Form 8.3 - ABBVIE INC

LONDON--()--

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 are being disclosed:  

Barclays PLC.

(b) Owner or controller of interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient

   
(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

 

ABBVIE INC

(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:

 

14 August 2014

(f) Has the discloser previously disclosed, or are they today disclosing, under the Code in respect of any other party to this offer?  

YES:

SHIRE PLC

 

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: 4,006,172 0.25% 5,048,965 0.32%
           
(2) Derivatives (other than
options): 3,318,082 0.21% 0 0.00%
           
(3) Options and agreements to
purchase/sell: 6,878,500 0.43% 9,747,400 0.61%
           
(4)
TOTAL: 14,202,754 0.89% 14,796,365 0.93%

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 Sale 100 54.1090 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 3,200 55 USD American 22 Nov 2014 1.9200 USD
ORD Call Options Purchasing 3,000 55 USD American 17 Jan 2015 2.5500 USD
ORD Call Options Purchasing 200 57.5 USD American 22 Nov 2014 1.0300 USD
ORD Call Options Selling 3,400 52.5 USD American 16 Aug 2014 1.5388 USD
ORD Call Options Selling 200 55 USD American 16 Aug 2014 0.0800 USD
ORD Put Options Selling 28,600 47.5 USD American 20 Sep 2014 0.1461 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:  

15 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 monitoring@disclosure.org.uk. 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 person whose open positions are being disclosed:  

Barclays PLC.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

ABBVIE INC

2. OPTIONS AND DERIVATIVES

Class of relevant security   Product description e.g. call option   Written or purchased   Number of securities to which option or derivative relates   Exercise price per unit   Type

e.g. American, European etc.

  Expiry date

3. AGREEMENTS TO PURCHASE OR SELL ETC.

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 -600 35.0000 American 16 Aug 2014
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 -500 37.5000 American 16 Aug 2014
ORD Put Options Purchased -8,300 37.5000 American 17 Jan 2015
ORD Put Options Purchased -500 37.5000 American 15 Jan 2016
ORD Put Options Purchased -2,600 40.0000 American 16 Aug 2014
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 -1,400 42.5000 American 16 Aug 2014
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 -900 42.5000 American 15 Jan 2016
ORD Put Options Purchased -29,700 45.0000 American 16 Aug 2014
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 -12,700 47.5000 American 16 Aug 2014
ORD Put Options Purchased -16,600 50.0000 American 16 Aug 2014
ORD Put Options Purchased -400 50.0000 American 20 Sep 2014
ORD Put Options Purchased -4,200 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 -180,300 52.5000 American 16 Aug 2014
ORD Put Options Purchased -291,600 52.5000 American 20 Sep 2014
ORD Put Options Purchased -300,000 52.5000 American 22 Nov 2014
ORD Put Options Purchased -5,500 52.5000 American 17 Jan 2015
ORD Put Options Purchased -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 -300 57.5000 American 16 Aug 2014
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 1,400 50.0000 American 16 Aug 2014
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 5,200 52.5000 American 16 Aug 2014
ORD Put Options Written 15,000 55.0000 American 16 Aug 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 200 45.0000 American 16 Aug 2014
ORD Call Options Purchased 100 47.5000 American 15 Jan 2016
ORD Call Options Purchased 9,000 50.0000 American 20 Sep 2014
ORD Call Options Purchased 5,200 50.0000 American 22 Nov 2014
ORD Call Options Purchased 6,400 50.0000 American 17 Jan 2015
ORD Call Options Purchased 400,500 52.5000 American 16 Aug 2014
ORD Call Options Purchased 16,000 52.5000 American 20 Sep 2014
ORD Call Options Purchased 4,200 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 79,600 55.0000 American 16 Aug 2014
ORD Call Options Purchased 111,700 55.0000 American 20 Sep 2014
ORD Call Options Purchased 4,600 55.0000 American 22 Nov 2014
ORD Call Options Purchased 20,200 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 116,400 57.5000 American 16 Aug 2014
ORD Call Options Purchased 700 57.5000 American 20 Sep 2014
ORD Call Options Purchased 300,000 57.5000 American 22 Nov 2014
ORD Call Options Purchased 4,400 57.5000 American 17 Jan 2015
ORD Call Options Purchased 400 57.5000 American 15 Jan 2016
ORD Call Options Purchased 6,800 60.0000 American 16 Aug 2014
ORD Call Options Purchased 13,000 60.0000 American 22 Nov 2014
ORD Call Options Purchased 100 60.0000 American 17 Jan 2015
ORD Call Options Purchased 500 62.5000 American 16 Aug 2014
ORD Call Options Purchased 900 62.5000 American 22 Nov 2014
ORD Call Options Purchased 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 86,100 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 1,000 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 -200 50.0000 American 16 Aug 2014
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 -126,700 55.0000 American 20 Feb 2015
ORD Call Options Written -5,000,000 55.0000 American 19 Jun 2015
ORD Call Options Written -1,975,400 57.5000 American 16 Aug 2014
ORD Call Options Written -5,600 57.5000 American 22 Nov 2014
ORD Call Options Written -1,300 57.5000 American 20 Feb 2015
ORD Call Options Written -60,000 60.0000 American 17 Jan 2015
ORD Call Options Written -48,300 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

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.

Short Name: BARCLAYS PLC
Category Code: RET
Sequence Number: 429196
Time of Receipt (offset from UTC): 20140815T122516+0100

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BARCLAYS PLC

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BARCLAYS PLC