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Form 8.3 - Abbvie Inc

LONDON--(BUSINESS WIRE)--

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 July 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: 1,780,291 0.11% 833,792 0.14%
           
(2) Derivatives (other than
options): 329,603 0.02% 0 0.00%
           
(3) Options and agreements to
purchase/sell: 157,600 0.01% 433,400 0.07%
           
(4) TOTAL:
2,267,494 0.14% 1,267,192 0.21%

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 20 57.7701 USD
ORD Purchase 20 57.7800 USD
ORD Purchase 65 57.7499 USD
ORD Purchase 100 57.9400 USD
ORD Purchase 100 58.0450 USD
ORD Purchase 100 58.0650 USD
ORD Purchase 105 57.9693 USD
ORD Purchase 200 57.9200 USD
ORD Purchase 200 57.9350 USD
ORD Purchase 200 57.9450 USD
ORD Purchase 200 57.9500 USD
ORD Purchase 200 57.9600 USD
ORD Purchase 200 58.1050 USD
ORD Purchase 300 57.9033 USD
ORD Purchase 300 57.9583 USD
ORD Purchase 300 58.0116 USD
ORD Purchase 300 58.0133 USD
ORD Purchase 500 58.0700 USD
ORD Purchase 500 58.1340 USD
ORD Purchase 530 57.8779 USD
ORD Purchase 598 58.0397 USD
ORD Purchase 662 57.8825 USD
ORD Purchase 800 57.9225 USD
ORD Purchase 800 58.1412 USD
ORD Purchase 900 58.0177 USD
ORD Purchase 1,045 57.8091 USD
ORD Purchase 1,300 57.9515 USD
ORD Purchase 1,324 57.8751 USD
ORD Purchase 1,854 57.8631 USD
ORD Purchase 2,000 58.0050 USD
ORD Purchase 2,039 57.9024 USD
ORD Purchase 2,286 58.1100 USD
ORD Purchase 2,517 58.2200 USD
ORD Purchase 3,390 57.9058 USD
ORD Purchase 3,700 57.9021 USD
ORD Purchase 4,483 57.9855 USD
ORD Purchase 5,942 57.9552 USD
ORD Purchase 7,800 57.9382 USD
ORD Purchase 8,182 57.7952 USD
ORD Purchase 16,123 57.9007 USD
ORD Purchase 41,696 58.0018 USD
ORD Purchase 94,248 58.0830 USD
ORD Sale 12 57.8500 USD
ORD Sale 20 57.7701 USD
ORD Sale 20 57.7800 USD
ORD Sale 30 57.9100 USD
ORD Sale 45 57.8000 USD
ORD Sale 47 57.7700 USD
ORD Sale 53 58.1528 USD
ORD Sale 100 57.8100 USD
ORD Sale 100 57.8700 USD
ORD Sale 100 57.9201 USD
ORD Sale 100 58.0150 USD
ORD Sale 127 57.8818 USD
ORD Sale 160 57.9712 USD
ORD Sale 180 57.9792 USD
ORD Sale 200 57.8400 USD
ORD Sale 200 57.9550 USD
ORD Sale 200 57.9600 USD
ORD Sale 200 58.1050 USD
ORD Sale 300 57.7900 USD
ORD Sale 300 57.9833 USD
ORD Sale 300 57.9900 USD
ORD Sale 380 57.7500 USD
ORD Sale 410 57.9308 USD
ORD Sale 500 58.0700 USD
ORD Sale 500 58.1340 USD
ORD Sale 600 57.8433 USD
ORD Sale 600 57.9050 USD
ORD Sale 700 57.7928 USD
ORD Sale 700 57.9657 USD
ORD Sale 700 58.0000 USD
ORD Sale 700 58.0771 USD
ORD Sale 800 58.0137 USD
ORD Sale 839 58.1317 USD
ORD Sale 1,186 58.1969 USD
ORD Sale 1,386 58.0042 USD
ORD Sale 1,457 57.8785 USD
ORD Sale 1,511 58.0119 USD
ORD Sale 1,600 58.0018 USD
ORD Sale 2,286 58.1100 USD
ORD Sale 6,200 57.9247 USD
ORD Sale 6,400 57.8746 USD
ORD Sale 7,166 57.9389 USD
ORD Sale 7,285 57.9625 USD
ORD Sale 7,600 57.9232 USD
ORD Sale 8,730 57.9430 USD
ORD Sale 9,761 57.8534 USD
ORD Sale 13,748 58.0060 USD
ORD Sale 32,812 58.2200 USD
ORD Sale 37,567 57.9937 USD
ORD Sale 70,235 58.1493 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 1,602 56.8900 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 400 60 USD American 22 Nov 2014 1.8000 USD
ORD Call Options Selling 100 55 USD American 16 Aug 2014 3.4700 USD
ORD Call Options Selling 700 55 USD American 17 Jan 2015 5.1700 USD
ORD Call Options Selling 200 57.5 USD American 16 Aug 2014 1.9800 USD
ORD Put Options Purchasing 300 55 USD American 22 Nov 2014 2.0500 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 Jul 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 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 -300 25.0000 American 17 Jan 2015
ORD Put Options Purchased -100 32.5000 American 17 Jan 2015
ORD Put Options Purchased -100 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 -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 -9,700 40.0000 American 17 Jan 2015
ORD Put Options Purchased -500 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 -900 42.5000 American 15 Jan 2016
ORD Put Options Purchased -29,700 45.0000 American 16 Aug 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 -11,700 47.5000 American 16 Aug 2014
