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Form 8.3 - ABBVIE INC

27th Aug 2014 15:21

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: 26 August 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: 3,324,723 0.21% 3,935,437 0.25%
(2) Derivatives (other than
options): 3,247,882 0.20% 0 0.00%
(3) Options and agreements to
purchase/sell: 6,408,200 0.40% 7,578,300 0.48%
TOTAL: 12,980,805 0.82% 11,513,737 0.72%

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 89 55.7300 USD
ORD Purchase 100 55.7200 USD
ORD Purchase 100 55.7550 USD
ORD Purchase 100 55.7700 USD
ORD Purchase 100 55.8300 USD
ORD Purchase 154 55.7651 USD
ORD Purchase 198 55.9200 USD
ORD Purchase 200 55.7450 USD
ORD Purchase 200 55.8050 USD
ORD Purchase 200 55.8600 USD
ORD Purchase 201 55.7549 USD
ORD Purchase 245 55.8386 USD
ORD Purchase 300 55.7166 USD
ORD Purchase 300 55.7350 USD
ORD Purchase 300 55.7633 USD
ORD Purchase 400 55.7250 USD
ORD Purchase 400 55.7900 USD
ORD Purchase 400 55.8425 USD
ORD Purchase 400 55.8500 USD
ORD Purchase 407 55.8464 USD
ORD Purchase 440 55.7359 USD
ORD Purchase 458 55.8000 USD
ORD Purchase 500 55.7360 USD
ORD Purchase 500 55.7460 USD
ORD Purchase 500 55.7620 USD
ORD Purchase 578 55.7600 USD
ORD Purchase 619 55.8319 USD
ORD Purchase 699 55.7735 USD
ORD Purchase 700 55.7571 USD
ORD Purchase 700 55.7614 USD
ORD Purchase 700 55.8314 USD
ORD Purchase 768 55.7727 USD
ORD Purchase 805 55.8445 USD
ORD Purchase 900 55.7605 USD
ORD Purchase 1,000 55.7525 USD
ORD Purchase 1,100 55.7650 USD
ORD Purchase 1,200 55.7400 USD
ORD Purchase 1,300 55.7426 USD
ORD Purchase 1,387 55.8400 USD
ORD Purchase 1,476 55.8459 USD
ORD Purchase 1,502 55.8266 USD
ORD Purchase 1,535 55.8171 USD
ORD Purchase 1,664 55.7623 USD
ORD Purchase 3,677 55.7483 USD
ORD Purchase 3,700 55.7137 USD
ORD Purchase 3,707 55.7647 USD
ORD Purchase 4,102 55.6879 USD
ORD Purchase 4,400 55.7468 USD
ORD Purchase 4,500 55.7128 USD
ORD Purchase 5,511 55.7933 USD
ORD Purchase 6,063 55.8165 USD
ORD Purchase 7,061 55.7728 USD
ORD Purchase 10,532 55.7724 USD
ORD Purchase 11,400 55.7602 USD
ORD Purchase 11,715 55.7583 USD
ORD Purchase 13,034 55.8579 USD
ORD Purchase 14,758 55.7968 USD
ORD Purchase 15,065 55.7982 USD
ORD Purchase 17,100 55.7436 USD
ORD Purchase 17,175 55.7648 USD
ORD Purchase 17,196 55.7950 USD
ORD Purchase 20,622 55.7787 USD
ORD Purchase 28,600 55.7206 USD
ORD Purchase 109,889 55.7777 USD
ORD Purchase 189,678 55.7753 USD
ORD Purchase 2,526,044 55.7500 USD
ORD Sale 4 55.7437 USD
ORD Sale 5 55.7480 USD
ORD Sale 12 55.7600 USD
ORD Sale 28 55.7100 USD
ORD Sale 100 55.8500 USD
ORD Sale 161 55.6700 USD
ORD Sale 202 55.7102 USD
ORD Sale 277 55.7200 USD
ORD Sale 300 55.7700 USD
ORD Sale 320 55.8177 USD
ORD Sale 384 55.7727 USD
ORD Sale 386 55.8594 USD
ORD Sale 400 55.7262 USD
ORD Sale 430 55.7612 USD
ORD Sale 500 55.7540 USD
ORD Sale 500 55.7610 USD
