Form 8.3 - Abbvie Inc

Form 8.3 - Abbvie Inc

BARCLAYS PLC

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:  

21 July 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: 2,361,687 0.15% 4,354,552 0.27%
           
(2) Derivatives (other than
options): 3,085,885 0.19% 0 0.00%
           
(3) Options and agreements to
purchase/sell: 867,000 0.05% 2,548,900 0.16%
           
(4) TOTAL:
6,314,572 0.40% 6,903,452 0.43%

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 70 54.3600 USD
ORD Purchase 81 54.2100 USD
ORD Purchase 100 53.9999 USD
ORD Purchase 100 54.0800 USD
ORD Purchase 100 54.3500 USD
ORD Purchase 100 54.3700 USD
ORD Purchase 115 54.0543 USD
ORD Purchase 150 54.0570 USD
ORD Purchase 170 54.3541 USD
ORD Purchase 171 54.3769 USD
ORD Purchase 179 54.0900 USD
ORD Purchase 200 54.0100 USD
ORD Purchase 200 54.0650 USD
ORD Purchase 200 54.1800 USD
ORD Purchase 275 54.0400 USD
ORD Purchase 284 54.3800 USD
ORD Purchase 300 54.0366 USD
ORD Purchase 311 54.0700 USD
ORD Purchase 340 54.0599 USD
ORD Purchase 352 54.1142 USD
ORD Purchase 396 54.3237 USD
ORD Purchase 400 54.0401 USD
ORD Purchase 400 54.0600 USD
ORD Purchase 400 54.0750 USD
ORD Purchase 400 54.0875 USD
ORD Purchase 410 54.3060 USD
ORD Purchase 500 54.0300 USD
ORD Purchase 500 54.0780 USD
ORD Purchase 500 54.3040 USD
ORD Purchase 600 54.1200 USD
ORD Purchase 710 54.3850 USD
ORD Purchase 724 54.0970 USD
ORD Purchase 768 54.0391 USD
ORD Purchase 800 54.0425 USD
ORD Purchase 800 54.0450 USD
ORD Purchase 857 54.1135 USD
ORD Purchase 889 54.1134 USD
ORD Purchase 900 54.1033 USD
ORD Purchase 1,000 54.0440 USD
ORD Purchase 1,000 54.2290 USD
ORD Purchase 1,048 54.1066 USD
ORD Purchase 1,262 54.0538 USD
ORD Purchase 1,300 54.3892 USD
ORD Purchase 1,450 54.0531 USD
ORD Purchase 1,500 54.0353 USD
ORD Purchase 1,576 54.0647 USD
ORD Purchase 1,600 54.0534 USD
ORD Purchase 1,736 53.9800 USD
ORD Purchase 1,900 54.0621 USD
ORD Purchase 2,100 54.1872 USD
ORD Purchase 2,500 54.1092 USD
ORD Purchase 3,581 54.2787 USD
ORD Purchase 3,900 54.0350 USD
ORD Purchase 4,000 54.3817 USD
ORD Purchase 4,214 54.1205 USD
ORD Purchase 4,865 54.2306 USD
ORD Purchase 5,646 54.0877 USD
ORD Purchase 6,454 54.1294 USD
ORD Purchase 6,800 54.0623 USD
ORD Purchase 7,136 54.1396 USD
ORD Purchase 8,394 54.0654 USD
ORD Purchase 10,007 54.0246 USD
ORD Purchase 13,296 54.2618 USD
ORD Purchase 15,000 54.0603 USD
ORD Purchase 20,317 54.1323 USD
ORD Purchase 22,545 54.1311 USD
ORD Purchase 25,300 54.0922 USD
ORD Purchase 26,287 54.0571 USD
ORD Purchase 26,392 54.1940 USD
ORD Purchase 31,857 54.1178 USD
ORD Purchase 34,600 54.1048 USD
ORD Purchase 36,704 54.1618 USD
ORD Purchase 43,700 54.1599 USD
ORD Purchase 45,904 54.1624 USD
ORD Purchase 47,669 54.1183 USD
ORD Purchase 70,409 54.0000 USD
ORD Purchase 73,068 54.1544 USD
ORD Purchase 100,000 54.2400 USD
ORD Purchase 104,838 54.2302 USD
ORD Purchase 193,844 54.1248 USD
ORD Purchase 208,221 54.1052 USD
ORD Sale 64 54.0500 USD
ORD Sale 100 53.9650 USD
ORD Sale 100 53.9900 USD
ORD Sale 100 54.0601 USD
ORD Sale 100 54.1900 USD
ORD Sale 100 54.2300 USD
ORD Sale 100 54.2500 USD
ORD Sale 100 54.3100 USD
ORD Sale 100 54.3700 USD
ORD Sale 100 54.3800 USD
ORD Sale 170 54.0599 USD
ORD Sale 200 54.0550 USD
ORD Sale 200 54.0651 USD
ORD Sale 200 54.0800 USD
ORD Sale 233 54.0515 USD
ORD Sale 239 54.2122 USD
ORD Sale 295 54.0300 USD
ORD Sale 300 53.9683 USD
ORD Sale 300 53.9816 USD
ORD Sale 300 54.0400 USD
ORD Sale 300 54.0666 USD
ORD Sale 300 54.1266 USD
ORD Sale 300 54.1933 USD
ORD Sale 306 54.1332 USD
ORD Sale 327 54.1990 USD
ORD Sale 335 54.0313 USD
ORD Sale 340 54.0635 USD
ORD Sale 340 54.3541 USD
