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Form 8.3 - ABBVIE INC

28th Aug 2014 15:19

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: 27 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: 3,280,168 0.21% 4,079,682 0.26%
(2) Derivatives (other than
options): 3,380,250 0.21% 0 0.00%
(3) Options and agreements to
purchase/sell: 6,408,300 0.40% 7,578,200 0.48%
TOTAL: 13,068,718 0.82% 11,657,882 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 50 TRANSFER
ORD Purchase 100 55.5200 USD
ORD Purchase 100 55.6250 USD
ORD Purchase 126 55.5796 USD
ORD Purchase 200 55.5600 USD
ORD Purchase 200 55.6325 USD
ORD Purchase 200 55.6700 USD
ORD Purchase 240 55.6216 USD
ORD Purchase 248 55.6079 USD
ORD Purchase 296 55.6500 USD
ORD Purchase 300 55.5800 USD
ORD Purchase 300 55.6060 USD
ORD Purchase 333 55.8500 USD
ORD Purchase 400 55.6062 USD
ORD Purchase 464 55.5100 USD
ORD Purchase 500 55.6090 USD
ORD Purchase 531 55.6295 USD
ORD Purchase 534 55.5382 USD
ORD Purchase 562 55.6200 USD
ORD Purchase 583 55.4940 USD
ORD Purchase 652 55.6100 USD
ORD Purchase 682 55.5823 USD
ORD Purchase 700 55.6000 USD
ORD Purchase 780 55.5603 USD
ORD Purchase 800 55.5700 USD
ORD Purchase 800 55.5875 USD
ORD Purchase 800 55.5888 USD
ORD Purchase 821 55.6312 USD
ORD Purchase 899 55.5900 USD
ORD Purchase 900 55.5572 USD
ORD Purchase 900 55.5855 USD
ORD Purchase 906 55.6400 USD
ORD Purchase 1,000 55.5749 USD
ORD Purchase 1,100 55.6390 USD
ORD Purchase 1,180 55.5581 USD
ORD Purchase 1,200 55.5650 USD
ORD Purchase 1,581 55.6374 USD
ORD Purchase 2,401 55.6110 USD
ORD Purchase 2,600 55.6025 USD
ORD Purchase 2,846 55.5785 USD
ORD Purchase 4,500 55.5845 USD
ORD Purchase 5,797 55.5934 USD
ORD Purchase 6,187 55.5825 USD
ORD Purchase 6,367 55.5918 USD
ORD Purchase 7,841 55.6048 USD
ORD Purchase 9,615 55.5427 USD
ORD Purchase 9,957 55.5901 USD
ORD Purchase 11,558 55.6026 USD
ORD Purchase 11,700 55.6076 USD
ORD Purchase 15,438 55.6061 USD
ORD Purchase 22,700 55.5937 USD
ORD Purchase 32,861 55.5031 USD
ORD Purchase 40,595 55.5947 USD
ORD Purchase 75,078 55.5783 USD
ORD Purchase 88,100 55.5969 USD
ORD Purchase 123,300 55.5786 USD
ORD Purchase 173,917 55.5664 USD
ORD Purchase 300,500 55.6149 USD
ORD Purchase 362,337 55.6057 USD
ORD Purchase 2,499,216 55.7000 USD
ORD Sale 5 55.6170 USD
ORD Sale 6 55.6008 USD
ORD Sale 6 55.6041 USD
ORD Sale 6 55.6133 USD
ORD Sale 33 55.5400 USD
ORD Sale 62 55.6600 USD
ORD Sale 100 55.5200 USD
ORD Sale 100 55.5500 USD
ORD Sale 100 55.6050 USD
ORD Sale 100 55.6350 USD
ORD Sale 100 55.6550 USD
ORD Sale 127 55.4670 USD
ORD Sale 164 55.6500 USD
ORD Sale 180 55.5480 USD
ORD Sale 199 55.6048 USD
ORD Sale 200 55.5150 USD
ORD Sale 200 55.5750 USD
ORD Sale 200 55.5800 USD
ORD Sale 200 55.5850 USD
ORD Sale 200 55.6475 USD
ORD Sale 201 55.5827 USD
ORD Sale 202 55.6248 USD
ORD Sale 282 55.6122 USD
ORD Sale 300 55.5866 USD
ORD Sale 300 55.6033 USD
ORD Sale 300 55.6300 USD
