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Form 8.3 - ABBVIE INC

26th Sep 2014 15:15

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: 25 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: 3,624,127 0.23% 4,101,300 0.26%
(2) Derivatives (other than
options): 3,371,019 0.21% 0 0.00%
(3) Options and agreements to
purchase/sell: 6,543,700 0.41% 8,157,700 0.51%
(4)
TOTAL: 13,538,846 0.85% 12,259,000 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 6 57.9900 USD
ORD Purchase 15 58.2800 USD
ORD Purchase 25 59.1250 USD
ORD Purchase 48 57.9993 USD
ORD Purchase 67 58.3300 USD
ORD Purchase 100 58.0300 USD
ORD Purchase 100 58.0390 USD
ORD Purchase 100 58.0550 USD
ORD Purchase 100 58.9700 USD
ORD Purchase 100 59.0100 USD
ORD Purchase 135 58.2385 USD
ORD Purchase 200 58.6550 USD
ORD Purchase 200 59.0250 USD
ORD Purchase 200 59.0700 USD
ORD Purchase 217 58.0100 USD
ORD Purchase 261 58.2845 USD
ORD Purchase 300 58.0266 USD
ORD Purchase 300 58.0400 USD
ORD Purchase 300 58.1300 USD
ORD Purchase 300 58.3366 USD
ORD Purchase 300 58.4400 USD
ORD Purchase 415 58.4300 USD
ORD Purchase 500 58.2999 USD
ORD Purchase 540 58.2200 USD
ORD Purchase 600 58.7300 USD
ORD Purchase 635 58.1945 USD
ORD Purchase 700 58.0350 USD
ORD Purchase 700 58.2360 USD
ORD Purchase 700 59.0692 USD
ORD Purchase 900 58.0383 USD
ORD Purchase 900 58.3600 USD
ORD Purchase 918 58.1500 USD
ORD Purchase 1,000 59.0501 USD
ORD Purchase 1,300 58.9792 USD
ORD Purchase 1,337 58.4491 USD
ORD Purchase 1,387 58.1930 USD
ORD Purchase 1,529 58.4249 USD
ORD Purchase 1,700 58.0235 USD
ORD Purchase 2,293 58.1037 USD
ORD Purchase 2,400 58.0966 USD
ORD Purchase 2,403 57.9995 USD
ORD Purchase 2,672 58.2693 USD
ORD Purchase 2,742 58.5334 USD
ORD Purchase 3,000 58.4530 USD
ORD Purchase 3,239 58.3351 USD
ORD Purchase 3,351 58.1883 USD
ORD Purchase 3,578 58.2118 USD
ORD Purchase 3,975 58.1921 USD
ORD Purchase 4,183 59.0500 USD
ORD Purchase 4,800 58.0402 USD
ORD Purchase 6,717 58.1864 USD
ORD Purchase 8,700 59.0115 USD
ORD Purchase 9,800 58.2854 USD
ORD Purchase 10,016 58.0990 USD
ORD Purchase 12,500 58.1980 USD
ORD Purchase 13,591 58.2804 USD
ORD Purchase 27,300 58.4536 USD
ORD Purchase 29,900 58.4305 USD
ORD Purchase 30,730 58.9223 USD
ORD Purchase 39,837 58.2528 USD
ORD Purchase 45,314 58.3850 USD
ORD Purchase 106,948 58.3590 USD
ORD Purchase 218,527 58.3085 USD
ORD Purchase 2,350,120 58.0000 USD
ORD Sale 5 58.3200 USD
ORD Sale 6 57.9900 USD
ORD Sale 17 58.0100 USD
ORD Sale 35 58.1901 USD
ORD Sale 55 58.2300 USD
ORD Sale 82 58.3208 USD
ORD Sale 100 58.0600 USD
ORD Sale 100 58.1800 USD
ORD Sale 100 58.4300 USD
ORD Sale 100 58.5010 USD
ORD Sale 139 58.5369 USD
ORD Sale 200 58.5050 USD
ORD Sale 200 59.0700 USD
ORD Sale 215 58.4301 USD
ORD Sale 300 58.1266 USD
ORD Sale 399 58.3574 USD
ORD Sale 400 58.0250 USD
ORD Sale 500 58.1522 USD
ORD Sale 500 58.5000 USD
ORD Sale 540 58.2200 USD
ORD Sale 600 58.0366 USD
ORD Sale 600 58.1766 USD
ORD Sale 716 58.4585 USD
ORD Sale 800 58.3600 USD
ORD Sale 800 58.4512 USD
ORD Sale 800 58.4912 USD
ORD Sale 900 58.4988 USD
ORD Sale 955 58.1942 USD
ORD Sale 1,100 58.1909 USD
ORD Sale 1,400 58.0714 USD
ORD Sale 1,418 58.1500 USD
ORD Sale 1,498 58.0647 USD
ORD Sale 1,700 58.2182 USD
ORD Sale 1,800 58.3143 USD
ORD Sale 1,803 58.1273 USD
ORD Sale 2,100 58.0286 USD
ORD Sale 2,200 58.1425 USD
ORD Sale 2,724 58.3959 USD
ORD Sale 2,800 58.0585 USD
ORD Sale 3,179 58.2517 USD
ORD Sale 3,483 58.5031 USD
ORD Sale 3,510 58.2252 USD
ORD Sale 3,857 58.7894 USD
ORD Sale 3,900 58.4838 USD
ORD Sale 4,183 59.0500 USD
ORD Sale 4,400 58.2137 USD
ORD Sale 4,408 58.7808 USD
ORD Sale 4,800 58.0402 USD
ORD Sale 5,603 58.1118 USD
ORD Sale 6,431 58.3906 USD
ORD Sale 7,281 58.2818 USD
ORD Sale 7,787 58.2783 USD
ORD Sale 8,159 58.3159 USD
ORD Sale 8,600 58.2743 USD
ORD Sale 8,968 58.1831 USD
ORD Sale 10,300 58.1784 USD
ORD Sale 12,808 58.2963 USD
ORD Sale 12,900 58.1339 USD
ORD Sale 13,369 58.2334 USD
ORD Sale 15,045 58.7105 USD
ORD Sale 16,149 58.4233 USD
ORD Sale 16,359 58.1776 USD
