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Form 8.3 - ABBVIE INC

8th Sep 2014 11:58

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: 5 September 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: 3,522,702 0.22% 4,137,395 0.26%
(2) Derivatives (other than
options): 3,580,127 0.22% 0 0.00%
(3) Options and agreements to
purchase/sell: 6,418,100 0.40% 8,165,400 0.51%
(4)
TOTAL: 13,520,929 0.85% 12,302,795 0.77%

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 15 55.3733 USD
ORD Purchase 65 55.9200 USD
ORD Purchase 75 55.7500 USD
ORD Purchase 100 54.9700 USD
ORD Purchase 100 55.7350 USD
ORD Purchase 100 55.8300 USD
ORD Purchase 100 55.9000 USD
ORD Purchase 100 55.9010 USD
ORD Purchase 158 55.6900 USD
ORD Purchase 172 55.7490 USD
ORD Purchase 200 55.3950 USD
ORD Purchase 200 55.5450 USD
ORD Purchase 200 55.5700 USD
ORD Purchase 200 TRANSFER
ORD Purchase 208 55.7600 USD
ORD Purchase 300 55.2833 USD
ORD Purchase 300 55.4500 USD
ORD Purchase 300 55.4600 USD
ORD Purchase 400 55.5800 USD
ORD Purchase 400 55.7675 USD
ORD Purchase 400 55.7700 USD
ORD Purchase 400 55.7985 USD
ORD Purchase 400 55.8275 USD
ORD Purchase 504 55.6361 USD
ORD Purchase 600 55.0875 USD
ORD Purchase 614 55.7241 USD
ORD Purchase 700 55.4771 USD
ORD Purchase 700 55.5114 USD
ORD Purchase 703 55.8900 USD
ORD Purchase 740 55.5000 USD
ORD Purchase 800 55.1125 USD
ORD Purchase 800 55.5237 USD
ORD Purchase 873 55.3813 USD
ORD Purchase 900 55.5622 USD
ORD Purchase 992 55.7694 USD
ORD Purchase 992 55.8200 USD
ORD Purchase 1,060 55.1366 USD
ORD Purchase 1,100 55.4354 USD
ORD Purchase 1,200 55.4329 USD
ORD Purchase 1,359 55.7400 USD
ORD Purchase 1,400 55.5479 USD
ORD Purchase 1,500 55.2019 USD
ORD Purchase 1,550 55.5100 USD
ORD Purchase 1,700 55.4735 USD
ORD Purchase 1,900 55.4889 USD
ORD Purchase 2,025 55.4200 USD
ORD Purchase 2,087 55.5400 USD
ORD Purchase 2,200 55.4925 USD
ORD Purchase 2,440 55.6507 USD
ORD Purchase 2,800 55.3623 USD
ORD Purchase 2,808 55.7247 USD
ORD Purchase 2,942 55.7057 USD
ORD Purchase 3,000 55.4503 USD
ORD Purchase 3,125 55.3300 USD
ORD Purchase 3,400 55.8325 USD
ORD Purchase 5,513 55.7665 USD
ORD Purchase 6,304 55.4239 USD
ORD Purchase 7,600 55.7048 USD
ORD Purchase 8,112 55.4362 USD
ORD Purchase 8,596 55.5882 USD
ORD Purchase 10,086 55.2629 USD
ORD Purchase 11,508 55.5073 USD
ORD Purchase 12,800 55.6486 USD
ORD Purchase 13,440 55.8345 USD
ORD Purchase 22,294 55.6049 USD
ORD Purchase 28,205 55.5824 USD
ORD Purchase 28,865 55.6034 USD
ORD Purchase 38,606 55.4775 USD
ORD Purchase 46,700 55.6484 USD
ORD Purchase 81,913 55.4611 USD
ORD Purchase 176,987 55.4696 USD
ORD Purchase 419,466 55.5219 USD
ORD Purchase 2,532,165 55.9400 USD
ORD Sale 80 55.7506 USD
ORD Sale 100 55.7200 USD
ORD Sale 100 55.8050 USD
ORD Sale 100 55.8500 USD
ORD Sale 100 55.9010 USD
ORD Sale 158 55.6900 USD
ORD Sale 181 55.9100 USD
ORD Sale 200 55.1505 USD
ORD Sale 200 55.4620 USD
ORD Sale 200 55.7600 USD
ORD Sale 200 55.8000 USD
ORD Sale 200 55.8300 USD
ORD Sale 200 TRANSFER
ORD Sale 220 55.2400 USD
ORD Sale 270 55.1700 USD
ORD Sale 282 55.8730 USD
ORD Sale 300 55.4733 USD
ORD Sale 300 55.7050 USD
ORD Sale 300 55.7633 USD
ORD Sale 300 55.7733 USD
ORD Sale 300 55.8333 USD
ORD Sale 400 55.4800 USD
ORD Sale 400 55.7900 USD
ORD Sale 400 55.8250 USD
ORD Sale 400 55.8325 USD
ORD Sale 400 55.8350 USD
ORD Sale 402 55.8460 USD
ORD Sale 426 55.8900 USD
ORD Sale 500 55.7560 USD
ORD Sale 600 55.8908 USD
ORD Sale 700 55.5092 USD
ORD Sale 805 55.6520 USD
ORD Sale 882 55.9283 USD
ORD Sale 1,047 55.7366 USD
ORD Sale 1,194 55.7500 USD
ORD Sale 1,281 55.9000 USD
ORD Sale 1,500 55.5166 USD
ORD Sale 1,538 55.8328 USD
ORD Sale 1,542 55.7800 USD
ORD Sale 1,899 55.5377 USD
ORD Sale 1,922 55.4853 USD
ORD Sale 2,087 55.5400 USD
ORD Sale 2,183 55.7582 USD
ORD Sale 2,259 55.7400 USD
ORD Sale 2,388 55.8629 USD
ORD Sale 2,410 55.1818 USD
ORD Sale 2,600 55.7107 USD
