415 USD
ORD Purchase 2,604 55.7198 USD
ORD Purchase 3,000 55.5474 USD
ORD Purchase 3,070 55.8293 USD
ORD Purchase 3,600 55.6278 USD
ORD Purchase 4,200 55.5225 USD
ORD Purchase 4,200 55.5437 USD
ORD Purchase 4,258 55.5923 USD
ORD Purchase 4,323 55.5544 USD
ORD Purchase 4,386 55.5549 USD
ORD Purchase 4,816 55.5966 USD
ORD Purchase 4,847 55.8296 USD
ORD Purchase 4,944 55.5750 USD
ORD Purchase 5,350 55.7456 USD
ORD Purchase 5,527 55.8297 USD
ORD Purchase 7,380 55.6297 USD
ORD Purchase 9,300 55.6549 USD
ORD Purchase 10,500 55.6569 USD
ORD Purchase 10,900 55.9200 USD
ORD Purchase 13,700 55.6823 USD
ORD Purchase 14,078 55.6771 USD
ORD Purchase 14,958 55.6575 USD
ORD Purchase 15,660 55.6633 USD
ORD Purchase 16,685 55.6656 USD
ORD Purchase 17,130 55.6543 USD
ORD Purchase 17,982 55.5847 USD
ORD Purchase 19,367 55.6785 USD
ORD Purchase 30,000 55.8275 USD
ORD Purchase 31,300 55.6625 USD
ORD Purchase 47,800 55.6621 USD
ORD Purchase 54,556 55.8300 USD
ORD Purchase 55,289 55.6269 USD
ORD Purchase 59,000 55.5814 USD
ORD Purchase 63,245 55.6498 USD
ORD Purchase 70,900 55.8240 USD
ORD Purchase 72,197 55.6783 USD
ORD Purchase 170,329 55.6733 USD
ORD Purchase 267,322 55.5570 USD
ORD Purchase 2,541,560 55.5700 USD
ORD Sale 50 55.4500 USD
ORD Sale 73 55.5600 USD
ORD Sale 99 55.6600 USD
ORD Sale 100 55.3850 USD
ORD Sale 100 55.5750 USD
ORD Sale 100 55.8100 USD
ORD Sale 100 55.8190 USD
ORD Sale 100 55.8199 USD
ORD Sale 100 55.8450 USD
ORD Sale 149 55.4800 USD
ORD Sale 160 55.8225 USD
ORD Sale 200 55.4300 USD
ORD Sale 200 55.4850 USD
ORD Sale 222 55.7109 USD
ORD Sale 300 55.4150 USD
ORD Sale 300 55.4700 USD
ORD Sale 300 55.8399 USD
ORD Sale 387 55.5435 USD
ORD Sale 400 55.5225 USD
ORD Sale 400 55.8200 USD
ORD Sale 400 55.8500 USD
ORD Sale 408 55.5975 USD
ORD Sale 500 55.7180 USD
ORD Sale 500 55.8400 USD
ORD Sale 548 55.4179 USD
ORD Sale 600 55.8499 USD
ORD Sale 603 55.8108 USD
ORD Sale 651 55.6383 USD
ORD Sale 652 55.4309 USD
ORD Sale 700 55.5271 USD
ORD Sale 700 55.5800 USD
ORD Sale 700 55.6100 USD
ORD Sale 752 55.6426 USD
ORD Sale 866 55.7000 USD
ORD Sale 900 55.7200 USD
ORD Sale 1,074 55.6069 USD
ORD Sale 1,085 55.7309 USD
ORD Sale 1,100 55.5263 USD
ORD Sale 1,150 55.5769 USD
ORD Sale 1,165 55.6144 USD
ORD Sale 1,200 55.4025 USD
ORD Sale 1,200 55.7150 USD
ORD Sale 1,300 55.5761 USD
ORD Sale 1,357 55.6813 USD
ORD Sale 1,400 55.5650 USD
ORD Sale 1,500 55.7133 USD
ORD Sale 1,531 55.7068 USD
ORD Sale 1,601 55.6371 USD
ORD Sale 2,090 55.9400 USD
ORD Sale 2,100 55.5628 USD
ORD Sale 2,200 55.5827 USD
ORD Sale 2,294 55.5609 USD
ORD Sale 2,421 55.5645 USD
ORD Sale 2,523 55.5434 USD
ORD Sale 2,600 55.7184 USD
ORD Sale 2,621 55.5833 USD
ORD Sale 3,300 55.6545 USD
ORD Sale 3,716 55.5284 USD
ORD Sale 3,814 55.5666 USD
ORD Sale 3,900 55.7161 USD
ORD Sale 4,014 55.5395 USD
ORD Sale 4,400 55.6676 USD
