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Form 8.3 - ABBVIE INC

29th Aug 2014 15:51

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: 28 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: 3,277,785 0.21% 4,082,363 0.26%
(2) Derivatives (other than
options): 3,386,514 0.21% 0 0.00%
(3) Options and agreements to
purchase/sell: 6,408,900 0.40% 7,578,000 0.48%
TOTAL: 13,073,199 0.82% 11,660,363 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 1 55.3700 USD
ORD Purchase 19 55.6200 USD
ORD Purchase 98 55.5015 USD
ORD Purchase 98 55.5500 USD
ORD Purchase 100 55.3900 USD
ORD Purchase 100 55.4800 USD
ORD Purchase 100 55.5800 USD
ORD Purchase 100 55.6290 USD
ORD Purchase 161 55.6300 USD
ORD Purchase 165 55.5309 USD
ORD Purchase 200 55.6050 USD
ORD Purchase 200 TRANSFER
ORD Purchase 400 55.4300 USD
ORD Purchase 400 55.4700 USD
ORD Purchase 400 55.5325 USD
ORD Purchase 400 55.6075 USD
ORD Purchase 400 55.6125 USD
ORD Purchase 600 55.5016 USD
ORD Purchase 600 55.5311 USD
ORD Purchase 600 55.5983 USD
ORD Purchase 700 55.4442 USD
ORD Purchase 700 55.5960 USD
ORD Purchase 792 55.4085 USD
ORD Purchase 1,046 55.5443 USD
ORD Purchase 1,062 55.3629 USD
ORD Purchase 1,200 55.5991 USD
ORD Purchase 1,500 55.5060 USD
ORD Purchase 1,600 55.6025 USD
ORD Purchase 1,700 55.5430 USD
ORD Purchase 1,888 55.5056 USD
ORD Purchase 2,446 55.5918 USD
ORD Purchase 2,502 55.5273 USD
ORD Purchase 2,872 55.4019 USD
ORD Purchase 2,876 55.4748 USD
ORD Purchase 2,876 55.4749 USD
ORD Purchase 3,400 55.4909 USD
ORD Purchase 3,555 55.5278 USD
ORD Purchase 4,800 55.4373 USD
ORD Purchase 4,800 55.6147 USD
ORD Purchase 6,004 55.5199 USD
ORD Purchase 6,397 55.5391 USD
ORD Purchase 6,530 55.6100 USD
ORD Purchase 7,000 55.5286 USD
ORD Purchase 7,500 55.5872 USD
ORD Purchase 9,293 55.4680 USD
ORD Purchase 11,999 55.4785 USD
ORD Purchase 13,852 55.4778 USD
ORD Purchase 13,866 55.4684 USD
ORD Purchase 14,000 55.5189 USD
ORD Purchase 14,253 55.4122 USD
ORD Purchase 19,011 55.4567 USD
ORD Purchase 23,029 55.5244 USD
ORD Purchase 26,870 55.5484 USD
ORD Purchase 54,621 55.5033 USD
ORD Purchase 62,638 55.4852 USD
ORD Purchase 71,393 55.4160 USD
ORD Purchase 72,511 55.4925 USD
ORD Purchase 128,718 55.5125 USD
ORD Purchase 2,496,051 55.6000 USD
ORD Sale 10 55.3900 USD
ORD Sale 96 55.5016 USD
ORD Sale 100 55.5015 USD
ORD Sale 100 55.5600 USD
ORD Sale 139 55.5800 USD
ORD Sale 151 55.4666 USD
ORD Sale 200 55.5500 USD
ORD Sale 200 55.6050 USD
ORD Sale 200 TRANSFER
ORD Sale 221 55.6114 USD
ORD Sale 276 55.4701 USD
ORD Sale 300 55.4000 USD
ORD Sale 300 55.5233 USD
ORD Sale 300 55.5366 USD
ORD Sale 300 55.6216 USD
ORD Sale 317 55.6300 USD
ORD Sale 330 55.5929 USD
ORD Sale 391 55.5565 USD
ORD Sale 400 55.4400 USD
ORD Sale 400 55.4450 USD
ORD Sale 500 55.5944 USD
ORD Sale 762 55.4100 USD
ORD Sale 900 55.6204 USD
ORD Sale 914 55.4823 USD
ORD Sale 1,000 55.3600 USD
ORD Sale 1,000 55.4750 USD
ORD Sale 1,000 55.4840 USD
ORD Sale 1,182 55.4300 USD
ORD Sale 1,282 55.5118 USD
ORD Sale 1,335 55.5398 USD
ORD Sale 1,400 55.4872 USD
ORD Sale 1,400 55.5499 USD
ORD Sale 1,500 55.4533 USD
ORD Sale 1,500 55.4700 USD
ORD Sale 1,500 55.5220 USD
ORD Sale 1,600 55.4568 USD
ORD Sale 1,600 55.4800 USD
ORD Sale 1,600 55.5587 USD
ORD Sale 1,669 55.5827 USD
ORD Sale 1,900 55.5400 USD
ORD Sale 1,935 55.5108 USD
ORD Sale 1,995 55.4870 USD
ORD Sale 2,770 55.5424 USD
ORD Sale 2,840 55.4885 USD
ORD Sale 2,876 55.4748 USD
ORD Sale 3,200 55.5391 USD
ORD Sale 3,700 55.6141 USD
ORD Sale 3,891 55.4312 USD
ORD Sale 4,141 55.4069 USD
ORD Sale 4,270 55.5638 USD
ORD Sale 4,329 55.5332 USD
ORD Sale 5,397 55.5158 USD
ORD Sale 5,600 55.5283 USD
ORD Sale 5,961 55.5073 USD
ORD Sale 5,976 55.5254 USD
ORD Sale 6,259 55.5196 USD
ORD Sale 6,442 55.4673 USD
ORD Sale 6,700 55.4828 USD
ORD Sale 7,766 55.4205 USD
ORD Sale 8,600 55.4460 USD
ORD Sale 8,926 55.5035 USD
ORD Sale 12,990 55.4669 USD
ORD Sale 14,813 55.4767 USD
ORD Sale 15,692 55.4928 USD
ORD Sale 15,753 55.4864 USD
ORD Sale 16,488 55.4690 USD
ORD Sale 17,208 55.4452 USD
ORD Sale 18,415 55.5447 USD
ORD Sale 22,558 55.4490 USD
ORD Sale 24,402 55.5586 USD
ORD Sale 26,192 55.5020 USD
ORD Sale 71,420 55.4967 USD
ORD Sale 80,443 55.4772 USD
ORD Sale 138,280 55.4989 USD
ORD Sale 2,504,930 55.6000 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 Call Options Purchasing 600 55 USD American 17 Jan 2015 3.1000 USD
ORD Call Options Purchasing 200 60 USD American 17 Jan 2015 1.1200 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: 29 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.

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 -217,500 52.5000 American 20 Sep 2014
ORD Put Options Purchased -2,600 52.5000 American 18 Oct 2014
ORD Put Options Purchased -416,900 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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