ORD Sale 400 53.9600 USD
ORD Sale 400 53.9750 USD
ORD Sale 400 54.0401 USD
ORD Sale 400 54.3000 USD
ORD Sale 419 54.1600 USD
ORD Sale 442 54.0362 USD
ORD Sale 491 54.0566 USD
ORD Sale 500 53.9620 USD
ORD Sale 500 54.0520 USD
ORD Sale 500 54.0600 USD
ORD Sale 528 54.1675 USD
ORD Sale 600 54.0050 USD
ORD Sale 600 54.2208 USD
ORD Sale 600 54.2933 USD
ORD Sale 600 54.3016 USD
ORD Sale 675 54.0618 USD
ORD Sale 691 54.1560 USD
ORD Sale 700 53.9728 USD
ORD Sale 700 53.9814 USD
ORD Sale 700 54.0557 USD
ORD Sale 823 53.9905 USD
ORD Sale 827 54.0681 USD
ORD Sale 834 53.9800 USD
ORD Sale 851 54.1729 USD
ORD Sale 873 54.1134 USD
ORD Sale 900 54.0756 USD
ORD Sale 900 54.2394 USD
ORD Sale 1,000 54.0812 USD
ORD Sale 1,054 53.9707 USD
ORD Sale 1,173 54.2079 USD
ORD Sale 1,186 54.1443 USD
ORD Sale 1,212 54.0619 USD
ORD Sale 1,226 54.0872 USD
ORD Sale 1,235 53.9700 USD
ORD Sale 1,260 54.1828 USD
ORD Sale 1,600 53.9691 USD
ORD Sale 1,740 54.2286 USD
ORD Sale 1,900 54.2547 USD
ORD Sale 2,155 54.3862 USD
ORD Sale 2,300 54.1213 USD
ORD Sale 2,312 54.0685 USD
ORD Sale 2,363 54.0501 USD
ORD Sale 2,691 54.1866 USD
ORD Sale 2,797 54.0755 USD
ORD Sale 2,923 54.1154 USD
ORD Sale 3,053 54.1508 USD
ORD Sale 3,196 54.1027 USD
ORD Sale 3,203 53.9737 USD
ORD Sale 3,285 54.0498 USD
ORD Sale 3,300 54.0521 USD
ORD Sale 3,349 54.0714 USD
ORD Sale 3,426 54.1506 USD
ORD Sale 3,508 54.2164 USD
ORD Sale 3,873 54.1868 USD
ORD Sale 4,390 54.1951 USD
ORD Sale 5,000 54.1092 USD
ORD Sale 5,100 54.0811 USD
ORD Sale 5,108 54.1517 USD
ORD Sale 5,164 54.0745 USD
ORD Sale 5,400 54.0007 USD
ORD Sale 5,573 54.1656 USD
ORD Sale 5,600 54.0228 USD
ORD Sale 5,900 54.1810 USD
ORD Sale 6,300 53.9771 USD
ORD Sale 6,539 54.1054 USD
ORD Sale 6,722 54.1398 USD
ORD Sale 6,826 54.0100 USD
ORD Sale 7,200 54.1271 USD
ORD Sale 7,500 54.0603 USD
ORD Sale 7,842 54.2703 USD
ORD Sale 8,586 54.0454 USD
ORD Sale 10,000 54.0372 USD
ORD Sale 10,045 54.2073 USD
ORD Sale 10,111 54.1912 USD
ORD Sale 10,290 54.2225 USD
ORD Sale 11,055 54.1607 USD
ORD Sale 11,433 54.0000 USD
ORD Sale 11,500 54.1977 USD
ORD Sale 14,600 54.0256 USD
ORD Sale 18,040 54.1995 USD
ORD Sale 21,100 54.0829 USD
ORD Sale 21,251 54.0085 USD
ORD Sale 21,723 54.0654 USD
ORD Sale 23,803 54.2247 USD
ORD Sale 23,810 54.1879 USD
ORD Sale 24,815 54.1820 USD
ORD Sale 27,017 54.3582 USD
ORD Sale 27,795 54.2223 USD
ORD Sale 29,981 54.0844 USD
ORD Sale 32,900 54.2295 USD
ORD Sale 34,902 54.1023 USD
ORD Sale 35,312 54.1783 USD
ORD Sale 39,370 54.1239 USD
ORD Sale 54,300 54.1237 USD
ORD Sale 60,643 54.0889 USD
ORD Sale 64,491 54.0773 USD
ORD Sale 77,076 54.1206 USD
ORD Sale 104,838 54.2302 USD
ORD Sale 193,806 54.1251 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 25,000 57.5 USD American 16 Aug 2014 0.5952 USD
ORD Call Options Purchasing 30,800 57.5 USD American 16 Aug 2014 0.5967 USD
ORD Call Options Selling 30,800 52.5 USD American 16 Aug 2014 2.6967 USD
ORD Call Options Selling 200 52.5 USD American 20 Feb 2015 4.5000 USD
ORD Call Options Selling 200 55 USD American 16 Aug 2014 1.4400 USD
ORD Call Options Selling 7,300 55 USD American 20 Feb 2015 3.3986 USD
ORD Call Options Selling 100 57.5 USD American 16 Aug 2014 0.5800 USD
ORD Call Options Selling 23,000 57.5 USD American 16 Aug 2014 0.6000 USD
ORD Call Options Selling 600 60 USD American 22 Nov 2014 1.0000 USD
ORD Call Options Selling 6,800 60 USD American 15 Jan 2016 4.0000 USD
ORD Put Options Purchasing 300 52.5 USD American 16 Aug 2014 0.9666 USD
ORD Put Options Selling 700 52.5 USD American 16 Aug 2014 0.9500 USD
ORD Put Options Selling 285,700 52.5 USD American 16 Aug 2014 1.0000 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:

