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   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: 8 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: 1,783,614 0.11% 843,831 0.05%
           
(2) Derivatives (other than
options): 331,205 0.02% 0 0.00%
           
(3) Options and agreements to
purchase/sell: 159,300 0.01% 434,100 0.03%
           
(4) TOTAL:
2,274,119 0.14% 1,277,931 0.08%

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 34 55.0000 USD
ORD Purchase 34 55.8700 USD
ORD Purchase 40 56.2000 USD
ORD Purchase 61 55.7800 USD
ORD Purchase 64 56.1000 USD
ORD Purchase 99 55.9999 USD
ORD Purchase 100 55.6450 USD
ORD Purchase 100 55.6700 USD
ORD Purchase 100 55.7300 USD
ORD Purchase 100 55.7500 USD
ORD Purchase 100 55.7900 USD
ORD Purchase 100 55.9669 USD
ORD Purchase 101 55.7600 USD
ORD Purchase 120 56.0783 USD
ORD Purchase 150 55.7733 USD
ORD Purchase 151 55.6678 USD
ORD Purchase 178 55.8259 USD
ORD Purchase 200 55.7195 USD
ORD Purchase 200 55.7350 USD
ORD Purchase 200 55.7400 USD
ORD Purchase 300 55.6950 USD
ORD Purchase 300 55.7366 USD
ORD Purchase 300 55.8200 USD
ORD Purchase 359 56.1250 USD
ORD Purchase 400 55.7762 USD
ORD Purchase 440 55.7650 USD
ORD Purchase 459 55.7643 USD
ORD Purchase 469 55.6642 USD
ORD Purchase 500 55.7810 USD
ORD Purchase 552 57.4000 USD
ORD Purchase 600 55.6766 USD
ORD Purchase 600 55.7533 USD
ORD Purchase 660 56.2472 USD
ORD Purchase 700 55.6691 USD
ORD Purchase 872 55.8436 USD
ORD Purchase 880 56.1980 USD
ORD Purchase 900 55.7611 USD
ORD Purchase 1,000 55.9216 USD
ORD Purchase 1,001 55.7951 USD
ORD Purchase 1,397 55.7965 USD
ORD Purchase 1,452 55.9080 USD
ORD Purchase 1,509 55.9866 USD
ORD Purchase 1,535 55.8298 USD
ORD Purchase 1,587 55.8486 USD
ORD Purchase 1,700 56.2087 USD
ORD Purchase 2,400 55.7235 USD
ORD Purchase 2,700 55.7950 USD
ORD Purchase 2,894 55.7883 USD
ORD Purchase 3,108 55.9980 USD
ORD Purchase 3,162 55.8230 USD
ORD Purchase 3,540 55.8232 USD
ORD Purchase 3,583 55.8880 USD
ORD Purchase 3,996 55.8751 USD
ORD Purchase 4,015 55.7748 USD
ORD Purchase 4,214 55.8119 USD
ORD Purchase 4,300 56.0360 USD
ORD Purchase 4,800 55.8608 USD
ORD Purchase 5,400 55.7875 USD
ORD Purchase 7,508 55.9516 USD
ORD Purchase 8,507 55.8188 USD
ORD Purchase 8,800 55.6716 USD
ORD Purchase 9,100 56.1950 USD
ORD Purchase 9,147 56.2128 USD
ORD Purchase 9,855 55.8225 USD
ORD Purchase 12,333 56.0875 USD
ORD Purchase 13,660 55.9132 USD
ORD Purchase 14,400 55.7654 USD
ORD Purchase 14,905 55.9718 USD
ORD Purchase 15,905 55.9304 USD
ORD Purchase 16,480 55.8499 USD
ORD Purchase 17,689 55.6900 USD
ORD Purchase 17,910 55.8400 USD
ORD Purchase 18,000 55.7727 USD
ORD Purchase 18,906 56.0708 USD
ORD Purchase 23,100 55.9792 USD
ORD Purchase 23,137 56.3745 USD
ORD Purchase 23,423 55.8000 USD
ORD Purchase 29,688 55.9242 USD
ORD Purchase 30,000 56.2560 USD
ORD Purchase 30,954 55.8453 USD
ORD Purchase 33,209 55.8516 USD
ORD Purchase 69,957 55.8372 USD
ORD Purchase 87,735 55.8705 USD
ORD Purchase 106,466 55.9067 USD
ORD Purchase 144,472 55.6792 USD
ORD Purchase 1,120,000 55.8827 USD
ORD Sale 11 55.9900 USD
ORD Sale 19 56.2900 USD
ORD Sale 22 55.8400 USD
ORD Sale 23 55.7601 USD
ORD Sale 34 55.8700 USD
ORD Sale 39 56.1800 USD
ORD Sale 50 55.7700 USD
ORD Sale 59 55.7567 USD
ORD Sale 61 55.7800 USD
ORD Sale 100 55.7100 USD
ORD Sale 100 55.7450 USD
ORD Sale 123 55.8560 USD
ORD Sale 136 55.7200 USD
ORD Sale 149 55.7301 USD
ORD Sale 168 55.6600 USD
ORD Sale 200 56.0500 USD
ORD Sale 234 55.6702 USD
ORD Sale 244 55.7637 USD
ORD Sale 297 55.8124 USD
ORD Sale 300 55.6750 USD
ORD Sale 300 55.7266 USD
ORD Sale 300 55.7300 USD
ORD Sale 300 55.7766 USD
ORD Sale 300 56.2533 USD
ORD Sale 328 55.7330 USD
ORD Sale 330 55.6466 USD
