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Form 8.3 - ABBVIE INC

20th Aug 2014 15:24

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: 19 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: 3,482,433 0.22% 4,101,692 0.26%
(2) Derivatives (other than
options): 3,247,882 0.20% 0 0.00%
(3) Options and agreements to
purchase/sell: 6,273,300 0.39% 7,525,600 0.47%
(4)
TOTAL: 13,003,615 0.82% 11,627,292 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 59 55.3100 USD
ORD Purchase 70 54.2400 USD
ORD Purchase 85 54.2700 USD
ORD Purchase 100 54.3000 USD
ORD Purchase 100 54.3099 USD
ORD Purchase 100 54.3800 USD
ORD Purchase 100 54.5000 USD
ORD Purchase 100 54.5900 USD
ORD Purchase 100 54.6800 USD
ORD Purchase 100 55.1900 USD
ORD Purchase 107 55.2200 USD
ORD Purchase 200 54.6900 USD
ORD Purchase 200 54.7750 USD
ORD Purchase 200 55.0900 USD
ORD Purchase 200 55.1825 USD
ORD Purchase 200 55.1950 USD
ORD Purchase 243 54.8570 USD
ORD Purchase 253 54.8569 USD
ORD Purchase 297 54.6832 USD
ORD Purchase 300 54.6833 USD
ORD Purchase 300 54.9316 USD
ORD Purchase 300 55.1766 USD
ORD Purchase 300 55.1843 USD
ORD Purchase 400 55.1700 USD
ORD Purchase 400 55.2000 USD
ORD Purchase 500 54.8880 USD
ORD Purchase 500 55.1760 USD
ORD Purchase 600 55.1816 USD
ORD Purchase 600 55.1833 USD
ORD Purchase 700 55.1457 USD
ORD Purchase 800 55.1968 USD
ORD Purchase 911 55.0211 USD
ORD Purchase 1,100 55.3000 USD
ORD Purchase 1,300 55.1923 USD
ORD Purchase 1,331 54.7060 USD
ORD Purchase 1,344 54.5800 USD
ORD Purchase 1,457 54.6441 USD
ORD Purchase 1,500 54.8713 USD
ORD Purchase 1,800 55.1427 USD
ORD Purchase 1,800 55.1850 USD
ORD Purchase 1,891 55.1335 USD
ORD Purchase 1,924 54.9362 USD
ORD Purchase 2,236 54.6840 USD
ORD Purchase 2,300 55.1763 USD
ORD Purchase 2,400 54.8172 USD
ORD Purchase 2,499 54.7368 USD
ORD Purchase 2,700 55.1791 USD
ORD Purchase 3,124 55.1640 USD
ORD Purchase 3,354 54.9503 USD
ORD Purchase 3,467 54.7319 USD
ORD Purchase 3,500 55.0951 USD
ORD Purchase 3,524 54.8316 USD
ORD Purchase 3,800 54.6339 USD
ORD Purchase 4,383 55.0624 USD
ORD Purchase 5,279 54.9479 USD
ORD Purchase 5,359 54.7943 USD
ORD Purchase 5,372 54.7455 USD
ORD Purchase 7,600 55.1960 USD
ORD Purchase 7,893 55.1548 USD
ORD Purchase 8,038 54.7887 USD
ORD Purchase 9,200 54.9674 USD
ORD Purchase 12,400 55.1870 USD
ORD Purchase 13,300 55.0409 USD
ORD Purchase 13,840 55.1821 USD
ORD Purchase 13,863 54.9529 USD
ORD Purchase 14,726 55.1577 USD
ORD Purchase 19,200 54.4791 USD
ORD Purchase 26,471 54.7069 USD
ORD Purchase 38,719 54.8449 USD
ORD Purchase 40,200 54.6028 USD
ORD Purchase 54,100 54.9862 USD
ORD Purchase 56,772 54.7965 USD
ORD Purchase 61,593 55.0916 USD
ORD Purchase 62,981 54.8233 USD
ORD Purchase 64,800 54.9872 USD
ORD Purchase 67,200 55.1428 USD
ORD Purchase 74,065 54.7844 USD
ORD Purchase 89,449 54.9850 USD
ORD Purchase 131,407 54.8602 USD
ORD Purchase 137,008 54.8916 USD
ORD Purchase 165,312 54.9303 USD
ORD Purchase 176,800 54.5711 USD
ORD Purchase 179,519 54.8982 USD
ORD Purchase 223,008 54.9818 USD
ORD Purchase 253,025 54.4249 USD
ORD Purchase 327,486 54.9482 USD
ORD Purchase 401,459 54.8144 USD
ORD Purchase 1,917,551 55.2900 USD
ORD Sale 18 55.2100 USD
ORD Sale 25 54.2300 USD
ORD Sale 100 54.2700 USD
ORD Sale 100 54.2850 USD
ORD Sale 100 54.5400 USD
ORD Sale 100 55.1600 USD
ORD Sale 100 55.1900 USD
ORD Sale 100 55.1950 USD
ORD Sale 248 54.8569 USD
ORD Sale 300 54.5483 USD
