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:  

20 Oct 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: 5,661,698 0.36% 708,685 0.04%
           
(2) Derivatives (other than
options): 0 0.00% 0 0.00%
           
(3) Options and agreements to
purchase/sell: 6,643,718 0.42% 9,746,200 0.61%
           
(4)
TOTAL: 12,305,416 0.77% 10,454,885 0.66%

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 4 53.6200 USD
ORD Purchase 50 54.2700 USD
ORD Purchase 58 54.4900 USD
ORD Purchase 100 53.6100 USD
ORD Purchase 100 53.6600 USD
ORD Purchase 114 53.2500 USD
ORD Purchase 115 53.6673 USD
ORD Purchase 180 54.4300 USD
ORD Purchase 200 54.3900 USD
ORD Purchase 200 54.4700 USD
ORD Purchase 200 54.5000 USD
ORD Purchase 230 53.7039 USD
ORD Purchase 272 53.4600 USD
ORD Purchase 298 53.9984 USD
ORD Purchase 300 53.6533 USD
ORD Purchase 300 53.9303 USD
ORD Purchase 300 53.9703 USD
ORD Purchase 300 54.4600 USD
ORD Purchase 310 53.9983 USD
ORD Purchase 400 54.4562 USD
ORD Purchase 500 53.4679 USD
ORD Purchase 500 53.6700 USD
ORD Purchase 500 54.4620 USD
ORD Purchase 683 54.1800 USD
ORD Purchase 800 54.4405 USD
ORD Purchase 800 54.4425 USD
ORD Purchase 800 54.4556 USD
ORD Purchase 888 53.8475 USD
ORD Purchase 900 54.4755 USD
ORD Purchase 1,041 53.8133 USD
ORD Purchase 1,100 53.6445 USD
ORD Purchase 1,200 53.6300 USD
ORD Purchase 1,200 53.6358 USD
ORD Purchase 1,311 53.7813 USD
ORD Purchase 1,500 53.9570 USD
ORD Purchase 1,545 53.8138 USD
ORD Purchase 1,709 53.7117 USD
ORD Purchase 1,900 53.6400 USD
ORD Purchase 2,000 53.6020 USD
ORD Purchase 2,000 54.4447 USD
ORD Purchase 2,023 54.1715 USD
ORD Purchase 2,100 54.4500 USD
ORD Purchase 2,200 53.4877 USD
ORD Purchase 2,905 53.6551 USD
ORD Purchase 3,279 53.7089 USD
ORD Purchase 3,286 53.8700 USD
ORD Purchase 3,483 53.6414 USD
ORD Purchase 3,510 53.9491 USD
ORD Purchase 3,900 54.4518 USD
ORD Purchase 4,013 53.6391 USD
ORD Purchase 4,078 53.8991 USD
ORD Purchase 4,508 53.6720 USD
ORD Purchase 5,124 53.6375 USD
ORD Purchase 5,168 54.2297 USD
ORD Purchase 6,002 54.1155 USD
ORD Purchase 7,108 53.7828 USD
ORD Purchase 8,500 54.4142 USD
ORD Purchase 8,546 54.4519 USD
ORD Purchase 8,697 54.0497 USD
ORD Purchase 8,877 53.8280 USD
ORD Purchase 10,236 53.6465 USD
ORD Purchase 11,200 54.3998 USD
ORD Purchase 11,560 53.6081 USD
ORD Purchase 11,702 53.7061 USD
ORD Purchase 11,900 53.9055 USD
ORD Purchase 12,174 54.4621 USD
ORD Purchase 12,378 53.3700 USD
ORD Purchase 12,737 53.9772 USD
ORD Purchase 15,580 53.8985 USD
ORD Purchase 19,818 53.6990 USD
ORD Purchase 22,500 54.0950 USD
ORD Purchase 25,050 52.5417 USD
ORD Purchase 25,700 53.7268 USD
ORD Purchase 39,900 53.9200 USD
ORD Purchase 40,889 53.9929 USD
ORD Purchase 43,608 54.0393 USD
ORD Purchase 44,714 53.6996 USD
