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:  

6 October 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: 5,069,587 0.32% 4,557,697 0.29%
           
(2) Derivatives (other than
options): 3,348,414 0.21% 0 0.00%
           
(3) Options and agreements to
purchase/sell: 6,604,189 0.41% 8,653,900 0.54%
           
(4)
TOTAL: 15,022,190 0.95% 13,211,597 0.83%

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

(a)   Purchases and sales        
Class of relevant Purchase/sale Number of Price per unit
security   securities  
ORD Purchase 1 58.5500 USD
ORD Purchase 35 57.8500 USD
ORD Purchase 100 57.8550 USD
ORD Purchase 100 57.8950 USD
ORD Purchase 100 57.9500 USD
ORD Purchase 100 57.9900 USD
ORD Purchase 112 57.9300 USD
ORD Purchase 163 58.7217 USD
ORD Purchase 173 57.0000 USD
ORD Purchase 200 58.7375 USD
ORD Purchase 261 57.9200 USD
ORD Purchase 300 57.9366 USD
ORD Purchase 300 58.3333 USD
ORD Purchase 300 58.7033 USD
ORD Purchase 369 57.9043 USD
ORD Purchase 400 57.9312 USD
ORD Purchase 400 58.0575 USD
ORD Purchase 400 58.1275 USD
ORD Purchase 400 58.3175 USD
ORD Purchase 416 57.9186 USD
ORD Purchase 500 57.9270 USD
ORD Purchase 500 58.0240 USD
ORD Purchase 600 57.8958 USD
ORD Purchase 900 57.9533 USD
ORD Purchase 1,422 58.3638 USD
ORD Purchase 1,478 58.7300 USD
ORD Purchase 1,800 57.9377 USD
ORD Purchase 2,000 57.7600 USD
ORD Purchase 2,042 58.3303 USD
ORD Purchase 2,600 58.3315 USD
ORD Purchase 2,634 58.0504 USD
ORD Purchase 3,745 58.0273 USD
ORD Purchase 4,286 58.3323 USD
ORD Purchase 4,296 58.1665 USD
ORD Purchase 5,000 58.0197 USD
ORD Purchase 5,044 58.0329 USD
ORD Purchase 5,500 58.2453 USD
ORD Purchase 5,799 58.3297 USD
ORD Purchase 6,073 58.3314 USD
ORD Purchase 6,907 57.9586 USD
ORD Purchase 7,146 57.9723 USD
ORD Purchase 7,339 57.9449 USD
ORD Purchase 8,394 58.5166 USD
ORD Purchase 10,000 57.8631 USD
ORD Purchase 10,000 58.3329 USD
ORD Purchase 10,828 57.9831 USD
ORD Purchase 10,900 58.0526 USD
ORD Purchase 15,672 58.1654 USD
ORD Purchase 20,448 58.0646 USD
ORD Purchase 21,500 58.3300 USD
ORD Purchase 22,303 58.0509 USD
ORD Purchase 24,838 58.0140 USD
ORD Purchase 27,378 58.6900 USD
ORD Purchase 40,668 58.0829 USD
ORD Purchase 48,388 58.4240 USD
ORD Purchase 50,300 57.9540 USD
ORD Purchase 76,420 58.1050 USD
ORD Purchase 2,341,881 57.8100 USD
ORD Sale 89 57.9270 USD
ORD Sale 100 57.8800 USD
ORD Sale 100 57.9800 USD
ORD Sale 100 58.0180 USD
ORD Sale 100 58.3200 USD
ORD Sale 107 58.3102 USD
ORD Sale 119 58.3794 USD
ORD Sale 135 58.2055 USD
ORD Sale 173 57.8589 USD
ORD Sale 173 57.9200 USD
ORD Sale 200 57.7800 USD
ORD Sale 211 57.9275 USD
ORD Sale 300 57.7766 USD
ORD Sale 400 57.8825 USD
ORD Sale 400 58.8200 USD
ORD Sale 407 57.8400 USD
ORD Sale 499 58.2058 USD
ORD Sale 500 57.7960 USD
ORD Sale 500 57.8420 USD
ORD Sale 500 57.8850 USD
ORD Sale 500 57.9180 USD
ORD Sale 541 58.3041 USD
ORD Sale 600 57.8683 USD
ORD Sale 600 58.3450 USD
ORD Sale 627 57.8614 USD
ORD Sale 700 57.8578 USD
ORD Sale 700 57.9000 USD
ORD Sale 802 57.9094 USD
ORD Sale 900 57.8778 USD
ORD Sale 986 57.9181 USD
ORD Sale 1,000 57.7600 USD
ORD Sale 1,009 58.0014 USD
ORD Sale 1,100 58.0663 USD
ORD Sale 1,100 58.3359 USD
ORD Sale 1,150 57.9243 USD
ORD Sale 1,198 58.3374 USD
ORD Sale 1,261 57.9562 USD
ORD Sale 1,300 57.8853 USD
ORD Sale 1,367 57.8860 USD
ORD Sale 1,478 58.7300 USD
ORD Sale 1,500 57.9040 USD
ORD Sale 1,500 58.3400 USD
ORD Sale 1,600 57.8606 USD
ORD Sale 1,600 58.3212 USD
ORD Sale 1,600 58.3243 USD
ORD Sale 1,723 58.6840 USD
ORD Sale 1,798 58.0531 USD
ORD Sale 1,800 58.0562 USD
ORD Sale 1,836 58.0862 USD
ORD Sale 1,986 57.9256 USD
ORD Sale 1,992 57.9103 USD
ORD Sale 2,000 58.3275 USD
ORD Sale 2,200 58.0404 USD
ORD Sale 2,341 57.9860 USD
ORD Sale 2,600 57.8642 USD
ORD Sale 2,800 58.1016 USD
ORD Sale 2,900 57.9391 USD
ORD Sale 2,905 57.9272 USD
ORD Sale 3,100 57.8443 USD
ORD Sale 3,547 58.0491 USD
ORD Sale 3,707 58.5644 USD
ORD Sale 4,000 58.3380 USD
ORD Sale 4,204 58.0194 USD
ORD Sale 4,281 57.9740 USD
ORD Sale 4,632 58.0132 USD
ORD Sale 5,560 58.1300 USD
ORD Sale 5,972 57.8909 USD
ORD Sale 6,500 58.0703 USD
ORD Sale 6,800 58.0448 USD
ORD Sale 6,945 58.0020 USD
ORD Sale 7,548 58.1574 USD
ORD Sale 10,052 58.0799 USD
ORD Sale 10,900 58.0188 USD
ORD Sale 11,500 57.9725 USD
ORD Sale 12,321 57.9943 USD
ORD Sale 21,500 58.3300 USD
ORD Sale 27,378 58.6900 USD
ORD Sale 28,058 58.0314 USD
ORD Sale 48,388 58.4240 USD
ORD Sale 50,600 57.9539 USD
ORD Sale 51,800 57.9614 USD
ORD Sale 57,295 57.9317 USD
ORD Sale 69,888 58.3951 USD
ORD Sale 75,912 58.0582 USD
ORD Sale 81,789 58.0907 USD
ORD Sale 105,477 57.9054 USD
ORD Sale 2,344,028 57.8100 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 60,000 57.5 USD American 22 Nov 2014 2.1500 USD
ORD Call Options Purchasing 100 62.5 USD American 17 Jan 2015 1.1500 USD
ORD Call Options Selling 100 57.5 USD American 17 Jan 2015 3.1000 USD
ORD Put Options Purchasing 1,300 57.5 USD American 22 Nov 2014 1.9500 USD
ORD Put Options Purchasing 1,000 60 USD American 22 Nov 2014 3.5000 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:  

