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Form 8.3 - ABBVIE INC

23rd Jul 2014 15:43

FORM 8.5 (EPT/NON-RI)

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN

EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY (“RI”) STATUS (OR WHERE RI STATUS IS NOT APPLICABLE)

Rule 8.5 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a) Name of exempt principal trader:

Barclays PLC.

(b) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

(c) Name of the party to the offer with which exempt principal trader is connected:

ABBVIE INC

(d) Date position held/dealing undertaken:

22 July 2014

(e) Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to this offer?

YES:

SHIRE PLC

2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER

(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: 2,315,354 0.15% 4,360,602 0.27%
(2) Derivatives (other than
options): 3,085,885 0.19% 0 0.00%
(3) Options and agreements to
purchase/sell: 867,000 0.05% 2,549,200 0.16%
(4) TOTAL:
6,268,239 0.39% 6,909,802 0.43%

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(b), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

3. DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER

(a) Purchases and sales

Class of relevant Purchase/sale Number of Price per unit
security securities
ORD Purchase 2 54.1600 USD
ORD Purchase 53 53.9800 USD
ORD Purchase 81 53.8300 USD
ORD Purchase 100 54.1100 USD
ORD Purchase 100 54.1350 USD
ORD Purchase 107 54.0980 USD
ORD Purchase 138 54.0799 USD
ORD Purchase 200 54.0750 USD
ORD Purchase 200 54.0900 USD
ORD Purchase 240 54.0600 USD
ORD Purchase 300 54.0633 USD
ORD Purchase 300 54.0783 USD
ORD Purchase 300 54.1200 USD
ORD Purchase 300 54.1233 USD
ORD Purchase 343 54.0568 USD
ORD Purchase 348 54.1489 USD
ORD Purchase 370 54.0000 USD
ORD Purchase 397 54.0794 USD
ORD Purchase 400 54.0737 USD
ORD Purchase 400 54.1000 USD
ORD Purchase 400 54.1150 USD
ORD Purchase 432 TRANSFER
ORD Purchase 470 54.0700 USD
ORD Purchase 480 54.1324 USD
ORD Purchase 567 54.0724 USD
ORD Purchase 576 54.1400 USD
ORD Purchase 700 54.1300 USD
ORD Purchase 770 54.0800 USD
ORD Purchase 788 54.1500 USD
ORD Purchase 900 54.0977 USD
ORD Purchase 923 54.0935 USD
ORD Purchase 949 54.1024 USD
ORD Purchase 1,047 53.7919 USD
ORD Purchase 1,100 53.9900 USD
ORD Purchase 1,106 54.0663 USD
ORD Purchase 1,152 54.0816 USD
ORD Purchase 1,500 54.0820 USD
ORD Purchase 1,900 54.1078 USD
ORD Purchase 1,974 54.1249 USD
ORD Purchase 2,028 54.0984 USD
ORD Purchase 2,597 54.1338 USD
ORD Purchase 2,940 54.0948 USD
ORD Purchase 3,300 54.0831 USD
ORD Purchase 3,432 54.0991 USD
ORD Purchase 3,700 54.0949 USD
ORD Purchase 4,000 53.7831 USD
ORD Purchase 4,300 54.0883 USD
ORD Purchase 4,382 54.0882 USD
ORD Purchase 5,000 54.0946 USD
ORD Purchase 5,812 54.0354 USD
ORD Purchase 8,288 54.0959 USD
ORD Purchase 13,200 54.0784 USD
ORD Purchase 14,759 54.1094 USD
ORD Purchase 15,027 54.1251 USD
ORD Purchase 15,534 54.0478 USD
ORD Purchase 16,435 54.0772 USD
ORD Purchase 18,670 54.0500 USD
ORD Purchase 20,297 54.0695 USD
ORD Purchase 29,084 54.0444 USD
ORD Purchase 60,697 54.0614 USD
ORD Purchase 60,805 54.0653 USD
ORD Purchase 67,400 54.0352 USD
ORD Purchase 109,772 54.0597 USD
