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Form 8.3 - ABBVIE INC

1st Sep 2014 15:15

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: 29 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: 3,309,730 0.21% 4,085,775 0.26%
(2) Derivatives (other than
options): 3,392,778 0.21% 0 0.00%
(3) Options and agreements to
purchase/sell: 6,408,900 0.40% 7,580,200 0.48%
(4)
TOTAL: 13,111,408 0.82% 11,665,975 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 56 55.4370 USD
ORD Purchase 100 55.2700 USD
ORD Purchase 100 55.3250 USD
ORD Purchase 100 55.3800 USD
ORD Purchase 100 55.4950 USD
ORD Purchase 100 55.5250 USD
ORD Purchase 100 55.5600 USD
ORD Purchase 100 55.5800 USD
ORD Purchase 113 55.4200 USD
ORD Purchase 130 55.4226 USD
ORD Purchase 200 55.2950 USD
ORD Purchase 200 55.3150 USD
ORD Purchase 200 55.3200 USD
ORD Purchase 200 55.5999 USD
ORD Purchase 268 55.4866 USD
ORD Purchase 300 55.2960 USD
ORD Purchase 300 55.5133 USD
ORD Purchase 400 55.2780 USD
ORD Purchase 400 55.4300 USD
ORD Purchase 400 55.4475 USD
ORD Purchase 400 55.5950 USD
ORD Purchase 431 55.5275 USD
ORD Purchase 456 55.3000 USD
ORD Purchase 557 55.3100 USD
ORD Purchase 760 55.3791 USD
ORD Purchase 800 55.4287 USD
ORD Purchase 900 55.5388 USD
ORD Purchase 1,000 55.3005 USD
ORD Purchase 1,000 55.3590 USD
ORD Purchase 1,010 55.5930 USD
ORD Purchase 1,088 55.4628 USD
ORD Purchase 1,131 55.5700 USD
ORD Purchase 1,144 55.2900 USD
ORD Purchase 1,200 55.5300 USD
ORD Purchase 1,200 55.5958 USD
ORD Purchase 1,300 55.4461 USD
ORD Purchase 1,400 55.3614 USD
ORD Purchase 1,472 55.5486 USD
ORD Purchase 1,500 55.2995 USD
ORD Purchase 1,500 55.4500 USD
ORD Purchase 1,500 55.6000 USD
ORD Purchase 1,700 55.4270 USD
ORD Purchase 1,770 55.3893 USD
ORD Purchase 1,790 55.4765 USD
ORD Purchase 1,800 55.4583 USD
ORD Purchase 2,300 55.3021 USD
ORD Purchase 2,452 55.2819 USD
ORD Purchase 2,653 55.5272 USD
ORD Purchase 3,190 55.5678 USD
ORD Purchase 3,228 55.4864 USD
ORD Purchase 3,324 55.4662 USD
ORD Purchase 3,493 55.4400 USD
ORD Purchase 3,589 55.3912 USD
ORD Purchase 3,600 55.4455 USD
ORD Purchase 4,858 55.4831 USD
ORD Purchase 5,000 55.5148 USD
ORD Purchase 5,094 55.3869 USD
ORD Purchase 5,700 55.4035 USD
ORD Purchase 6,834 55.5698 USD
ORD Purchase 7,176 55.4419 USD
ORD Purchase 7,396 55.3704 USD
ORD Purchase 8,822 55.4328 USD
ORD Purchase 9,544 55.4489 USD
ORD Purchase 9,809 55.2871 USD
ORD Purchase 9,939 55.4368 USD
ORD Purchase 10,000 55.6168 USD
ORD Purchase 12,500 55.4332 USD
ORD Purchase 12,700 55.3409 USD
ORD Purchase 13,745 55.5697 USD
ORD Purchase 16,000 55.4273 USD
ORD Purchase 16,100 55.4766 USD
ORD Purchase 16,441 55.4547 USD
ORD Purchase 19,897 55.4900 USD
ORD Purchase 25,000 55.5695 USD
ORD Purchase 26,134 55.4425 USD
ORD Purchase 31,196 55.5119 USD
ORD Purchase 43,231 55.4354 USD
ORD Purchase 43,767 55.4737 USD
ORD Purchase 64,399 55.5302 USD
ORD Purchase 76,310 55.4502 USD
ORD Purchase 2,560,457 55.2800 USD
ORD Sale 55 55.4371 USD
ORD Sale 57 55.4370 USD
ORD Sale 100 55.2750 USD
ORD Sale 122 55.4356 USD
ORD Sale 134 55.4400 USD
ORD Sale 170 55.3000 USD
ORD Sale 197 55.2598 USD
ORD Sale 200 55.2860 USD
ORD Sale 200 55.4350 USD