7 Oct 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   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 -1,000 42.5000 American 15 May 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 -45,000 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 -794,900 52.5000 American 22 Nov 2014
ORD Put Options Purchased -29,000 52.5000 American 16 Jan 2015
ORD Put Options Purchased -198,500 52.5000 American 17 Jan 2015
ORD Put Options Purchased -8,600 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 -200 57.5000 American 20 Feb 2015
ORD Put Options Purchased -1,000 57.5000 American 15 Jan 2016
ORD Put Options Purchased -1,400 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 7,100 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 26,100 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 100 52.5000 American 20 Feb 2015
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 5,300 57.5000 American 18 Oct 2014
ORD Put Options Written 168,600 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 4,700 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 4,489 57.5000 American 21 Nov 2014
ORD Call Options Purchased 494,000 57.5000 American 22 Nov 2014
ORD Call Options Purchased 7,900 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 11,400 60.0000 American 18 Oct 2014
ORD Call Options Purchased 21,100 60.0000 American 22 Nov 2014
ORD Call Options Purchased 100 60.0000 American 17 Jan 2015
ORD Call Options Purchased 14,500 62.5000 American 22 Nov 2014
ORD Call Options Purchased 1,600 62.5000 American 20 Feb 2015
ORD Call Options Purchased 4,200 65.0000 American 22 Nov 2014
ORD Call Options Purchased 600 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 300 67.5000 American 17 Jan 2015
ORD Call Options Purchased 200 67.5000 American 15 May 2015
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 -40,600 55.0000 American 18 Oct 2014
ORD Call Options Written -120,300 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 -187,500 57.5000 American 17 Jan 2015
ORD Call Options Written -116,400 60.0000 American 17 Jan 2015
ORD Call Options Written -54,000 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 -29,000 62.5000 American 16 Jan 2015
ORD Call Options Written -19,200 62.5000 American 17 Jan 2015
ORD Call Options Written -6,600 62.5000 American 15 Jan 2016
ORD Call Options Written -292,400 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.

Short Name: BARCLAYS PLC
Category Code: RET
Sequence Number: 435869
Time of Receipt (offset from UTC): 20141007T125243+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC