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Form 8.3 - ABBVIE INC

4th Sep 2014 14:41

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: 3 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: 3,370,321 0.21% 4,219,719 0.27%
(2) Derivatives (other than
options): 3,580,127 0.22% 0 0.00%
(3) Options and agreements to
purchase/sell: 6,408,700 0.40% 7,779,900 0.49%
TOTAL: 13,359,148 0.84% 11,999,619 0.75%

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 35 55.0900 USD
ORD Purchase 37 55.5300 USD
ORD Purchase 64 55.5200 USD
ORD Purchase 81 55.4150 USD
ORD Purchase 100 54.9100 USD
ORD Purchase 100 54.9800 USD
ORD Purchase 100 55.0950 USD
ORD Purchase 100 55.2400 USD
ORD Purchase 100 55.2599 USD
ORD Purchase 100 55.2650 USD
ORD Purchase 100 55.3500 USD
ORD Purchase 185 55.3350 USD
ORD Purchase 200 54.9400 USD
ORD Purchase 200 55.1850 USD
ORD Purchase 200 55.2245 USD
ORD Purchase 200 55.2450 USD
ORD Purchase 200 55.2500 USD
ORD Purchase 200 55.3950 USD
ORD Purchase 228 55.0952 USD
ORD Purchase 228 55.1317 USD
ORD Purchase 230 55.2661 USD
ORD Purchase 235 55.1221 USD
ORD Purchase 300 54.9750 USD
ORD Purchase 300 55.1100 USD
ORD Purchase 300 55.1200 USD
ORD Purchase 300 55.1266 USD
ORD Purchase 300 55.1400 USD
ORD Purchase 300 55.2896 USD
ORD Purchase 300 55.3166 USD
ORD Purchase 300 55.3233 USD
ORD Purchase 302 55.0473 USD
ORD Purchase 318 55.0400 USD
ORD Purchase 322 55.0300 USD
ORD Purchase 350 55.3271 USD
ORD Purchase 350 55.4485 USD
ORD Purchase 357 55.3899 USD
ORD Purchase 400 54.9900 USD
ORD Purchase 400 54.9925 USD
ORD Purchase 400 55.1150 USD
ORD Purchase 401 55.0422 USD
ORD Purchase 600 55.4066 USD
ORD Purchase 700 55.2286 USD
ORD Purchase 700 55.3514 USD
ORD Purchase 775 55.3200 USD
ORD Purchase 800 55.1650 USD
ORD Purchase 800 55.3125 USD
ORD Purchase 900 55.0777 USD
ORD Purchase 964 55.0000 USD
ORD Purchase 1,576 55.0617 USD
ORD Purchase 1,700 54.9852 USD
ORD Purchase 1,800 55.0813 USD
ORD Purchase 1,900 55.3497 USD
ORD Purchase 1,900 55.3831 USD
ORD Purchase 1,926 55.1233 USD
ORD Purchase 2,000 55.3340 USD
ORD Purchase 2,300 55.1630 USD
ORD Purchase 2,300 55.3000 USD
ORD Purchase 2,400 55.2814 USD
ORD Purchase 3,100 55.3803 USD
ORD Purchase 3,130 55.0815 USD
ORD Purchase 3,244 54.9850 USD
ORD Purchase 3,425 55.0190 USD
ORD Purchase 3,494 55.1300 USD
ORD Purchase 4,100 54.9901 USD
ORD Purchase 4,840 55.1423 USD
ORD Purchase 5,378 55.1895 USD
ORD Purchase 5,419 54.9987 USD
ORD Purchase 6,100 54.9963 USD
ORD Purchase 6,135 55.1376 USD
ORD Purchase 6,350 55.0840 USD
ORD Purchase 6,800 55.2557 USD
ORD Purchase 7,640 55.1781 USD
ORD Purchase 8,400 55.3476 USD
ORD Purchase 9,000 55.3478 USD
ORD Purchase 11,660 55.0914 USD
ORD Purchase 11,841 55.0949 USD
ORD Purchase 15,500 55.2800 USD
ORD Purchase 17,983 55.0700 USD
ORD Purchase 23,740 55.0957 USD
ORD Purchase 25,739 55.4209 USD
ORD Purchase 25,781 55.0870 USD
ORD Purchase 47,984 55.1682 USD
ORD Purchase 69,978 55.1588 USD
ORD Purchase 2,378,099 55.5100 USD
ORD Sale 65 55.5000 USD
ORD Sale 100 54.9800 USD
ORD Sale 100 55.1500 USD
ORD Sale 100 55.1800 USD
ORD Sale 100 55.3000 USD