ORD Sale 333 55.8500 USD
ORD Sale 346 55.4539 USD
ORD Sale 346 55.6018 USD
ORD Sale 400 55.4500 USD
ORD Sale 400 55.5900 USD
ORD Sale 400 55.6100 USD
ORD Sale 500 55.5820 USD
ORD Sale 500 55.6320 USD
ORD Sale 510 55.6088 USD
ORD Sale 600 55.5300 USD
ORD Sale 688 55.5738 USD
ORD Sale 700 55.6057 USD
ORD Sale 705 55.5469 USD
ORD Sale 787 55.6003 USD
ORD Sale 1,035 55.5914 USD
ORD Sale 1,073 55.5977 USD
ORD Sale 1,100 55.5809 USD
ORD Sale 1,132 55.5967 USD
ORD Sale 1,200 55.6020 USD
ORD Sale 1,213 55.5990 USD
ORD Sale 1,224 55.5907 USD
ORD Sale 1,300 55.5576 USD
ORD Sale 1,300 55.5884 USD
ORD Sale 1,400 55.5896 USD
ORD Sale 1,500 55.5700 USD
ORD Sale 1,609 55.5816 USD
ORD Sale 1,623 55.5768 USD
ORD Sale 1,707 55.5974 USD
ORD Sale 1,800 55.6125 USD
ORD Sale 1,820 55.5986 USD
ORD Sale 2,100 55.6082 USD
ORD Sale 2,300 55.6000 USD
ORD Sale 2,365 55.6087 USD
ORD Sale 2,600 55.6257 USD
ORD Sale 2,700 55.5951 USD
ORD Sale 2,702 55.5292 USD
ORD Sale 2,800 55.5771 USD
ORD Sale 2,800 55.6075 USD
ORD Sale 2,903 55.5826 USD
ORD Sale 3,000 55.6028 USD
ORD Sale 3,098 55.5552 USD
ORD Sale 3,706 55.6292 USD
ORD Sale 3,935 55.5875 USD
ORD Sale 3,954 55.5867 USD
ORD Sale 4,392 55.7533 USD
ORD Sale 4,400 55.5640 USD
ORD Sale 5,395 55.5762 USD
ORD Sale 5,566 55.5895 USD
ORD Sale 6,100 55.5687 USD
ORD Sale 6,400 55.5639 USD
ORD Sale 7,388 55.6250 USD
ORD Sale 7,915 55.5980 USD
ORD Sale 9,877 55.5414 USD
ORD Sale 10,000 55.6070 USD
ORD Sale 13,541 55.5823 USD
ORD Sale 15,225 55.5550 USD
ORD Sale 16,752 55.5554 USD
ORD Sale 17,800 55.5615 USD
ORD Sale 19,474 55.5431 USD
ORD Sale 21,047 55.5908 USD
ORD Sale 21,749 55.5606 USD
ORD Sale 21,900 55.5925 USD
ORD Sale 23,094 55.5490 USD
ORD Sale 23,635 55.5943 USD
ORD Sale 23,707 55.5843 USD
ORD Sale 25,230 55.5525 USD
ORD Sale 25,571 55.5945 USD
ORD Sale 30,373 55.6176 USD
ORD Sale 31,199 55.5577 USD
ORD Sale 32,661 55.5027 USD
ORD Sale 35,661 55.5858 USD
ORD Sale 48,700 55.6063 USD
ORD Sale 49,395 55.5953 USD
ORD Sale 52,596 55.6124 USD
ORD Sale 53,074 55.6230 USD
ORD Sale 55,067 55.5551 USD
ORD Sale 71,093 55.5944 USD
ORD Sale 86,987 55.5819 USD
ORD Sale 118,949 55.5982 USD
ORD Sale 132,368 55.8213 USD
ORD Sale 300,500 55.6149 USD
ORD Sale 2,512,501 55.7000 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 132,368 55.8213 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 200 60 USD American 17 Jan 2015 1.1350 USD
ORD Call Options Purchasing 100 70 USD American 17 Jan 2015 0.1200 USD
ORD Call Options Selling 100 60 USD American 17 Jan 2015 1.2400 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: 28 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.

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 -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 22,500 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 -56,900 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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