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Form 8.3 - ABBVIE INC

19th Sep 2014 14:59

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: 18 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: 3,709,017 0.23% 3,875,486 0.24%
(2) Derivatives (other than
options): 3,171,032 0.20% 0 0.00%
(3) Options and agreements to
purchase/sell: 6,481,500 0.41% 8,730,700 0.55%
TOTAL: 13,361,549 0.84% 12,606,186 0.79%

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 6 59.4000 USD
ORD Purchase 98 59.4100 USD
ORD Purchase 99 59.3200 USD
ORD Purchase 100 59.2900 USD
ORD Purchase 100 59.3450 USD
ORD Purchase 100 59.3550 USD
ORD Purchase 142 59.3500 USD
ORD Purchase 168 59.1723 USD
ORD Purchase 200 59.2000 USD
ORD Purchase 200 59.3000 USD
ORD Purchase 200 59.3495 USD
ORD Purchase 298 59.1500 USD
ORD Purchase 300 59.3600 USD
ORD Purchase 300 59.4036 USD
ORD Purchase 300 59.4200 USD
ORD Purchase 319 59.2038 USD
ORD Purchase 351 59.1631 USD
ORD Purchase 400 59.3725 USD
ORD Purchase 400 59.3800 USD
ORD Purchase 483 59.3744 USD
ORD Purchase 496 59.2028 USD
ORD Purchase 538 59.3625 USD
ORD Purchase 600 59.3300 USD
ORD Purchase 600 59.3733 USD
ORD Purchase 800 59.3432 USD
ORD Purchase 900 59.3611 USD
ORD Purchase 903 59.3788 USD
ORD Purchase 1,000 59.3230 USD
ORD Purchase 1,000 59.3900 USD
ORD Purchase 1,400 59.3187 USD
ORD Purchase 1,500 59.3660 USD
ORD Purchase 1,649 59.3416 USD
ORD Purchase 1,893 59.3448 USD
ORD Purchase 1,900 59.3494 USD
ORD Purchase 2,545 59.3154 USD
ORD Purchase 2,615 59.3242 USD
ORD Purchase 2,717 59.3751 USD
ORD Purchase 2,897 59.3259 USD
ORD Purchase 2,900 59.3317 USD
ORD Purchase 3,359 59.3367 USD
ORD Purchase 3,682 59.3667 USD
ORD Purchase 3,825 59.3548 USD
ORD Purchase 4,200 59.3825 USD
ORD Purchase 4,300 59.3238 USD
ORD Purchase 4,432 59.3282 USD
ORD Purchase 4,601 59.2628 USD
ORD Purchase 5,000 59.3156 USD
ORD Purchase 6,490 59.3080 USD
ORD Purchase 6,688 59.3352 USD
ORD Purchase 6,933 59.3402 USD
ORD Purchase 7,198 59.3131 USD
ORD Purchase 7,394 59.3411 USD
ORD Purchase 7,517 59.3431 USD
ORD Purchase 8,900 59.2929 USD
ORD Purchase 9,022 59.3533 USD
ORD Purchase 9,358 59.3178 USD
ORD Purchase 11,900 59.3439 USD
ORD Purchase 20,200 59.3353 USD
ORD Purchase 21,653 59.3163 USD
ORD Purchase 21,717 59.2813 USD
ORD Purchase 25,200 59.4294 USD
ORD Purchase 25,727 59.3331 USD
ORD Purchase 31,129 59.2908 USD
ORD Purchase 50,081 59.4300 USD
ORD Purchase 54,769 59.2991 USD
ORD Purchase 94,278 59.6200 USD
ORD Purchase 108,632 59.3256 USD
ORD Purchase 113,607 59.3549 USD
ORD Purchase 137,892 59.3058 USD
ORD Purchase 166,102 59.3185 USD
ORD Purchase 2,548,636 59.4500 USD
ORD Sale 53 59.4400 USD
ORD Sale 100 59.2800 USD
ORD Sale 100 59.2900 USD
ORD Sale 100 59.3150 USD
ORD Sale 100 59.3400 USD
ORD Sale 100 59.3610 USD
ORD Sale 112 59.4000 USD
ORD Sale 133 59.3325 USD
ORD Sale 147 59.3227 USD
ORD Sale 200 59.2700 USD
ORD Sale 200 59.3425 USD
ORD Sale 200 59.3625 USD
ORD Sale 200 59.3894 USD
ORD Sale 200 59.4305 USD
ORD Sale 289 59.3361 USD
ORD Sale 300 59.3216 USD
ORD Sale 337 59.3070 USD
ORD Sale 400 59.3000 USD
ORD Sale 400 59.3137 USD
ORD Sale 400 59.3175 USD
ORD Sale 400 59.3250 USD
ORD Sale 400 59.3587 USD
ORD Sale 444 59.3597 USD
ORD Sale 500 59.3240 USD
ORD Sale 500 59.3858 USD
ORD Sale 523 59.3691 USD
ORD Sale 572 59.3308 USD
ORD Sale 600 59.3300 USD
ORD Sale 602 59.4100 USD
ORD Sale 700 59.3078 USD
ORD Sale 700 59.3187 USD
ORD Sale 700 59.3514 USD
ORD Sale 800 59.3432 USD
ORD Sale 800 59.3492 USD
ORD Sale 900 59.3367 USD
ORD Sale 900 59.3633 USD
ORD Sale 1,000 59.3540 USD
ORD Sale 1,099 59.3269 USD
ORD Sale 1,197 59.3100 USD
ORD Sale 1,200 59.3517 USD
ORD Sale 1,214 59.3395 USD
ORD Sale 1,224 59.2897 USD
ORD Sale 1,507 59.3630 USD
ORD Sale 1,700 59.3720 USD
ORD Sale 1,796 59.3699 USD
ORD Sale 1,801 59.3110 USD
ORD Sale 1,905 59.3498 USD
ORD Sale 2,300 59.2808 USD
ORD Sale 2,432 59.3258 USD
ORD Sale 3,000 59.3143 USD
ORD Sale 3,100 59.3180 USD
ORD Sale 3,400 59.2680 USD
ORD Sale 3,500 59.3774 USD
ORD Sale 3,700 59.3235 USD
ORD Sale 4,220 59.3500 USD
ORD Sale 4,437 59.3460 USD
ORD Sale 4,632 59.3583 USD
ORD Sale 4,800 59.2841 USD