ORD Sale 400 55.7412 USD
ORD Sale 400 56.2600 USD
ORD Sale 500 55.7360 USD
ORD Sale 500 55.7582 USD
ORD Sale 555 57.4000 USD
ORD Sale 600 55.7350 USD
ORD Sale 600 55.7533 USD
ORD Sale 620 55.7125 USD
ORD Sale 700 55.6691 USD
ORD Sale 800 55.6787 USD
ORD Sale 800 55.8406 USD
ORD Sale 872 55.7979 USD
ORD Sale 902 55.9006 USD
ORD Sale 1,000 55.9980 USD
ORD Sale 1,000 56.2750 USD
ORD Sale 1,200 55.7195 USD
ORD Sale 1,258 55.7227 USD
ORD Sale 1,261 56.2461 USD
ORD Sale 1,280 55.7729 USD
ORD Sale 1,300 55.7500 USD
ORD Sale 1,455 55.8598 USD
ORD Sale 1,500 55.7563 USD
ORD Sale 1,500 55.7566 USD
ORD Sale 1,530 55.8342 USD
ORD Sale 1,600 55.8540 USD
ORD Sale 1,692 55.7496 USD
ORD Sale 1,700 56.2087 USD
ORD Sale 1,900 55.6629 USD
ORD Sale 1,962 55.7666 USD
ORD Sale 2,000 55.7351 USD
ORD Sale 2,300 55.7434 USD
ORD Sale 2,300 55.7478 USD
ORD Sale 2,300 56.3152 USD
ORD Sale 2,372 55.8851 USD
ORD Sale 2,400 55.7358 USD
ORD Sale 2,440 55.7219 USD
ORD Sale 2,603 55.7339 USD
ORD Sale 2,887 55.7750 USD
ORD Sale 2,900 56.1748 USD
ORD Sale 3,200 55.7737 USD
ORD Sale 3,300 55.7693 USD
ORD Sale 3,400 55.7260 USD
ORD Sale 3,500 55.7185 USD
ORD Sale 4,000 56.2670 USD
ORD Sale 4,237 55.9676 USD
ORD Sale 4,700 55.7386 USD
ORD Sale 4,800 55.7427 USD
ORD Sale 5,100 55.7607 USD
ORD Sale 5,433 55.8431 USD
ORD Sale 5,889 55.6066 USD
ORD Sale 6,497 55.6867 USD
ORD Sale 6,800 55.7338 USD
ORD Sale 6,900 55.7530 USD
ORD Sale 7,401 55.7848 USD
ORD Sale 7,657 55.6439 USD
ORD Sale 8,500 55.6770 USD
ORD Sale 9,662 55.6489 USD
ORD Sale 10,000 55.8211 USD
ORD Sale 10,500 55.7394 USD
ORD Sale 11,700 55.9412 USD
ORD Sale 12,143 55.6488 USD
ORD Sale 12,496 55.6900 USD
ORD Sale 14,111 55.8628 USD
ORD Sale 14,534 56.0551 USD
ORD Sale 15,550 55.7524 USD
ORD Sale 16,100 55.9559 USD
ORD Sale 21,909 55.8830 USD
ORD Sale 23,323 55.8000 USD
ORD Sale 23,360 55.9363 USD
ORD Sale 24,818 55.9475 USD
ORD Sale 26,051 56.0091 USD
ORD Sale 26,116 55.9935 USD
ORD Sale 27,101 55.9476 USD
ORD Sale 29,188 55.9263 USD
ORD Sale 30,000 56.2079 USD
ORD Sale 31,810 55.9304 USD
ORD Sale 32,265 56.2528 USD
ORD Sale 34,539 55.9949 USD
ORD Sale 63,194 56.0226 USD
ORD Sale 72,236 55.6792 USD
ORD Sale 110,150 55.9018 USD
ORD Sale 121,392 55.9744 USD
ORD Sale 192,999 55.8249 USD
ORD Sale 262,084 55.9664 USD
ORD Sale 560,000 55.8827 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 Selling 400 57.5 USD American 19 Jul 2014 0.3300 USD
ORD Call Options Selling 300 57.5 USD American 16 Aug 2014 0.9800 USD
ORD Put Options Purchasing 300 57.5 USD American 16 Aug 2014 2.3800 USD
ORD Put Options Selling 700 52.5 USD American 16 Aug 2014 0.6000 USD
ORD Put Options Selling 300 55 USD American 16 Aug 2014 1.1800 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: 9 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.

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 -600 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 -300 57.5000 American 16 Aug 2014
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 4,100 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 2,400 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 5,200 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 4,600 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 100 60.0000 American 19 Jul 2014
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 -33,300 55.0000 American 19 Jul 2014
ORD Call Options Written -2,500 55.0000 American 16 Aug 2014
ORD Call Options Written -16,300 57.5000 American 19 Jul 2014
ORD Call Options Written -114,500 57.5000 American 16 Aug 2014
ORD Call Options Written -1,300 57.5000 American 20 Feb 2015
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.

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