ORD Purchase 52,370 53.9546 USD
ORD Purchase 80,640 53.7308 USD
ORD Purchase 96,531 54.3371 USD
ORD Purchase 144,665 54.0300 USD
ORD Purchase 1,186,716 54.4100 USD
ORD Sale 25 53.9100 USD
ORD Sale 30 54.4150 USD
ORD Sale 50 54.2700 USD
ORD Sale 51 53.0100 USD
ORD Sale 58 54.4900 USD
ORD Sale 71 54.3700 USD
ORD Sale 90 53.6000 USD
ORD Sale 100 53.2700 USD
ORD Sale 100 53.4110 USD
ORD Sale 100 53.9500 USD
ORD Sale 100 53.9600 USD
ORD Sale 100 54.0072 USD
ORD Sale 100 54.2500 USD
ORD Sale 100 54.4000 USD
ORD Sale 100 54.4050 USD
ORD Sale 100 54.4950 USD
ORD Sale 153 53.0300 USD
ORD Sale 176 53.3304 USD
ORD Sale 200 53.9550 USD
ORD Sale 200 53.9575 USD
ORD Sale 200 54.4500 USD
ORD Sale 223 54.4463 USD
ORD Sale 300 53.9533 USD
ORD Sale 300 54.1600 USD
ORD Sale 304 53.9983 USD
ORD Sale 383 54.2008 USD
ORD Sale 500 53.6480 USD
ORD Sale 500 54.1660 USD
ORD Sale 500 54.4120 USD
ORD Sale 504 54.0823 USD
ORD Sale 565 53.8223 USD
ORD Sale 661 54.2509 USD
ORD Sale 683 54.1800 USD
ORD Sale 700 54.4485 USD
ORD Sale 900 54.1105 USD
ORD Sale 1,000 53.6301 USD
ORD Sale 1,000 54.4330 USD
ORD Sale 1,400 54.4342 USD
ORD Sale 1,534 54.2247 USD
ORD Sale 1,700 54.0759 USD
ORD Sale 2,200 53.4877 USD
ORD Sale 2,458 54.3825 USD
ORD Sale 2,485 53.5100 USD
ORD Sale 2,495 54.1351 USD
ORD Sale 2,632 54.2098 USD
ORD Sale 2,677 54.3823 USD
ORD Sale 3,015 54.3643 USD
ORD Sale 3,407 54.0369 USD
ORD Sale 3,700 54.1470 USD
ORD Sale 3,857 54.1867 USD
ORD Sale 4,455 54.1765 USD
ORD Sale 7,500 54.0187 USD
ORD Sale 7,658 54.3938 USD
ORD Sale 9,122 54.0260 USD
ORD Sale 9,494 54.0897 USD
ORD Sale 12,378 53.3700 USD
ORD Sale 13,500 53.8705 USD
ORD Sale 15,900 54.0739 USD
ORD Sale 16,000 53.7780 USD
ORD Sale 19,156 54.3768 USD
ORD Sale 20,200 54.0940 USD
ORD Sale 21,950 53.6305 USD
ORD Sale 25,000 52.5400 USD
ORD Sale 29,758 54.2288 USD
ORD Sale 31,459 54.4177 USD
ORD Sale 64,022 54.0392 USD
ORD Sale 80,640 53.7308 USD
ORD Sale 80,840 53.7321 USD
ORD Sale 142,386 54.0154 USD
ORD Sale 173,848 53.8890 USD
ORD Sale 1,194,076 54.4100 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 200 62.5 USD American 17 Jan 2015 0.2500 USD
ORD Call Options Selling 300 55 USD American 22 Nov 2014 1.3000 USD
ORD Call Options Selling 8,200 55 USD American 20 Feb 2015 2.9000 USD
ORD Put Options Purchasing 20,000 52.5 USD American 22 Nov 2014 1.6400 USD
ORD Put Options Purchasing 20,000 57.5 USD American 22 Nov 2014 4.3392 USD
ORD Put Options Selling 2,700 50 USD American 22 Nov 2014 0.8240 USD
ORD Put Options Selling 20,000 52.5 USD American 22 Nov 2014 1.4992 USD
ORD Put Options Selling 100 52.5 USD American 22 Nov 2014 1.5000 USD
ORD Put Options Selling 20,000 57.5 USD American 22 Nov 2014 4.4888 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:  