ORD Put Options Purchased -4,000 50.0000 American 16 Aug 2014
ORD Put Options Purchased -4,100 50.0000 American 22 Nov 2014
ORD Put Options Purchased -3,400 50.0000 American 17 Jan 2015
ORD Put Options Purchased -800 50.0000 American 15 Jan 2016
ORD Put Options Purchased -16,000 52.5000 American 19 Jul 2014
ORD Put Options Purchased -5,500 52.5000 American 17 Jan 2015
ORD Put Options Purchased -900 55.0000 American 16 Aug 2014
ORD Put Options Purchased -600 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 -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 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 1,000 35.0000 American 15 Jan 2016
ORD Put Options Written 2,100 45.0000 American 17 Jan 2015
ORD Put Options Written 3,800 47.5000 American 22 Nov 2014
ORD Put Options Written 7,300 47.5000 American 17 Jan 2015
ORD Put Options Written 1,700 47.5000 American 15 Jan 2016
ORD Put Options Written 900 50.0000 American 19 Jul 2014
ORD Put Options Written 1,300 52.5000 American 19 Jul 2014
ORD Put Options Written 1,700 52.5000 American 16 Aug 2014
ORD Put Options Written 800 60.0000 American 17 Jan 2015
ORD Call Options Purchased 1,000 35.0000 American 17 Jan 2015
ORD Call Options Purchased 2,000 40.0000 American 16 Aug 2014
ORD Call Options Purchased 700 42.5000 American 17 Jan 2015
ORD Call Options Purchased 1,800 45.0000 American 16 Aug 2014
ORD Call Options Purchased 400 47.5000 American 16 Aug 2014
ORD Call Options Purchased 800 47.5000 American 22 Nov 2014
ORD Call Options Purchased 100 47.5000 American 15 Jan 2016
ORD Call Options Purchased 5,700 50.0000 American 22 Nov 2014
ORD Call Options Purchased 1,300 50.0000 American 17 Jan 2015
ORD Call Options Purchased 5,700 52.5000 American 16 Aug 2014
ORD Call Options Purchased 4,400 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 42,700 55.0000 American 16 Aug 2014
ORD Call Options Purchased 5,700 55.0000 American 22 Nov 2014
ORD Call Options Purchased 4,400 55.0000 American 17 Jan 2015
ORD Call Options Purchased 4,000 55.0000 American 15 Jan 2016
ORD Call Options Purchased 16,400 57.5000 American 16 Aug 2014
ORD Call Options Purchased 5,200 57.5000 American 22 Nov 2014
ORD Call Options Purchased 4,400 57.5000 American 17 Jan 2015
ORD Call Options Purchased 100 57.5000 American 15 Jan 2016
ORD Call Options Purchased 600 60.0000 American 16 Aug 2014
ORD Call Options Purchased 13,100 60.0000 American 22 Nov 2014
ORD Call Options Purchased 700 60.0000 American 17 Jan 2015
ORD Call Options Purchased 4,500 60.0000 American 15 Jan 2016
ORD Call Options Purchased 500 62.5000 American 16 Aug 2014
ORD Call Options Purchased 500 62.5000 American 22 Nov 2014
ORD Call Options Purchased 400 62.5000 American 17 Jan 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 700 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 Written -1,000 35.0000 American 15 Jan 2016
ORD Call Options Written -1,000 37.5000 American 15 Jan 2016
ORD Call Options Written -8,900 40.0000 American 17 Jan 2015
ORD Call Options Written -5,000 40.0000 American 15 Jan 2016
ORD Call Options Written -3,400 45.0000 American 17 Jan 2015
ORD Call Options Written -100 45.0000 American 15 Jan 2016
ORD Call Options Written -800 47.5000 American 17 Jan 2015
ORD Call Options Written -100 50.0000 American 16 Aug 2014
ORD Call Options Written -100,000 50.0000 American 17 Jan 2015
ORD Call Options Written -3,300 50.0000 American 15 Jan 2016
ORD Call Options Written -12,000 52.5000 American 19 Jul 2014
ORD Call Options Written -2,400 52.5000 American 17 Jan 2015
ORD Call Options Written -800 52.5000 American 15 Jan 2016
ORD Call Options Written -30,300 55.0000 American 19 Jul 2014
ORD Call Options Written -2,500 55.0000 American 16 Aug 2014
ORD Call Options Written -18,900 57.5000 American 19 Jul 2014
ORD Call Options Written -114,100 57.5000 American 16 Aug 2014
ORD Call Options Written -1,300 57.5000 American 20 Feb 2015
ORD Call Options Written -100 60.0000 American 19 Jul 2014
ORD Call Options Written -200 70.0000 American 17 Jan 2015

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.

Short Name: BARCLAYS PLC
Category Code: RET
Sequence Number: 423466
Time of Receipt (offset from UTC): 20140704T135450+0100

Contacts

BARCLAYS PLC