ORD Sale 4,500 55.5241 USD
ORD Sale 4,816 55.5966 USD
ORD Sale 5,790 55.6826 USD
ORD Sale 6,278 55.5792 USD
ORD Sale 6,611 55.5720 USD
ORD Sale 8,000 55.5547 USD
ORD Sale 10,900 55.9200 USD
ORD Sale 12,200 55.5841 USD
ORD Sale 12,755 55.5493 USD
ORD Sale 12,878 55.6213 USD
ORD Sale 13,697 55.6906 USD
ORD Sale 14,760 55.6297 USD
ORD Sale 14,850 55.4977 USD
ORD Sale 17,600 55.6724 USD
ORD Sale 19,485 55.6747 USD
ORD Sale 19,900 55.5337 USD
ORD Sale 21,055 55.5483 USD
ORD Sale 22,536 55.6385 USD
ORD Sale 23,000 55.6519 USD
ORD Sale 32,818 55.5712 USD
ORD Sale 40,949 55.6279 USD
ORD Sale 45,600 55.6000 USD
ORD Sale 49,600 55.5760 USD
ORD Sale 50,100 55.8300 USD
ORD Sale 52,393 55.5614 USD
ORD Sale 58,265 55.6184 USD
ORD Sale 65,488 55.6715 USD
ORD Sale 93,948 55.5601 USD
ORD Sale 100,000 55.8275 USD
ORD Sale 100,452 55.6275 USD
ORD Sale 149,687 55.7042 USD
ORD Sale 194,402 55.6253 USD
ORD Sale 2,541,698 55.5700 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 400 57.5 USD American 22 Nov 2014 1.1550 USD
ORD Call Options Purchasing 800 60 USD American 22 Nov 2014 0.5000 USD
ORD Call Options Selling 200 55 USD American 20 Feb 2015 3.4800 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: 9 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 -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 -617,000 52.5000 American 22 Nov 2014
ORD Put Options Purchased -195,500 52.5000 American 17 Jan 2015
ORD Put Options Purchased -25,400 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 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 31,100 50.0000 American 17 Jan 2015
ORD Put Options Written 900 50.0000 American 20 Feb 2015
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 5,200 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 129,000 55.0000 American 20 Sep 2014
ORD Call Options Purchased 13,300 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 1,200 57.5000 American 20 Sep 2014
ORD Call Options Purchased 3,000 57.5000 American 18 Oct 2014
ORD Call Options Purchased 430,900 57.5000 American 22 Nov 2014
ORD Call Options Purchased 6,200 57.5000 American 17 Jan 2015
ORD Call Options Purchased 1,000 57.5000 American 15 Jan 2016
ORD Call Options Purchased 16,800 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 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 76,800 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 1,100 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 -117,600 55.0000 American 20 Feb 2015
ORD Call Options Written -5,000,000 55.0000 American 19 Jun 2015
ORD Call Options Written -190,000 57.5000 American 17 Jan 2015
ORD Call Options Written -300 57.5000 American 20 Feb 2015
ORD Call Options Written -56,900 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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