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Form 8.3 - Abbvie Inc

26th Aug 2014 15:11

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: 22 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: 3,319,079 0.21% 3,956,904 0.25%
(2) Derivatives (other than
options): 3,247,882 0.20% 0 0.00%
(3) Options and agreements to
purchase/sell: 6,386,200 0.40% 7,638,500 0.48%
TOTAL: 12,953,161 0.81% 11,595,404 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 26 55.1400 USD
ORD Purchase 51 56.2000 USD
ORD Purchase 100 55.1700 USD
ORD Purchase 100 55.1800 USD
ORD Purchase 100 55.2600 USD
ORD Purchase 136 55.2200 USD
ORD Purchase 200 54.6750 USD
ORD Purchase 200 55.2100 USD
ORD Purchase 200 55.2150 USD
ORD Purchase 201 54.9192 USD
ORD Purchase 248 54.9333 USD
ORD Purchase 300 55.1233 USD
ORD Purchase 300 55.2033 USD
ORD Purchase 400 55.1450 USD
ORD Purchase 420 54.8800 USD
ORD Purchase 441 54.4797 USD
ORD Purchase 480 55.2300 USD
ORD Purchase 535 55.1600 USD
ORD Purchase 570 55.0000 USD
ORD Purchase 600 55.0450 USD
ORD Purchase 600 55.2133 USD
ORD Purchase 624 55.2401 USD
ORD Purchase 700 54.9900 USD
ORD Purchase 700 55.2257 USD
ORD Purchase 720 55.2286 USD
ORD Purchase 1,000 55.2125 USD
ORD Purchase 1,000 55.2700 USD
ORD Purchase 1,051 55.0161 USD
ORD Purchase 1,100 54.7709 USD
ORD Purchase 1,200 54.8283 USD
ORD Purchase 1,300 55.0780 USD
ORD Purchase 1,598 54.8313 USD
ORD Purchase 1,815 54.6312 USD
ORD Purchase 2,026 55.1981 USD
ORD Purchase 2,300 54.9826 USD
ORD Purchase 2,300 54.9834 USD
ORD Purchase 2,625 54.9231 USD
ORD Purchase 4,383 54.6800 USD
ORD Purchase 4,400 54.8975 USD
ORD Purchase 4,697 55.0509 USD
ORD Purchase 5,696 55.0950 USD
ORD Purchase 5,702 54.7996 USD
ORD Purchase 5,773 54.8905 USD
ORD Purchase 7,300 55.1004 USD
ORD Purchase 7,800 55.0163 USD
ORD Purchase 9,499 55.0153 USD
ORD Purchase 10,154 54.8125 USD
ORD Purchase 11,688 54.8205 USD
ORD Purchase 13,622 54.8878 USD
ORD Purchase 15,881 54.9600 USD
ORD Purchase 16,100 54.7999 USD
ORD Purchase 19,459 54.8050 USD
ORD Purchase 28,417 54.7498 USD
ORD Purchase 32,179 54.7988 USD
ORD Purchase 84,709 54.9328 USD
ORD Purchase 95,808 54.6392 USD
ORD Purchase 141,535 54.8947 USD
ORD Purchase 163,592 55.1381 USD
ORD Purchase 2,567,239 55.2000 USD
ORD Sale 48 55.0200 USD
ORD Sale 51 56.2000 USD
ORD Sale 100 55.1300 USD
ORD Sale 100 55.1400 USD
ORD Sale 200 54.6680 USD
ORD Sale 200 54.8600 USD
ORD Sale 200 54.8700 USD
ORD Sale 200 55.1200 USD
ORD Sale 220 55.0072 USD
ORD Sale 225 54.6200 USD
ORD Sale 285 54.6796 USD
ORD Sale 300 54.6266 USD
ORD Sale 320 54.8737 USD
ORD Sale 400 54.6000 USD
ORD Sale 400 54.6100 USD
ORD Sale 400 54.9100 USD
ORD Sale 400 54.9200 USD
ORD Sale 459 54.6722 USD
ORD Sale 500 54.6460 USD
ORD Sale 500 54.9970 USD
ORD Sale 500 55.1470 USD
ORD Sale 500 55.1600 USD
ORD Sale 556 54.8800 USD
ORD Sale 593 54.5145 USD
ORD Sale 600 54.8283 USD
ORD Sale 600 55.1450 USD
ORD Sale 744 54.6477 USD
ORD Sale 800 54.5950 USD
ORD Sale 972 54.6441 USD
ORD Sale 1,000 55.2125 USD
ORD Sale 1,000 55.2700 USD
ORD Sale 1,071 54.8249 USD
ORD Sale 1,100 55.1855 USD
ORD Sale 1,300 55.0500 USD
ORD Sale 1,300 55.1477 USD
ORD Sale 1,500 54.8206 USD
ORD Sale 1,600 54.9443 USD
ORD Sale 1,800 54.6855 USD
ORD Sale 1,800 55.1902 USD
ORD Sale 1,811 54.5832 USD
ORD Sale 2,034 55.1133 USD
ORD Sale 2,100 54.6442 USD
ORD Sale 2,203 54.6516 USD
ORD Sale 2,336 54.9862 USD
ORD Sale 2,479 54.9580 USD
ORD Sale 2,612 54.6105 USD
ORD Sale 2,794 54.9922 USD
ORD Sale 2,940 54.6288 USD
ORD Sale 2,988 55.0704 USD
ORD Sale 3,000 55.1616 USD
ORD Sale 3,155 55.1704 USD
ORD Sale 3,455 55.1027 USD
ORD Sale 3,511 55.1167 USD
ORD Sale 4,175 54.6671 USD
ORD Sale 4,237 54.9631 USD
ORD Sale 4,491 54.6559 USD
ORD Sale 5,041 54.6272 USD
ORD Sale 5,223 54.9435 USD
ORD Sale 5,500 54.6301 USD
ORD Sale 5,692 55.0791 USD
ORD Sale 6,400 54.9195 USD
ORD Sale 6,400 55.0046 USD
ORD Sale 6,546 55.0665 USD
ORD Sale 7,266 54.9429 USD
ORD Sale 7,400 54.9765 USD
ORD Sale 8,158 55.1803 USD
ORD Sale 8,159 55.1003 USD
ORD Sale 8,200 54.6286 USD
ORD Sale 12,661 54.9169 USD
ORD Sale 14,878 54.8840 USD
ORD Sale 14,883 54.9006 USD
ORD Sale 15,410 54.8058 USD
ORD Sale 15,418 55.1738 USD
ORD Sale 15,448 54.8371 USD
ORD Sale 15,700 54.9297 USD
ORD Sale 15,881 54.9600 USD
ORD Sale 21,547 55.1901 USD
ORD Sale 23,043 55.1621 USD
ORD Sale 23,887 54.6352 USD
ORD Sale 27,244 54.8878 USD
ORD Sale 29,693 55.1480 USD
ORD Sale 47,904 54.6392 USD
ORD Sale 75,428 55.1784 USD
ORD Sale 90,456 54.7889 USD
ORD Sale 130,915 54.8794 USD
ORD Sale 2,559,004 55.2000 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 400 55 USD American 22 Nov 2014 1.9400 USD
ORD Call Options Purchasing 4,500 55 USD American 20 Feb 2015 3.3646 USD
ORD Call Options Selling 4,500 65 USD American 20 Feb 2015 0.5357 USD
ORD Put Options Purchasing 2,000 55 USD American 22 Nov 2014 2.6200 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: 26 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.

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 -400 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 -1,000 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 -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 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 12,100 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 80,300 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 -120,900 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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