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: 1 October 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: 5,031,981 0.32% 4,301,288 0.27%
           
(2) Derivatives (other than
options): 3,342,723 0.21% 0 0.00%
           
(3) Options and agreements to
purchase/sell: 6,541,200 0.41% 8,606,200 0.54%
           
 
TOTAL: 14,915,904 0.94% 12,907,488 0.81%

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 12 57.4700 USD
ORD Purchase 60 57.2600 USD
ORD Purchase 99 57.5900 USD
ORD Purchase 100 57.2690 USD
ORD Purchase 100 57.3900 USD
ORD Purchase 100 57.4050 USD
ORD Purchase 100 57.5800 USD
ORD Purchase 100 57.6700 USD
ORD Purchase 103 57.3300 USD
ORD Purchase 147 57.2545 USD
ORD Purchase 200 57.2200 USD
ORD Purchase 200 57.3250 USD
ORD Purchase 200 57.5250 USD
ORD Purchase 246 57.6500 USD
ORD Purchase 300 57.2866 USD
ORD Purchase 300 57.4933 USD
ORD Purchase 400 57.3525 USD
ORD Purchase 400 57.3625 USD
ORD Purchase 400 57.4025 USD
ORD Purchase 407 57.2957 USD
ORD Purchase 409 57.3178 USD
ORD Purchase 479 57.4034 USD
ORD Purchase 500 57.5140 USD
ORD Purchase 547 57.2500 USD
ORD Purchase 700 57.4500 USD
ORD Purchase 753 57.2450 USD
ORD Purchase 807 57.2561 USD
ORD Purchase 900 57.2166 USD
ORD Purchase 900 57.2167 USD
ORD Purchase 900 57.4455 USD
ORD Purchase 1,000 57.3175 USD
ORD Purchase 1,100 57.6545 USD
ORD Purchase 1,100 57.6563 USD
ORD Purchase 1,100 57.6800 USD
ORD Purchase 1,152 57.4097 USD
ORD Purchase 1,200 57.2499 USD
ORD Purchase 1,200 57.4503 USD
ORD Purchase 1,259 57.6768 USD
ORD Purchase 1,500 57.8603 USD
ORD Purchase 1,635 57.2228 USD
ORD Purchase 1,721 57.4580 USD
ORD Purchase 1,992 57.6802 USD
ORD Purchase 2,000 57.3287 USD
ORD Purchase 3,224 57.4137 USD
ORD Purchase 3,915 57.2984 USD
ORD Purchase 3,940 57.8361 USD
ORD Purchase 4,000 57.5942 USD
ORD Purchase 4,077 57.3246 USD
ORD Purchase 4,124 57.2925 USD
ORD Purchase 4,200 57.4429 USD
ORD Purchase 4,255 57.4041 USD
ORD Purchase 4,894 57.3451 USD
ORD Purchase 6,100 57.3685 USD
ORD Purchase 7,397 57.3294 USD
ORD Purchase 7,552 57.3666 USD
ORD Purchase 8,149 57.3359 USD
ORD Purchase 9,100 57.6510 USD
ORD Purchase 9,762 57.2049 USD
ORD Purchase 10,208 57.2376 USD
ORD Purchase 13,500 57.3707 USD
ORD Purchase 14,425 57.4427 USD
ORD Purchase 15,322 57.3522 USD
ORD Purchase 18,900 57.3712 USD
ORD Purchase 19,370 57.3776 USD
ORD Purchase 23,484 57.3794 USD
ORD Purchase 23,529 57.3033 USD
ORD Purchase 27,673 57.4085 USD
ORD Purchase 36,085 57.9300 USD
ORD Purchase 45,403 57.3098 USD
ORD Purchase 50,005 57.3888 USD
ORD Purchase 51,191 57.4127 USD
ORD Purchase 56,191 57.8458 USD
ORD Purchase 56,291 57.8449 USD
ORD Purchase 59,775 57.3382 USD
ORD Purchase 61,935 57.3438 USD
ORD Purchase 80,366 57.4860 USD
ORD Purchase 93,242 57.3281 USD
ORD Purchase 101,669 57.3708 USD
ORD Purchase 211,330 57.2778 USD
ORD Purchase 2,342,253 57.2300 USD
ORD Sale 32 57.4700 USD
ORD Sale 100 57.2200 USD
ORD Sale 100 57.2600 USD
ORD Sale 100 57.2800 USD
ORD Sale 100 57.2900 USD
ORD Sale 100 57.3500 USD
ORD Sale 100 57.4500 USD
ORD Sale 150 57.4286 USD
ORD Sale 157 57.2694 USD
ORD Sale 200 57.3100 USD
ORD Sale 200 57.4300 USD
ORD Sale 203 57.0000 USD
ORD Sale 220 57.5000 USD
ORD Sale 235 57.3700 USD
ORD Sale 278 57.2749 USD
ORD Sale 296 57.3947 USD
ORD Sale 300 57.2700 USD
ORD Sale 300 57.3316 USD
ORD Sale 300 57.3966 USD
ORD Sale 300 57.5533 USD
ORD Sale 303 57.3300 USD
ORD Sale 369 57.0954 USD
ORD Sale 400 57.3027 USD
ORD Sale 422 57.5279 USD
