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Form 8.3 - Abbvie Inc

21st Aug 2014 12:36

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 are being disclosed:

Barclays PLC.

(b) Owner or controller of interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient

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

Use a separate form for each offeror/offeree

ABBVIE INC

(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:

20 August 2014

(f) Has the discloser previously disclosed, or are they today disclosing, under the Code in respect of any other party to this offer?

YES:

SHIRE PLC

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: 3,340,283 0.21% 3,947,319 0.25%
(2) Derivatives (other than
options): 3,247,882 0.20% 0 0.00%
(3) Options and agreements to
purchase/sell: 6,390,700 0.40% 7,641,700 0.48%
(4)
TOTAL: 12,978,865 0.82% 11,589,019 0.73%

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 49 54.9799 USD
ORD Purchase 75 55.0400 USD
ORD Purchase 96 55.0100 USD
ORD Purchase 100 54.8050 USD
ORD Purchase 100 54.9600 USD
ORD Purchase 100 55.0750 USD
ORD Purchase 100 55.0800 USD
ORD Purchase 100 55.0900 USD
ORD Purchase 100 55.1050 USD
ORD Purchase 144 54.9745 USD
ORD Purchase 172 54.8700 USD
ORD Purchase 200 54.8400 USD
ORD Purchase 200 55.0650 USD
ORD Purchase 200 55.1125 USD
ORD Purchase 200 55.1200 USD
ORD Purchase 285 54.8478 USD
ORD Purchase 300 54.7800 USD
ORD Purchase 300 54.8933 USD
ORD Purchase 400 54.8250 USD
ORD Purchase 400 54.9675 USD
ORD Purchase 463 55.0608 USD
ORD Purchase 500 55.0706 USD
ORD Purchase 521 55.0106 USD
ORD Purchase 577 TRANSFER
ORD Purchase 600 54.8308 USD
ORD Purchase 600 54.9250 USD
ORD Purchase 600 54.9916 USD
ORD Purchase 600 54.9975 USD
ORD Purchase 600 55.0616 USD
ORD Purchase 729 54.8450 USD
ORD Purchase 800 54.7662 USD
ORD Purchase 800 55.0412 USD
ORD Purchase 901 54.8344 USD
ORD Purchase 1,100 54.8295 USD
ORD Purchase 1,177 54.9426 USD
ORD Purchase 1,600 54.9187 USD
ORD Purchase 1,736 54.8265 USD
ORD Purchase 1,900 54.9910 USD
ORD Purchase 2,200 54.8777 USD
ORD Purchase 2,600 54.9834 USD
ORD Purchase 2,864 54.8301 USD
ORD Purchase 3,400 54.8319 USD
ORD Purchase 3,400 54.9892 USD
ORD Purchase 3,800 55.0232 USD
ORD Purchase 4,000 54.9500 USD
ORD Purchase 4,230 54.8868 USD
ORD Purchase 4,500 54.9855 USD
ORD Purchase 4,663 55.0180 USD
ORD Purchase 5,200 54.9773 USD
ORD Purchase 5,400 55.0784 USD
ORD Purchase 5,753 55.0369 USD
ORD Purchase 6,471 54.9169 USD
ORD Purchase 6,778 54.7910 USD
ORD Purchase 8,197 54.9616 USD
ORD Purchase 9,781 55.0145 USD
ORD Purchase 14,778 55.0085 USD
ORD Purchase 15,614 54.9420 USD
ORD Purchase 18,260 54.9305 USD
ORD Purchase 19,407 54.9184 USD
ORD Purchase 28,016 54.9879 USD
ORD Purchase 41,834 54.9361 USD
ORD Purchase 105,491 54.9792 USD
ORD Purchase 115,000 55.2900 USD
ORD Purchase 128,212 55.0196 USD
ORD Purchase 1,814,511 55.0600 USD
ORD Sale 75 55.0400 USD
ORD Sale 82 54.9600 USD
ORD Sale 96 55.0100 USD
ORD Sale 100 54.8050 USD
ORD Sale 100 54.8100 USD
ORD Sale 100 54.8800 USD
ORD Sale 100 55.1600 USD
ORD Sale 172 54.8700 USD
ORD Sale 228 54.8500 USD
ORD Sale 300 54.9800 USD
ORD Sale 307 55.0900 USD
ORD Sale 400 54.9250 USD
ORD Sale 500 55.0690 USD
ORD Sale 500 55.0790 USD
ORD Sale 560 54.9981 USD
ORD Sale 569 54.9372 USD
ORD Sale 640 54.9018 USD
ORD Sale 700 54.9728 USD
ORD Sale 714 55.0225 USD
ORD Sale 1,000 54.9670 USD
ORD Sale 1,100 55.0072 USD
ORD Sale 1,164 55.0306 USD
ORD Sale 1,200 55.0141 USD
ORD Sale 1,300 54.9300 USD
ORD Sale 1,300 55.0215 USD
ORD Sale 1,300 55.0712 USD
ORD Sale 1,452 55.0098 USD
ORD Sale 1,500 54.9566 USD
ORD Sale 1,663 55.0211 USD
ORD Sale 2,000 54.9145 USD
ORD Sale 2,000 55.0275 USD
ORD Sale 2,342 54.8636 USD
ORD Sale 2,500 55.0080 USD
ORD Sale 2,502 54.9268 USD
ORD Sale 2,600 55.0508 USD
ORD Sale 4,000 54.9500 USD
ORD Sale 4,082 54.9519 USD
ORD Sale 4,200 54.9634 USD
ORD Sale 4,400 54.9997 USD
ORD Sale 5,049 55.0412 USD
ORD Sale 5,163 55.0252 USD
ORD Sale 6,500 55.0762 USD
ORD Sale 6,600 55.0575 USD
ORD Sale 6,700 55.0873 USD
ORD Sale 7,090 55.0285 USD
ORD Sale 8,697 54.8940 USD
ORD Sale 8,807 54.9731 USD
ORD Sale 9,277 54.8580 USD
ORD Sale 10,325 54.9846 USD
ORD Sale 10,655 54.9687 USD
ORD Sale 14,008 54.9879 USD
ORD Sale 18,707 54.8136 USD
ORD Sale 21,655 54.8678 USD
ORD Sale 45,734 54.9359 USD
ORD Sale 53,548 54.9329 USD
ORD Sale 75,190 55.1114 USD
ORD Sale 103,055 54.9784 USD
ORD Sale 115,000 55.2900 USD
ORD Sale 1,809,964 55.0600 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 200 55 USD American 20 Sep 2014 1.0500 USD
ORD Call Options Purchasing 2,100 55 USD American 22 Nov 2014 2.1047 USD
ORD Call Options Purchasing 500 55 USD American 20 Feb 2015 3.3120 USD
ORD Call Options Purchasing 115,000 57.5 USD American 22 Nov 2014 1.1431 USD
ORD Call Options Purchasing 600 60 USD American 22 Nov 2014 0.6000 USD
ORD Call Options Selling 500 65 USD American 20 Feb 2015 0.5520 USD
ORD Put Options Purchasing 600 50 USD American 22 Nov 2014 0.8500 USD
ORD Put Options Purchasing 115,000 52.5 USD American 22 Nov 2014 1.5541 USD
ORD Put Options Purchasing 1,000 55 USD American 20 Sep 2014 1.1500 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:

21 August 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 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 -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 -500 37.5000 American 15 Jan 2016
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 -900 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 -291,600 52.5000 American 20 Sep 2014
ORD Put Options Purchased -2,600 52.5000 American 18 Oct 2014
ORD Put Options Purchased -415,000 52.5000 American 22 Nov 2014
ORD Put Options Purchased -5,500 52.5000 American 17 Jan 2015
ORD Put Options Purchased -1,100 55.0000 American 20 Sep 2014
ORD Put Options Purchased -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 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 6,400 50.0000 American 17 Jan 2015
ORD Call Options Purchased 16,000 52.5000 American 20 Sep 2014
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 118,800 55.0000 American 20 Sep 2014
ORD Call Options Purchased 11,400 55.0000 American 22 Nov 2014
ORD Call Options Purchased 22,000 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 1,200 57.5000 American 20 Sep 2014
ORD Call Options Purchased 3,000 57.5000 American 18 Oct 2014
ORD Call Options Purchased 416,400 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 13,800 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 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 85,500 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 -126,100 55.0000 American 20 Feb 2015
ORD Call Options Written -5,000,000 55.0000 American 19 Jun 2015
ORD Call Options Written -5,000 57.5000 American 22 Nov 2014
ORD Call Options Written -300 57.5000 American 20 Feb 2015
ORD Call Options Written -56,500 60.0000 American 17 Jan 2015
ORD Call Options Written -48,300 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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