ORD Sale 2,631 55.5594 USD
ORD Sale 2,700 55.8666 USD
ORD Sale 2,752 55.2940 USD
ORD Sale 3,260 55.7872 USD
ORD Sale 3,374 55.4529 USD
ORD Sale 3,394 55.6185 USD
ORD Sale 3,397 55.6107 USD
ORD Sale 3,701 55.7075 USD
ORD Sale 3,800 55.8290 USD
ORD Sale 3,836 55.6315 USD
ORD Sale 3,950 55.7083 USD
ORD Sale 4,100 55.8402 USD
ORD Sale 4,300 55.6841 USD
ORD Sale 4,551 55.6300 USD
ORD Sale 4,700 55.4437 USD
ORD Sale 5,400 55.6908 USD
ORD Sale 5,491 55.3926 USD
ORD Sale 5,600 55.5645 USD
ORD Sale 5,900 55.8305 USD
ORD Sale 6,179 55.4240 USD
ORD Sale 6,201 55.7808 USD
ORD Sale 6,429 55.4239 USD
ORD Sale 8,000 55.7037 USD
ORD Sale 8,000 55.7095 USD
ORD Sale 8,459 55.0661 USD
ORD Sale 9,200 55.3704 USD
ORD Sale 10,372 55.6765 USD
ORD Sale 11,712 55.2455 USD
ORD Sale 13,357 55.7652 USD
ORD Sale 13,561 55.5153 USD
ORD Sale 16,003 55.4082 USD
ORD Sale 17,300 55.6497 USD
ORD Sale 18,533 55.5920 USD
ORD Sale 23,900 55.9011 USD
ORD Sale 33,294 55.4184 USD
ORD Sale 33,300 55.6099 USD
ORD Sale 40,700 55.6666 USD
ORD Sale 51,375 55.3182 USD
ORD Sale 62,725 55.2320 USD
ORD Sale 65,462 55.4291 USD
ORD Sale 94,659 55.5769 USD
ORD Sale 100,712 55.5871 USD
ORD Sale 185,022 55.5361 USD
ORD Sale 2,549,805 55.9400 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 1,400 52.5 USD American 20 Feb 2015 4.6000 USD
ORD Call Options Purchasing 1,500 55 USD American 22 Nov 2014 2.1573 USD
ORD Call Options Purchasing 1,400 55 USD American 20 Feb 2015 3.4471 USD
ORD Call Options Purchasing 100 60 USD American 22 Nov 2014 0.5200 USD
ORD Call Options Purchasing 100 60 USD American 20 Feb 2015 1.3300 USD
ORD Call Options Selling 1,500 57.5 USD American 22 Nov 2014 1.1073 USD
ORD Call Options Selling 1,400 65 USD American 20 Feb 2015 0.4935 USD
ORD Put Options Purchasing 500 50 USD American 20 Sep 2014 0.0300 USD
ORD Put Options Purchasing 100 50 USD American 22 Nov 2014 0.5200 USD
ORD Put Options Selling 500 52.5 USD American 20 Sep 2014 0.0800 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: 8 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 -900 50.0000 American 20 Sep 2014
ORD Put Options Purchased -5,900 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 -218,800 52.5000 American 20 Sep 2014
ORD Put Options Purchased -4,100 52.5000 American 18 Oct 2014
ORD Put Options Purchased -617,000 52.5000 American 22 Nov 2014
ORD Put Options Purchased -195,500 52.5000 American 17 Jan 2015
ORD Put Options Purchased -25,400 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 31,100 50.0000 American 17 Jan 2015
ORD Put Options Written 900 50.0000 American 20 Feb 2015
ORD Put Options Written 2,800 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 16,100 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 1,200 52.5000 American 20 Feb 2015
ORD Call Options Purchased 200 52.5000 American 15 Jan 2016
ORD Call Options Purchased 129,000 55.0000 American 20 Sep 2014
ORD Call Options Purchased 13,300 55.0000 American 22 Nov 2014
ORD Call Options Purchased 22,600 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 430,500 57.5000 American 22 Nov 2014
ORD Call Options Purchased 6,200 57.5000 American 17 Jan 2015
ORD Call Options Purchased 1,000 57.5000 American 15 Jan 2016
ORD Call Options Purchased 16,000 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 1,400 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 76,800 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 -800 52.5000 American 15 Jan 2016
ORD Call Options Written -117,400 55.0000 American 20 Feb 2015
ORD Call Options Written -5,000,000 55.0000 American 19 Jun 2015
ORD Call Options Written -190,000 57.5000 American 17 Jan 2015
ORD Call Options Written -300 57.5000 American 20 Feb 2015
ORD Call Options Written -56,900 60.0000 American 17 Jan 2015
ORD Call Options Written -47,900 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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