22 July 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.

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 -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 -8,700 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 -200 47.5000 American 20 Feb 2015
ORD Put Options Purchased -17,700 50.0000 American 16 Aug 2014
ORD Put Options Purchased -4,100 50.0000 American 22 Nov 2014
ORD Put Options Purchased -400 50.0000 American 20 Feb 2015
ORD Put Options Purchased -1,100 50.0000 American 15 Jan 2016
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 -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 -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 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 4,100 45.0000 American 17 Jan 2015
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 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 301,000 52.5000 American 16 Aug 2014
ORD Put Options Written 14,500 55.0000 American 16 Aug 2014
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 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 6,300 50.0000 American 17 Jan 2015
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 19,600 55.0000 American 16 Aug 2014
ORD Call Options Purchased 5,100 55.0000 American 17 Jan 2015
ORD Call Options Purchased 4,000 55.0000 American 15 Jan 2016
ORD Call Options Purchased 116,400 57.5000 American 16 Aug 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 7,400 60.0000 American 16 Aug 2014
ORD Call Options Purchased 12,500 60.0000 American 22 Nov 2014
ORD Call Options Purchased 1,500 60.0000 American 17 Jan 2015
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 2,700 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 -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 -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 -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 -27,200 52.5000 American 16 Aug 2014
ORD Call Options Written -2,400 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 -500 55.0000 American 22 Nov 2014
ORD Call Options Written -7,300 55.0000 American 20 Feb 2015
ORD Call Options Written -1,962,300 57.5000 American 16 Aug 2014
ORD Call Options Written -6,200 57.5000 American 22 Nov 2014
ORD Call Options Written -1,300 57.5000 American 20 Feb 2015
ORD Call Options Written -2,300 60.0000 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.

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