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:  

9 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: 1,781,977 0.11% 1,386,798 0.09%
           
(2) Derivatives (other than
options): 891,205 0.06% 0 0.00%
           
(3) Options and agreements to
purchase/sell: 213,800 0.01% 451,200 0.03%
           
(4) TOTAL:
2,886,982 0.18% 1,837,998 0.12%

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 57 55.5200 USD
ORD Purchase 68 54.9700 USD
ORD Purchase 69 55.1400 USD
ORD Purchase 71 55.3100 USD
ORD Purchase 100 54.9400 USD
ORD Purchase 100 54.9750 USD
ORD Purchase 100 55.0700 USD
ORD Purchase 168 55.2100 USD
ORD Purchase 199 55.0236 USD
ORD Purchase 200 54.9200 USD
ORD Purchase 200 55.0150 USD
ORD Purchase 200 55.0562 USD
ORD Purchase 225 55.6900 USD
ORD Purchase 300 54.9500 USD
ORD Purchase 300 54.9533 USD
ORD Purchase 300 54.9933 USD
ORD Purchase 300 55.0400 USD
ORD Purchase 332 55.2000 USD
ORD Purchase 400 55.0175 USD
ORD Purchase 409 55.2500 USD
ORD Purchase 446 55.0219 USD
ORD Purchase 500 54.9450 USD
ORD Purchase 500 54.9530 USD
ORD Purchase 500 54.9960 USD
ORD Purchase 500 55.0170 USD
ORD Purchase 500 55.0200 USD
ORD Purchase 500 55.0240 USD
ORD Purchase 600 54.9600 USD
ORD Purchase 600 54.9850 USD
ORD Purchase 600 55.0083 USD
ORD Purchase 700 54.9950 USD
ORD Purchase 700 55.0957 USD
ORD Purchase 900 55.0216 USD
ORD Purchase 923 54.9543 USD
ORD Purchase 1,005 55.0290 USD
ORD Purchase 1,119 54.9636 USD
ORD Purchase 1,189 55.0458 USD
ORD Purchase 1,225 55.0169 USD
ORD Purchase 1,300 55.0984 USD
ORD Purchase 1,503 54.9879 USD
ORD Purchase 1,690 54.9564 USD
ORD Purchase 1,800 54.9838 USD
ORD Purchase 2,318 55.0698 USD
ORD Purchase 2,600 55.0074 USD
ORD Purchase 3,046 54.9900 USD
ORD Purchase 3,100 55.0050 USD
ORD Purchase 3,400 55.0062 USD
ORD Purchase 3,413 54.0000 USD
ORD Purchase 3,896 55.0026 USD
ORD Purchase 3,900 54.9971 USD
ORD Purchase 3,968 55.0437 USD
ORD Purchase 4,100 55.0592 USD
ORD Purchase 6,232 55.0212 USD
ORD Purchase 7,598 55.0272 USD
ORD Purchase 9,500 55.0157 USD
ORD Purchase 11,059 55.0163 USD
ORD Purchase 11,182 55.0061 USD
ORD Purchase 12,389 55.0665 USD
ORD Purchase 14,207 55.0100 USD
ORD Purchase 15,794 54.9938 USD
ORD Purchase 16,400 54.9939 USD
ORD Purchase 17,068 55.1129 USD
ORD Purchase 17,268 55.0594 USD
ORD Purchase 17,300 55.0428 USD
ORD Purchase 17,652 55.0222 USD
ORD Purchase 18,626 55.0217 USD
ORD Purchase 20,873 55.0479 USD
ORD Purchase 22,956 55.0460 USD
ORD Purchase 23,300 55.0112 USD
ORD Purchase 32,974 55.0034 USD
ORD Purchase 38,179 54.9907 USD
ORD Purchase 43,900 54.9993 USD
ORD Purchase 57,063 55.0012 USD
ORD Purchase 60,378 55.0337 USD
ORD Purchase 65,659 55.0424 USD
ORD Purchase 74,706 55.0469 USD
ORD Purchase 81,800 55.0153 USD
ORD Purchase 99,553 55.0583 USD
ORD Purchase 104,479 55.0432 USD
ORD Purchase 106,427 55.0177 USD
ORD Purchase 111,385 55.0033 USD
ORD Purchase 151,888 55.0517 USD
ORD Purchase 201,200 55.0000 USD
ORD Purchase 495,185 54.9922 USD
ORD Purchase 800,000 55.0573 USD
ORD Sale 25 55.0600 USD
ORD Sale 34 54.9700 USD
ORD Sale 40 55.0300 USD
ORD Sale 69 55.1400 USD
ORD Sale 100 54.9000 USD
ORD Sale 100 54.9500 USD
ORD Sale 100 54.9750 USD
ORD Sale 104 55.0400 USD
ORD Sale 194 55.2182 USD
ORD Sale 200 55.0150 USD
ORD Sale 200 55.0250 USD
ORD Sale 200 55.0900 USD
ORD Sale 200 55.5100 USD
ORD Sale 225 55.6900 USD
ORD Sale 267 55.2834 USD
ORD Sale 309 55.0570 USD
ORD Sale 400 55.0275 USD