ORD Sale 300 54.5633 USD
ORD Sale 300 54.7000 USD
ORD Sale 300 55.1843 USD
ORD Sale 325 54.5000 USD
ORD Sale 370 55.1700 USD
ORD Sale 400 54.5725 USD
ORD Sale 400 55.1667 USD
ORD Sale 500 55.1760 USD
ORD Sale 700 54.4628 USD
ORD Sale 700 55.1814 USD
ORD Sale 800 55.1000 USD
ORD Sale 919 54.3100 USD
ORD Sale 1,048 55.1800 USD
ORD Sale 1,100 54.5536 USD
ORD Sale 1,179 54.8546 USD
ORD Sale 1,581 54.9154 USD
ORD Sale 1,799 54.7346 USD
ORD Sale 2,000 54.5464 USD
ORD Sale 2,100 55.1991 USD
ORD Sale 2,244 54.5800 USD
ORD Sale 2,300 54.3295 USD
ORD Sale 2,300 54.8508 USD
ORD Sale 2,600 54.3713 USD
ORD Sale 2,600 54.6264 USD
ORD Sale 2,800 55.0735 USD
ORD Sale 2,900 55.0455 USD
ORD Sale 3,200 54.5410 USD
ORD Sale 3,441 54.8940 USD
ORD Sale 3,600 54.9233 USD
ORD Sale 3,720 54.4150 USD
ORD Sale 3,779 54.8615 USD
ORD Sale 3,971 54.7241 USD
ORD Sale 4,205 55.0951 USD
ORD Sale 4,389 54.7845 USD
ORD Sale 4,466 55.0525 USD
ORD Sale 4,600 55.1957 USD
ORD Sale 4,800 54.7147 USD
ORD Sale 5,180 54.4386 USD
ORD Sale 5,533 54.8260 USD
ORD Sale 5,589 55.0303 USD
ORD Sale 5,773 54.9345 USD
ORD Sale 6,874 54.6634 USD
ORD Sale 7,893 55.3000 USD
ORD Sale 8,035 54.8951 USD
ORD Sale 8,860 54.8960 USD
ORD Sale 8,864 54.9211 USD
ORD Sale 9,183 54.7751 USD
ORD Sale 9,323 55.0710 USD
ORD Sale 9,566 55.0257 USD
ORD Sale 10,312 54.7071 USD
ORD Sale 11,603 54.6486 USD
ORD Sale 11,700 54.9009 USD
ORD Sale 12,800 54.8753 USD
ORD Sale 13,073 55.0089 USD
ORD Sale 14,000 55.0461 USD
ORD Sale 14,586 54.9827 USD
ORD Sale 14,723 54.3492 USD
ORD Sale 16,808 54.9925 USD
ORD Sale 18,233 54.7782 USD
ORD Sale 20,507 54.4977 USD
ORD Sale 21,345 54.5212 USD
ORD Sale 23,100 55.0279 USD
ORD Sale 24,077 54.7690 USD
ORD Sale 25,339 54.6829 USD
ORD Sale 26,597 54.3425 USD
ORD Sale 27,295 54.9786 USD
ORD Sale 27,707 54.7456 USD
ORD Sale 30,230 54.9580 USD
ORD Sale 33,500 54.9103 USD
ORD Sale 34,236 54.9174 USD
ORD Sale 46,464 54.6844 USD
ORD Sale 80,100 54.8888 USD
ORD Sale 100,947 54.8179 USD
ORD Sale 131,144 55.0254 USD
ORD Sale 157,800 54.4325 USD
ORD Sale 223,108 54.9820 USD
ORD Sale 1,471,058 54.8512 USD
ORD Sale 1,917,494 55.2900 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 1,200 55 USD American 22 Nov 2014 2.1666 USD
ORD Call Options Purchasing 400 57.5 USD American 18 Oct 2014 0.5700 USD
ORD Call Options Purchasing 2,600 57.5 USD American 18 Oct 2014 0.7500 USD
ORD Call Options Selling 600 50 USD American 20 Sep 2014 4.8000 USD
ORD Put Options Purchasing 2,600 52.5 USD American 18 Oct 2014 0.9500 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: 20 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.

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 -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 -5,200 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 -300,000 52.5000 American 22 Nov 2014
ORD Put Options Purchased -5,500 52.5000 American 17 Jan 2015
ORD Put Options Purchased -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 118,600 55.0000 American 20 Sep 2014
ORD Call Options Purchased 9,300 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 301,400 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 13,200 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 86,000 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 -126,600 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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