ORD Purchase 161,250 54.0961 USD
ORD Purchase 166,177 54.0754 USD
ORD Purchase 204,700 54.0992 USD
ORD Purchase 695,688 54.0928 USD
ORD Purchase 1,059,200 54.0931 USD
ORD Sale 12 54.1150 USD
ORD Sale 80 54.0997 USD
ORD Sale 100 53.8100 USD
ORD Sale 100 54.0750 USD
ORD Sale 100 54.3400 USD
ORD Sale 157 54.0572 USD
ORD Sale 200 54.0650 USD
ORD Sale 200 54.0700 USD
ORD Sale 200 54.1100 USD
ORD Sale 200 54.2050 USD
ORD Sale 201 54.0901 USD
ORD Sale 204 54.2286 USD
ORD Sale 217 54.3412 USD
ORD Sale 232 54.0756 USD
ORD Sale 300 54.0869 USD
ORD Sale 343 54.1400 USD
ORD Sale 388 54.0996 USD
ORD Sale 600 54.1000 USD
ORD Sale 700 54.0914 USD
ORD Sale 759 54.0600 USD
ORD Sale 800 54.0950 USD
ORD Sale 1,000 54.1360 USD
ORD Sale 1,062 54.0644 USD
ORD Sale 1,100 54.0618 USD
ORD Sale 1,134 54.0724 USD
ORD Sale 1,200 54.0675 USD
ORD Sale 1,283 54.1076 USD
ORD Sale 1,400 54.1115 USD
ORD Sale 1,500 54.0690 USD
ORD Sale 1,600 54.0593 USD
ORD Sale 1,600 54.0900 USD
ORD Sale 1,609 54.0944 USD
ORD Sale 1,676 54.1018 USD
ORD Sale 1,844 54.0687 USD
ORD Sale 1,913 54.0692 USD
ORD Sale 2,100 54.1240 USD
ORD Sale 2,400 54.0608 USD
ORD Sale 2,600 54.1104 USD
ORD Sale 2,700 54.0753 USD
ORD Sale 2,884 54.1190 USD
ORD Sale 2,900 54.1148 USD
ORD Sale 3,000 53.6720 USD
ORD Sale 3,000 54.0701 USD
ORD Sale 3,100 54.0841 USD
ORD Sale 3,400 53.7830 USD
ORD Sale 3,503 54.2609 USD
ORD Sale 3,840 54.0575 USD
ORD Sale 3,948 53.8265 USD
ORD Sale 4,047 54.1904 USD
ORD Sale 4,838 53.9550 USD
ORD Sale 5,000 54.1281 USD
ORD Sale 5,200 54.0933 USD
ORD Sale 5,200 54.1007 USD
ORD Sale 8,400 54.0662 USD
ORD Sale 8,411 54.1233 USD
ORD Sale 8,513 54.1341 USD
ORD Sale 10,000 53.9990 USD
ORD Sale 11,318 54.0737 USD
ORD Sale 15,094 54.0816 USD
ORD Sale 15,368 54.0800 USD
ORD Sale 15,591 54.0729 USD
ORD Sale 16,016 54.0865 USD
ORD Sale 16,572 54.0688 USD
ORD Sale 18,498 54.1873 USD
ORD Sale 18,600 54.1146 USD
ORD Sale 18,848 54.1045 USD
ORD Sale 19,543 54.0500 USD
ORD Sale 30,982 54.1217 USD
ORD Sale 49,787 54.1086 USD
ORD Sale 50,703 54.0880 USD
ORD Sale 52,571 54.1003 USD
ORD Sale 57,941 54.0707 USD
ORD Sale 67,200 54.0350 USD
ORD Sale 72,949 54.0990 USD
ORD Sale 92,940 54.0686 USD
ORD Sale 104,919 54.0679 USD
ORD Sale 161,250 54.0961 USD
ORD Sale 161,400 54.0963 USD
ORD Sale 166,177 54.0789 USD
ORD Sale 178,403 54.1005 USD
ORD Sale 263,600 54.0839 USD
ORD Sale 1,059,200 54.0931 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 10,000 57.5 USD American 16 Aug 2014 0.5200 USD
ORD Call Options Purchasing 5,000 57.5 USD American 16 Aug 2014 0.5500 USD
ORD Call Options Selling 10,000 52.5 USD American 16 Aug 2014 2.6200 USD
ORD Call Options Selling 400 55 USD American 22 Nov 2014 2.5500 USD
ORD Call Options Selling 5,000 57.5 USD American 16 Aug 2014 0.5500 USD
ORD Put Options Purchasing 200 52.5 USD American 16 Aug 2014 0.9000 USD
ORD Put Options Selling 100 32.5 USD American 15 Jan 2016 1.0000 USD
ORD Put Options Selling 200 55 USD American 16 Aug 2014 2.1000 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(b), 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 exempt principal trader 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 exempt principal trader 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:

23 Jul 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 person whose open positions are being disclosed:

Barclays PLC.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

ABBVIE INC

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 -300 25.0000 American 17 Jan 2015
ORD Put Options Purchased -100 32.5000 American 17 Jan 2015
ORD Put Options Purchased -600 35.0000 American 16 Aug 2014
ORD Put Options Purchased -14,100 35.0000 American 17 Jan 2015
ORD Put Options Purchased -500 37.5000 American 16 Aug 2014
ORD Put Options Purchased -8,300 37.5000 American 17 Jan 2015
ORD Put Options Purchased -500 37.5000 American 15 Jan 2016
ORD Put Options Purchased -2,600 40.0000 American 16 Aug 2014
ORD Put Options Purchased -8,700 40.0000 American 17 Jan 2015
ORD Put Options Purchased -500 40.0000 American 15 Jan 2016
ORD Put Options Purchased -1,400 42.5000 American 16 Aug 2014
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 -900 42.5000 American 15 Jan 2016
ORD Put Options Purchased -29,700 45.0000 American 16 Aug 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 -11,700 47.5000 American 16 Aug 2014
ORD Put Options Purchased -200 47.5000 American 20 Feb 2015
ORD Put Options Purchased -17,700 50.0000 American 16 Aug 2014
ORD Put Options Purchased -4,100 50.0000 American 22 Nov 2014
ORD Put Options Purchased -400 50.0000 American 20 Feb 2015
ORD Put Options Purchased -1,100 50.0000 American 15 Jan 2016
ORD Put Options Purchased -300,000 52.5000 American 22 Nov 2014
ORD Put Options Purchased -5,500 52.5000 American 17 Jan 2015
ORD Put Options Purchased -600 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 -300 57.5000 American 16 Aug 2014
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 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 1,000 35.0000 American 15 Jan 2016
ORD Put Options Written 4,100 45.0000 American 17 Jan 2015
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 2,100 47.5000 American 15 Jan 2016
ORD Put Options Written 1,400 50.0000 American 16 Aug 2014
ORD Put Options Written 31,300 50.0000 American 17 Jan 2015
ORD Put Options Written 300,800 52.5000 American 16 Aug 2014
ORD Put Options Written 14,700 55.0000 American 16 Aug 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 700 42.5000 American 17 Jan 2015
ORD Call Options Purchased 100 47.5000 American 15 Jan 2016
ORD Call Options Purchased 5,200 50.0000 American 22 Nov 2014
ORD Call Options Purchased 6,300 50.0000 American 17 Jan 2015
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 19,600 55.0000 American 16 Aug 2014
ORD Call Options Purchased 5,100 55.0000 American 17 Jan 2015
ORD Call Options Purchased 4,000 55.0000 American 15 Jan 2016
ORD Call Options Purchased 116,400 57.5000 American 16 Aug 2014
ORD Call Options Purchased 300,000 57.5000 American 22 Nov 2014
ORD Call Options Purchased 4,400 57.5000 American 17 Jan 2015
ORD Call Options Purchased 400 57.5000 American 15 Jan 2016
ORD Call Options Purchased 7,400 60.0000 American 16 Aug 2014
ORD Call Options Purchased 12,500 60.0000 American 22 Nov 2014
ORD Call Options Purchased 1,500 60.0000 American 17 Jan 2015
ORD Call Options Purchased 500 62.5000 American 16 Aug 2014
ORD Call Options Purchased 500 62.5000 American 22 Nov 2014
ORD Call Options Purchased 400 62.5000 American 17 Jan 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 2,700 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 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 -5,000 40.0000 American 15 Jan 2016
ORD Call Options Written -3,400 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 -200 50.0000 American 16 Aug 2014
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 -37,200 52.5000 American 16 Aug 2014
ORD Call Options Written -2,400 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 -900 55.0000 American 22 Nov 2014
ORD Call Options Written -7,300 55.0000 American 20 Feb 2015
ORD Call Options Written -1,952,300 57.5000 American 16 Aug 2014
ORD Call Options Written -6,200 57.5000 American 22 Nov 2014
ORD Call Options Written -1,300 57.5000 American 20 Feb 2015
ORD Call Options Written -2,300 60.0000 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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