ORD Sale 7,195 59.3557 USD
ORD Sale 7,673 59.3543 USD
ORD Sale 8,927 59.3307 USD
ORD Sale 10,557 59.3523 USD
ORD Sale 11,200 59.3436 USD
ORD Sale 11,600 59.3605 USD
ORD Sale 11,938 59.4335 USD
ORD Sale 12,731 59.3428 USD
ORD Sale 14,782 59.4025 USD
ORD Sale 15,900 59.3371 USD
ORD Sale 17,332 59.3302 USD
ORD Sale 18,352 59.3202 USD
ORD Sale 18,554 59.3647 USD
ORD Sale 19,861 59.3353 USD
ORD Sale 24,290 59.3415 USD
ORD Sale 26,200 59.3303 USD
ORD Sale 33,887 59.3088 USD
ORD Sale 34,084 59.3602 USD
ORD Sale 41,326 59.3611 USD
ORD Sale 44,800 58.3918 USD
ORD Sale 50,000 59.4300 USD
ORD Sale 63,285 59.3048 USD
ORD Sale 87,396 59.3248 USD
ORD Sale 96,787 59.6200 USD
ORD Sale 125,695 59.2826 USD
ORD Sale 2,597,541 59.4500 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 44,800 58.3918 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 200 57.5 USD American 20 Feb 2015 4.1000 USD
ORD Call Options Purchasing 100 60 USD American 22 Nov 2014 1.7700 USD
ORD Call Options Purchasing 3,000 65 USD American 22 Nov 2014 0.3700 USD
ORD Call Options Purchasing 300 65 USD American 20 Feb 2015 1.2600 USD
ORD Call Options Selling 100 57.5 USD American 20 Sep 2014 1.9200 USD
ORD Call Options Selling 300 60 USD American 20 Feb 2015 3.0100 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: 19 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 -45,400 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 -624,200 52.5000 American 22 Nov 2014
ORD Put Options Purchased -197,900 52.5000 American 17 Jan 2015
ORD Put Options Purchased -320,000 55.0000 American 20 Sep 2014
ORD Put Options Purchased -3,200 55.0000 American 22 Nov 2014
ORD Put Options Purchased -1,500 55.0000 American 17 Jan 2015
ORD Put Options Purchased -1,900 55.0000 American 15 Jan 2016
ORD Put Options Purchased -300 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 2,900 52.5000 American 22 Nov 2014
ORD Put Options Written 35,300 55.0000 American 20 Sep 2014
ORD Put Options Written 2,900 55.0000 American 18 Oct 2014
ORD Put Options Written 7,900 55.0000 American 20 Feb 2015
ORD Put Options Written 14,500 57.5000 American 20 Sep 2014
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 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 123,700 55.0000 American 20 Sep 2014
ORD Call Options Purchased 13,700 55.0000 American 22 Nov 2014
ORD Call Options Purchased 23,000 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 2,600 57.5000 American 18 Oct 2014
ORD Call Options Purchased 428,600 57.5000 American 22 Nov 2014
ORD Call Options Purchased 8,000 57.5000 American 17 Jan 2015
ORD Call Options Purchased 200 57.5000 American 20 Feb 2015
ORD Call Options Purchased 1,000 57.5000 American 15 Jan 2016
ORD Call Options Purchased 500 60.0000 American 20 Sep 2014
ORD Call Options Purchased 20,500 60.0000 American 22 Nov 2014
ORD Call Options Purchased 100 60.0000 American 17 Jan 2015
ORD Call Options Purchased 7,700 62.5000 American 22 Nov 2014
ORD Call Options Purchased 100 62.5000 American 17 Jan 2015
ORD Call Options Purchased 400 62.5000 American 15 Jan 2016
ORD Call Options Purchased 4,200 65.0000 American 22 Nov 2014
ORD Call Options Purchased 5,900 65.0000 American 17 Jan 2015
ORD Call Options Purchased 72,200 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 6,900 67.5000 American 15 Jan 2016
ORD Call Options Purchased 4,400 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 -26,400 52.5000 American 22 Nov 2014
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 -111,500 55.0000 American 20 Feb 2015
ORD Call Options Written -5,000,000 55.0000 American 19 Jun 2015
ORD Call Options Written -200,100 57.5000 American 20 Sep 2014
ORD Call Options Written -6,200 57.5000 American 18 Oct 2014
ORD Call Options Written -190,000 57.5000 American 17 Jan 2015
ORD Call Options Written -1,100 60.0000 American 18 Oct 2014
ORD Call Options Written -46,800 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 -2,800 62.5000 American 18 Oct 2014
ORD Call Options Written -500 62.5000 American 20 Feb 2015
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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