21 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 Written 1,009   European 11 Jan 2016
ORD Call Options Purchased 1,009   European 11 Jan 2016
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 -3,300 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 -300 47.5000 American 15 May 2015
ORD Put Options Purchased -42,900 50.0000 American 22 Nov 2014
ORD Put Options Purchased -69,100 50.0000 American 20 Feb 2015
ORD Put Options Purchased -1,100 50.0000 American 15 Jan 2016
ORD Put Options Purchased -5,000 52.0000 American 24 Oct 2014
ORD Put Options Purchased -795,400 52.5000 American 22 Nov 2014
ORD Put Options Purchased -29,000 52.5000 American 16 Jan 2015
ORD Put Options Purchased -198,300 52.5000 American 17 Jan 2015
ORD Put Options Purchased -400 52.5000 American 15 Jan 2016
ORD Put Options Purchased -200,000 53.5000 American 31 Oct 2014
ORD Put Options Purchased -300 54.0000 American 14 Nov 2014
ORD Put Options Purchased -8,500 55.0000 American 22 Nov 2014
ORD Put Options Purchased -2,700 55.0000 American 17 Jan 2015
ORD Put Options Purchased -1,000 55.0000 American 15 May 2015
ORD Put Options Purchased -1,900 55.0000 American 15 Jan 2016
ORD Put Options Purchased -17,200 57.5000 American 22 Nov 2014
ORD Put Options Purchased -1,500 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 -500 60.0000 American 17 Jan 2015
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 -500 67.5000 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 1,400 30.0000 American 17 Jan 2015
ORD Put Options Written 400 30.0000 American 15 Jan 2016
ORD Put Options Written 1,200 35.0000 American 15 Jan 2016
ORD Put Options Written 100 40.0000 American 22 Nov 2014
ORD Put Options Written 6,700 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 7,600 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 36,900 50.0000 American 22 Nov 2014
ORD Put Options Written 25,700 50.0000 American 17 Jan 2015
ORD Put Options Written 200 51.0000 American 24 Oct 2014
ORD Put Options Written 3,500 52.5000 American 22 Nov 2014
ORD Put Options Written 100 52.5000 American 20 Feb 2015
ORD Put Options Written 7,900 55.0000 American 20 Feb 2015
ORD Put Options Written 100,000 56.0000 American 31 Oct 2014
ORD Put Options Written 168,100 57.5000 American 22 Nov 2014
ORD Put Options Written 800 60.0000 American 17 Jan 2015
ORD Call Options Purchased 100 47.5000 American 15 Jan 2016
ORD Call Options Purchased 5,500 50.0000 American 17 Jan 2015
ORD Call Options Purchased 5,000 50.0000 American 15 May 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 19,000 55.0000 American 22 Nov 2014
ORD Call Options Purchased 12,500 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 12,900 55.5000 American 24 Oct 2014
ORD Call Options Purchased 200 57.0000 American 31 Oct 2014
ORD Call Options Purchased 396,400 57.5000 American 22 Nov 2014
ORD Call Options Purchased 9,100 57.5000 American 17 Jan 2015
ORD Call Options Purchased 1,000 57.5000 American 15 Jan 2016
ORD Call Options Purchased 100 59.0000 American 31 Oct 2014
ORD Call Options Purchased 116,000 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 3,600 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 71,200 65.0000 American 20 Feb 2015
ORD Call Options Purchased 5,000,000 65.0000 American 19 Jun 2015
ORD Call Options Purchased 15,700 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 9,200 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 200 75.0000 American 15 Jan 2016
ORD Call Options Purchased 100 80.0000 American 15 Jan 2016
ORD Call Options Written -200 32.5000 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 -7,600 40.0000 American 15 Jan 2016
ORD Call Options Written -300 45.0000 American 17 Jan 2015
ORD Call Options Written -1,100 45.0000 American 15 Jan 2016
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 -17,800 52.5000 American 22 Nov 2014
ORD Call Options Written -2,300 52.5000 American 17 Jan 2015
ORD Call Options Written -800 52.5000 American 15 Jan 2016
ORD Call Options Written -1,100 53.0000 American 24 Oct 2014
ORD Call Options Written -5,000 55.0000 American 24 Oct 2014
ORD Call Options Written -815,300 55.0000 American 22 Nov 2014
ORD Call Options Written -11,200 55.0000 American 17 Jan 2015
ORD Call Options Written -131,100 55.0000 American 20 Feb 2015
ORD Call Options Written -5,000,000 55.0000 American 19 Jun 2015
ORD Call Options Written -100 56.5000 American 31 Oct 2014
ORD Call Options Written -500 57.0000 American 14 Nov 2014
ORD Call Options Written -200 57.5000 American 31 Oct 2014
ORD Call Options Written -47,500 57.5000 American 22 Nov 2014
ORD Call Options Written -187,500 57.5000 American 17 Jan 2015
ORD Call Options Written -19,800 57.5000 American 20 Feb 2015
ORD Call Options Written -9,000 57.5000 American 15 May 2015
ORD Call Options Written -1,600 58.0000 American 7 Nov 2014
ORD Call Options Written -1,600 58.5000 American 7 Nov 2014
ORD Call Options Written -1,600 59.0000 American 7 Nov 2014
ORD Call Options Written -95,100 60.0000 American 17 Jan 2015
ORD Call Options Written -62,000 60.0000 American 20 Feb 2015
ORD Call Options Written -100 60.0000 American 15 May 2015
ORD Call Options Written -62,300 60.0000 American 15 Jan 2016
ORD Call Options Written -29,000 62.5000 American 16 Jan 2015
ORD Call Options Written -21,000 62.5000 American 17 Jan 2015
ORD Call Options Written -9,900 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.

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