ORD Sale 500 55.7620 USD
ORD Sale 517 55.7883 USD
ORD Sale 600 55.7300 USD
ORD Sale 600 55.7541 USD
ORD Sale 600 55.7783 USD
ORD Sale 700 55.7650 USD
ORD Sale 792 55.8539 USD
ORD Sale 1,206 55.7595 USD
ORD Sale 1,600 55.7782 USD
ORD Sale 1,600 55.7841 USD
ORD Sale 1,604 55.7342 USD
ORD Sale 1,645 55.7400 USD
ORD Sale 1,700 55.7588 USD
ORD Sale 1,715 55.7531 USD
ORD Sale 1,959 55.7511 USD
ORD Sale 2,200 55.7359 USD
ORD Sale 2,384 55.7809 USD
ORD Sale 2,400 55.7671 USD
ORD Sale 2,445 55.7284 USD
ORD Sale 2,535 55.7673 USD
ORD Sale 2,709 55.8006 USD
ORD Sale 2,900 55.7720 USD
ORD Sale 3,081 55.7697 USD
ORD Sale 3,118 55.7374 USD
ORD Sale 3,200 55.7601 USD
ORD Sale 5,144 55.7402 USD
ORD Sale 5,200 55.7235 USD
ORD Sale 5,246 55.8401 USD
ORD Sale 6,206 55.7800 USD
ORD Sale 7,696 55.7754 USD
ORD Sale 9,500 55.7555 USD
ORD Sale 9,516 55.8209 USD
ORD Sale 10,800 55.7592 USD
ORD Sale 11,616 55.7787 USD
ORD Sale 12,119 55.7940 USD
ORD Sale 14,959 55.7496 USD
ORD Sale 17,087 55.7902 USD
ORD Sale 22,171 55.7684 USD
ORD Sale 24,514 55.7756 USD
ORD Sale 25,996 55.7780 USD
ORD Sale 50,000 55.7219 USD
ORD Sale 64,108 55.7762 USD
ORD Sale 69,872 55.8113 USD
ORD Sale 110,227 55.7788 USD
ORD Sale 2,504,199 55.7500 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 500 55 USD American 17 Jan 2015 3.2400 USD
ORD Call Options Purchasing 100 55 USD American 20 Feb 2015 3.6200 USD
ORD Call Options Purchasing 1,300 60 USD American 22 Nov 2014 0.7000 USD
ORD Call Options Selling 100 60 USD American 22 Nov 2014 0.7000 USD
ORD Call Options Selling 500 60 USD American 17 Jan 2015 1.2400 USD
ORD Call Options Selling 100 65 USD American 20 Feb 2015 0.6200 USD
ORD Put Options Purchasing 400 42.5 USD American 15 Jan 2016 2.4850 USD
ORD Put Options Purchasing 1,300 52.5 USD American 22 Nov 2014 1.2384 USD
ORD Put Options Purchasing 20,000 55 USD American 20 Sep 2014 0.7500 USD
ORD Put Options Selling 400 37.5 USD American 15 Jan 2016 1.5850 USD
ORD Put Options Selling 75,600 52.5 USD American 20 Sep 2014 0.2300 USD
ORD Put Options Selling 4,000 55 USD American 18 Oct 2014 1.5000 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: 27 Aug 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 -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 -217,500 52.5000 American 20 Sep 2014
ORD Put Options Purchased -2,600 52.5000 American 18 Oct 2014
ORD Put Options Purchased -416,900 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 118,800 55.0000 American 20 Sep 2014
ORD Call Options Purchased 11,800 55.0000 American 22 Nov 2014
ORD Call Options Purchased 22,500 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 1,000 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 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 -57,000 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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