ORD Sale 200 55.4750 USD
ORD Sale 200 55.4800 USD
ORD Sale 200 55.6200 USD
ORD Sale 200 55.6350 USD
ORD Sale 204 55.3773 USD
ORD Sale 209 55.2600 USD
ORD Sale 226 55.4200 USD
ORD Sale 300 55.2870 USD
ORD Sale 300 55.2966 USD
ORD Sale 300 55.3266 USD
ORD Sale 300 55.4333 USD
ORD Sale 300 55.4466 USD
ORD Sale 300 55.4700 USD
ORD Sale 300 55.4733 USD
ORD Sale 300 55.5233 USD
ORD Sale 400 55.2780 USD
ORD Sale 400 55.2970 USD
ORD Sale 400 55.3775 USD
ORD Sale 443 55.5300 USD
ORD Sale 460 55.3807 USD
ORD Sale 500 55.4740 USD
ORD Sale 518 55.3100 USD
ORD Sale 587 55.6271 USD
ORD Sale 600 55.2950 USD
ORD Sale 600 55.6516 USD
ORD Sale 688 55.6100 USD
ORD Sale 698 55.4032 USD
ORD Sale 700 55.4128 USD
ORD Sale 800 55.3012 USD
ORD Sale 800 55.3375 USD
ORD Sale 800 55.3750 USD
ORD Sale 1,100 55.2850 USD
ORD Sale 1,103 55.6122 USD
ORD Sale 1,128 55.5655 USD
ORD Sale 1,200 55.3033 USD
ORD Sale 1,200 55.4341 USD
ORD Sale 1,226 55.2819 USD
ORD Sale 1,300 55.2786 USD
ORD Sale 1,400 55.4685 USD
ORD Sale 1,400 55.6301 USD
ORD Sale 1,498 55.4026 USD
ORD Sale 1,500 55.5100 USD
ORD Sale 1,544 55.3596 USD
ORD Sale 1,591 55.2731 USD
ORD Sale 1,600 55.4034 USD
ORD Sale 1,800 55.3008 USD
ORD Sale 1,860 55.4900 USD
ORD Sale 1,869 55.4238 USD
ORD Sale 2,035 55.4310 USD
ORD Sale 2,039 55.4504 USD
ORD Sale 2,100 55.5383 USD
ORD Sale 2,200 55.4886 USD
ORD Sale 2,400 55.4791 USD
ORD Sale 2,700 55.5155 USD
ORD Sale 2,800 55.2875 USD
ORD Sale 2,900 55.4793 USD
ORD Sale 3,137 55.4850 USD
ORD Sale 3,178 55.3330 USD
ORD Sale 3,360 55.4269 USD
ORD Sale 3,381 55.4235 USD
ORD Sale 3,402 55.4586 USD
ORD Sale 3,541 55.3941 USD
ORD Sale 3,610 55.4866 USD
ORD Sale 3,900 55.3617 USD
ORD Sale 4,000 55.3152 USD
ORD Sale 4,100 55.5970 USD
ORD Sale 5,000 55.3685 USD
ORD Sale 5,009 55.2840 USD
ORD Sale 5,562 55.3979 USD
ORD Sale 5,941 55.4279 USD
ORD Sale 6,000 55.6088 USD
ORD Sale 6,066 55.3951 USD
ORD Sale 6,500 55.2795 USD
ORD Sale 7,363 55.4772 USD
ORD Sale 9,100 55.4270 USD
ORD Sale 9,837 55.3206 USD
ORD Sale 11,049 55.4198 USD
ORD Sale 13,400 55.4757 USD
ORD Sale 21,800 55.4250 USD
ORD Sale 25,000 55.5695 USD
ORD Sale 66,506 55.4443 USD
ORD Sale 68,143 55.5423 USD
ORD Sale 83,110 55.4385 USD
ORD Sale 99,951 55.4809 USD
ORD Sale 2,551,114 55.2800 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 6,264 55.6000 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 Put Options Purchasing 2,100 52.5 USD American 20 Sep 2014 0.1500 USD
ORD Put Options Purchasing 100 52.5 USD American 22 Nov 2014 1.2000 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: 1 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 -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 -219,600 52.5000 American 20 Sep 2014
ORD Put Options Purchased -2,600 52.5000 American 18 Oct 2014
ORD Put Options Purchased -417,000 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 23,100 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 1,100 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 -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 -56,700 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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