ORD Sale 100 55.4100 USD
ORD Sale 200 54.9650 USD
ORD Sale 200 54.9950 USD
ORD Sale 218 55.2782 USD
ORD Sale 222 55.0300 USD
ORD Sale 244 55.1586 USD
ORD Sale 282 55.0000 USD
ORD Sale 300 54.9750 USD
ORD Sale 300 55.3300 USD
ORD Sale 300 55.3500 USD
ORD Sale 324 55.0458 USD
ORD Sale 325 55.2457 USD
ORD Sale 330 55.1036 USD
ORD Sale 344 55.1400 USD
ORD Sale 346 55.3495 USD
ORD Sale 386 55.2245 USD
ORD Sale 400 54.9900 USD
ORD Sale 400 55.0951 USD
ORD Sale 400 55.3125 USD
ORD Sale 483 55.1247 USD
ORD Sale 490 55.1339 USD
ORD Sale 496 55.0752 USD
ORD Sale 500 55.0380 USD
ORD Sale 500 55.0940 USD
ORD Sale 546 54.9225 USD
ORD Sale 600 54.9933 USD
ORD Sale 600 55.0808 USD
ORD Sale 600 55.3958 USD
ORD Sale 800 55.1525 USD
ORD Sale 800 55.1985 USD
ORD Sale 870 55.0825 USD
ORD Sale 900 55.0800 USD
ORD Sale 900 55.1233 USD
ORD Sale 992 54.9998 USD
ORD Sale 1,055 55.1049 USD
ORD Sale 1,145 55.1867 USD
ORD Sale 1,192 55.2651 USD
ORD Sale 1,300 55.1626 USD
ORD Sale 1,500 55.1600 USD
ORD Sale 1,500 55.3676 USD
ORD Sale 1,600 55.1818 USD
ORD Sale 1,700 55.1194 USD
ORD Sale 1,790 55.2180 USD
ORD Sale 1,800 55.0813 USD
ORD Sale 1,900 55.3015 USD
ORD Sale 1,933 55.0885 USD
ORD Sale 2,000 55.1680 USD
ORD Sale 2,094 55.1372 USD
ORD Sale 2,227 55.3473 USD
ORD Sale 2,249 55.3791 USD
ORD Sale 2,300 55.0864 USD
ORD Sale 2,305 55.1408 USD
ORD Sale 2,700 55.4012 USD
ORD Sale 2,779 55.2216 USD
ORD Sale 2,871 55.2727 USD
ORD Sale 3,000 55.3669 USD
ORD Sale 3,100 55.0816 USD
ORD Sale 3,100 55.3162 USD
ORD Sale 3,244 54.9850 USD
ORD Sale 3,295 55.3382 USD
ORD Sale 3,435 55.4427 USD
ORD Sale 3,494 55.1300 USD
ORD Sale 3,900 55.1494 USD
ORD Sale 3,900 55.2384 USD
ORD Sale 4,000 55.0920 USD
ORD Sale 5,289 55.1078 USD
ORD Sale 5,300 55.3336 USD
ORD Sale 7,900 54.9956 USD
ORD Sale 7,940 55.3197 USD
ORD Sale 7,977 55.2541 USD
ORD Sale 8,532 55.1016 USD
ORD Sale 12,200 55.2116 USD
ORD Sale 15,012 55.0575 USD
ORD Sale 15,469 55.3587 USD
ORD Sale 17,950 55.0700 USD
ORD Sale 20,427 55.1847 USD
ORD Sale 22,496 55.1093 USD
ORD Sale 31,000 55.2800 USD
ORD Sale 39,375 55.1599 USD
ORD Sale 39,375 55.1712 USD
ORD Sale 59,724 55.1479 USD
ORD Sale 84,118 55.0876 USD
ORD Sale 2,367,519 55.5100 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 5,000 57.5 USD American 18 Oct 2014 0.5000 USD
ORD Call Options Purchasing 200 57.5 USD American 22 Nov 2014 1.0500 USD
ORD Call Options Selling 500 55 USD American 17 Jan 2015 3.0000 USD
ORD Call Options Selling 5,000 57.5 USD American 18 Oct 2014 0.5000 USD
ORD Put Options Selling 300 52.5 USD American 20 Sep 2014 0.2500 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: 4 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 -219,300 52.5000 American 20 Sep 2014
ORD Put Options Purchased -2,600 52.5000 American 18 Oct 2014
ORD Put Options Purchased -617,000 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 118,900 55.0000 American 20 Sep 2014
ORD Call Options Purchased 11,800 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 432,000 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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