ORD Sale 438 57.2239 USD
ORD Sale 495 57.3021 USD
ORD Sale 500 57.3540 USD
ORD Sale 500 57.3602 USD
ORD Sale 500 57.3800 USD
ORD Sale 500 57.5420 USD
ORD Sale 576 57.0331 USD
ORD Sale 600 57.5600 USD
ORD Sale 700 57.2128 USD
ORD Sale 774 57.1408 USD
ORD Sale 900 57.2166 USD
ORD Sale 999 57.4551 USD
ORD Sale 1,069 57.2001 USD
ORD Sale 1,083 57.5817 USD
ORD Sale 1,098 57.2305 USD
ORD Sale 1,100 57.2422 USD
ORD Sale 1,200 57.1083 USD
ORD Sale 1,200 57.2908 USD
ORD Sale 1,200 57.4158 USD
ORD Sale 1,218 57.3785 USD
ORD Sale 1,260 57.1680 USD
ORD Sale 1,600 57.2918 USD
ORD Sale 1,600 57.4590 USD
ORD Sale 1,800 57.3955 USD
ORD Sale 1,900 57.3571 USD
ORD Sale 2,194 57.3769 USD
ORD Sale 2,260 57.3791 USD
ORD Sale 2,300 57.5152 USD
ORD Sale 2,308 57.3706 USD
ORD Sale 2,790 57.1497 USD
ORD Sale 2,791 57.4437 USD
ORD Sale 2,800 57.3639 USD
ORD Sale 3,045 57.5405 USD
ORD Sale 3,400 57.3084 USD
ORD Sale 3,500 57.2544 USD
ORD Sale 3,500 57.2811 USD
ORD Sale 3,600 57.3761 USD
ORD Sale 3,700 57.3005 USD
ORD Sale 4,166 57.2681 USD
ORD Sale 4,355 57.3469 USD
ORD Sale 4,477 57.3819 USD
ORD Sale 4,500 57.2479 USD
ORD Sale 4,500 57.3016 USD
ORD Sale 4,550 57.4503 USD
ORD Sale 4,580 57.2500 USD
ORD Sale 4,953 57.5212 USD
ORD Sale 5,000 57.7500 USD
ORD Sale 5,750 57.3000 USD
ORD Sale 5,764 57.3229 USD
ORD Sale 5,776 57.2535 USD
ORD Sale 7,194 57.4132 USD
ORD Sale 7,474 57.3512 USD
ORD Sale 7,838 57.6708 USD
ORD Sale 8,513 57.5153 USD
ORD Sale 8,536 57.4336 USD
ORD Sale 9,400 57.4448 USD
ORD Sale 9,685 57.3776 USD
ORD Sale 9,800 57.3269 USD
ORD Sale 10,287 57.4585 USD
ORD Sale 13,200 57.2923 USD
ORD Sale 13,385 57.3365 USD
ORD Sale 13,620 57.2801 USD
ORD Sale 16,800 57.3711 USD
ORD Sale 17,000 57.3685 USD
ORD Sale 21,662 57.2605 USD
ORD Sale 22,892 57.3728 USD
ORD Sale 23,885 57.5119 USD
ORD Sale 41,977 57.3735 USD
ORD Sale 52,700 57.3725 USD
ORD Sale 77,909 57.2870 USD
ORD Sale 85,203 57.2706 USD
ORD Sale 93,087 57.3749 USD
ORD Sale 168,573 57.8458 USD
ORD Sale 195,685 57.4092 USD
ORD Sale 196,556 57.3333 USD
ORD Sale 2,358,794 57.2300 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 41,977 57.3162 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 Purchasing 2,200 62.5 USD American 22 Nov 2014 0.4886 USD
ORD Call Options Purchasing 1,800 62.5 USD American 22 Nov 2014 0.5000 USD
ORD Call Options Selling 300 62.5 USD American 22 Nov 2014 0.5000 USD
ORD Put Options Purchasing 1,700 52.5 USD American 22 Nov 2014 0.7382 USD
ORD Put Options Purchasing 900 52.5 USD American 22 Nov 2014 0.7500 USD
ORD Put Options Purchasing 500 55 USD American 22 Nov 2014 1.3000 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: 2 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 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 -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 -45,400 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 -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 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 169,900 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 433,800 57.5000 American 22 Nov 2014
ORD Call Options Purchased 8,000 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 400 62.5000 American 15 Jan 2016
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 -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 -19,300 62.5000 American 17 Jan 2015
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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