ORD Sale 23,261 58.4082 USD
ORD Sale 24,300 58.4730 USD
ORD Sale 27,074 58.3829 USD
ORD Sale 31,283 58.2316 USD
ORD Sale 31,830 58.3237 USD
ORD Sale 35,178 58.2773 USD
ORD Sale 36,100 59.0172 USD
ORD Sale 90,866 58.3514 USD
ORD Sale 2,333,929 58.0000 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 60 USD American 17 Jan 2015 1.8750 USD
ORD Call Options Purchasing 100 62.5 USD American 20 Feb 2015 1.4500 USD
ORD Call Options Purchasing 200 65 USD American 20 Feb 2015 0.8150 USD
ORD Call Options Purchasing 300 65 USD American 15 Jan 2016 3.3000 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 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 -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 -45,400 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 -4,100 52.5000 American 18 Oct 2014
ORD Put Options Purchased -792,300 52.5000 American 22 Nov 2014
ORD Put Options Purchased -197,900 52.5000 American 17 Jan 2015
ORD Put Options Purchased -5,000 55.0000 American 21 Nov 2014
ORD Put Options Purchased -3,200 55.0000 American 22 Nov 2014
ORD Put Options Purchased -1,500 55.0000 American 17 Jan 2015
ORD Put Options Purchased -1,900 55.0000 American 15 Jan 2016
ORD Put Options Purchased -300 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 3,800 47.5000 American 22 Nov 2014
ORD Put Options Written 6,500 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 2,900 52.5000 American 22 Nov 2014
ORD Put Options Written 2,700 55.0000 American 18 Oct 2014
ORD Put Options Written 7,900 55.0000 American 20 Feb 2015
ORD Put Options Written 169,900 57.5000 American 22 Nov 2014
ORD Put Options Written 800 60.0000 American 17 Jan 2015
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 5,200 50.0000 American 22 Nov 2014
ORD Call Options Purchased 6,700 50.0000 American 17 Jan 2015
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 104,400 55.0000 American 22 Nov 2014
ORD Call Options Purchased 23,000 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 2,600 57.5000 American 18 Oct 2014
ORD Call Options Purchased 433,800 57.5000 American 22 Nov 2014
ORD Call Options Purchased 8,000 57.5000 American 17 Jan 2015
ORD Call Options Purchased 200 57.5000 American 20 Feb 2015
ORD Call Options Purchased 1,000 57.5000 American 15 Jan 2016
ORD Call Options Purchased 11,500 60.0000 American 18 Oct 2014
ORD Call Options Purchased 21,200 60.0000 American 22 Nov 2014
ORD Call Options Purchased 100 60.0000 American 17 Jan 2015
ORD Call Options Purchased 10,300 62.5000 American 22 Nov 2014
ORD Call Options Purchased 2,000 62.5000 American 17 Jan 2015
ORD Call Options Purchased 1,600 62.5000 American 20 Feb 2015
ORD Call Options Purchased 400 62.5000 American 15 Jan 2016
ORD Call Options Purchased 4,200 65.0000 American 22 Nov 2014
ORD Call Options Purchased 6,000 65.0000 American 17 Jan 2015
ORD Call Options Purchased 71,400 65.0000 American 20 Feb 2015
ORD Call Options Purchased 5,000,000 65.0000 American 19 Jun 2015
ORD Call Options Purchased 14,100 65.0000 American 15 Jan 2016
ORD Call Options Purchased 300 67.5000 American 22 Nov 2014
ORD Call Options Purchased 6,900 67.5000 American 15 Jan 2016
ORD Call Options Purchased 4,400 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 -100 50.0000 American 15 Jan 2016
ORD Call Options Written -26,800 52.5000 American 22 Nov 2014
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 -110,400 55.0000 American 20 Feb 2015
ORD Call Options Written -5,000,000 55.0000 American 19 Jun 2015
ORD Call Options Written -6,200 57.5000 American 18 Oct 2014
ORD Call Options Written -190,000 57.5000 American 17 Jan 2015
ORD Call Options Written -38,600 60.0000 American 17 Jan 2015
ORD Call Options Written -48,100 60.0000 American 20 Feb 2015
ORD Call Options Written -62,300 60.0000 American 15 Jan 2016
ORD Call Options Written -2,800 62.5000 American 18 Oct 2014
ORD Call Options Written -5,000 62.5000 American 21 Nov 2014
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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