ORD Sale 500 55.0060 USD
ORD Sale 500 55.0870 USD
ORD Sale 500 55.1560 USD
ORD Sale 600 55.0916 USD
ORD Sale 692 55.0332 USD
ORD Sale 700 55.0957 USD
ORD Sale 732 55.0044 USD
ORD Sale 820 54.9400 USD
ORD Sale 846 55.0823 USD
ORD Sale 1,000 55.2016 USD
ORD Sale 1,083 55.0237 USD
ORD Sale 1,100 55.0886 USD
ORD Sale 1,100 55.1704 USD
ORD Sale 1,296 55.2149 USD
ORD Sale 1,300 55.0926 USD
ORD Sale 1,362 55.0415 USD
ORD Sale 1,400 55.1730 USD
ORD Sale 1,400 55.1914 USD
ORD Sale 1,500 55.0062 USD
ORD Sale 1,600 55.0771 USD
ORD Sale 1,600 55.1484 USD
ORD Sale 1,800 54.9838 USD
ORD Sale 1,800 55.0166 USD
ORD Sale 1,846 54.9900 USD
ORD Sale 1,900 55.0500 USD
ORD Sale 2,200 55.0031 USD
ORD Sale 2,300 55.2010 USD
ORD Sale 2,587 55.1173 USD
ORD Sale 2,651 55.0034 USD
ORD Sale 2,776 55.1991 USD
ORD Sale 2,855 54.9715 USD
ORD Sale 3,413 54.9555 USD
ORD Sale 3,600 54.9706 USD
ORD Sale 4,084 55.0094 USD
ORD Sale 4,200 55.0687 USD
ORD Sale 4,200 55.0782 USD
ORD Sale 5,245 54.9992 USD
ORD Sale 5,300 55.0666 USD
ORD Sale 5,327 55.1454 USD
ORD Sale 5,759 55.0024 USD
ORD Sale 5,900 55.0904 USD
ORD Sale 5,990 55.0695 USD
ORD Sale 6,213 54.9993 USD
ORD Sale 6,461 54.9844 USD
ORD Sale 6,940 55.0059 USD
ORD Sale 7,553 54.9785 USD
ORD Sale 9,332 55.1165 USD
ORD Sale 10,524 54.9779 USD
ORD Sale 11,600 54.9990 USD
ORD Sale 11,900 55.0233 USD
ORD Sale 12,676 55.0307 USD
ORD Sale 13,465 55.1816 USD
ORD Sale 22,200 54.9979 USD
ORD Sale 23,600 55.0011 USD
ORD Sale 23,865 55.1561 USD
ORD Sale 24,279 55.1930 USD
ORD Sale 29,731 55.1736 USD
ORD Sale 34,536 55.0594 USD
ORD Sale 57,410 55.2691 USD
ORD Sale 82,506 55.0100 USD
ORD Sale 112,114 55.0626 USD
ORD Sale 138,340 55.1625 USD
ORD Sale 202,537 55.0000 USD
ORD Sale 227,869 55.0199 USD
ORD Sale 320,360 55.0545 USD
ORD Sale 400,000 55.0573 USD
ORD Sale 918,100 54.9985 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 53,500 57.5 USD American 19 Jul 2014 0.2500 USD
ORD Call Options Purchasing 300 57.5 USD American 15 Jan 2016 4.8000 USD
ORD Call Options Purchasing 100 60 USD American 22 Nov 2014 1.0400 USD
ORD Call Options Selling 4,900 47.5 USD American 22 Nov 2014 7.8000 USD
ORD Call Options Selling 2,500 55 USD American 19 Jul 2014 0.8000 USD
ORD Call Options Selling 10,000 57.5 USD American 16 Aug 2014 0.7250 USD
ORD Put Options Purchasing 200 50 USD American 20 Feb 2015 2.1000 USD
ORD Put Options Purchasing 300 50 USD American 15 Jan 2016 5.3000 USD
ORD Put Options Selling 1,400 52.5 USD American 16 Aug 2014 0.8500 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:  

10 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 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 -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 -200 50.0000 American 20 Feb 2015
ORD Put Options Purchased -1,100 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 3,800 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 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 53,500 57.5000 American 19 Jul 2014
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 400 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 13,200 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 -4,100 47.5000 American 22 Nov 2014
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 -35,800 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 -124,500 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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