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: 2 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: 5,143,658 0.32% 4,550,285 0.29%
           
(2) Derivatives (other than
options): 3,352,446 0.21% 0 0.00%
           
(3) Options and agreements to
purchase/sell: 6,540,700 0.41% 8,650,000 0.54%
           
 
TOTAL: 15,036,804 0.95% 13,200,285 0.83%

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 9 57.3900 USD
ORD Purchase 15 56.5000 USD
ORD Purchase 16 57.2600 USD
ORD Purchase 34 57.3800 USD
ORD Purchase 98 56.7100 USD
ORD Purchase 100 56.6200 USD
ORD Purchase 100 56.6600 USD
ORD Purchase 100 56.7050 USD
ORD Purchase 100 56.7090 USD
ORD Purchase 100 56.7300 USD
ORD Purchase 100 56.7400 USD
ORD Purchase 100 56.7750 USD
ORD Purchase 100 57.2700 USD
ORD Purchase 148 57.2500 USD
ORD Purchase 200 56.6300 USD
ORD Purchase 200 56.7275 USD
ORD Purchase 300 56.3866 USD
ORD Purchase 300 56.7250 USD
ORD Purchase 350 56.6485 USD
ORD Purchase 400 56.7436 USD
ORD Purchase 446 56.4446 USD
ORD Purchase 500 56.6100 USD
ORD Purchase 500 56.6260 USD
ORD Purchase 500 56.7520 USD
ORD Purchase 600 56.4133 USD
ORD Purchase 600 56.7533 USD
ORD Purchase 800 56.6818 USD
ORD Purchase 857 56.8637 USD
ORD Purchase 900 56.7333 USD
ORD Purchase 1,000 56.6019 USD
ORD Purchase 1,100 56.2781 USD
ORD Purchase 1,172 56.5834 USD
ORD Purchase 1,200 56.6391 USD
ORD Purchase 1,200 56.6945 USD
ORD Purchase 1,200 57.0616 USD
ORD Purchase 1,300 56.5246 USD
ORD Purchase 1,368 56.6899 USD
ORD Purchase 1,384 56.4006 USD
ORD Purchase 1,431 56.5956 USD
ORD Purchase 2,100 56.6121 USD
ORD Purchase 2,359 56.6472 USD
ORD Purchase 2,715 56.4598 USD
ORD Purchase 3,000 56.5758 USD
ORD Purchase 3,300 56.6001 USD
ORD Purchase 3,416 57.3676 USD
ORD Purchase 3,495 56.5358 USD
ORD Purchase 3,513 56.6263 USD
ORD Purchase 3,614 56.6504 USD
ORD Purchase 3,833 56.5361 USD
ORD Purchase 4,244 56.4815 USD
ORD Purchase 4,400 56.5532 USD
ORD Purchase 4,799 56.6269 USD
ORD Purchase 4,865 57.0265 USD
ORD Purchase 5,400 56.6278 USD
ORD Purchase 5,600 56.5185 USD
ORD Purchase 5,882 56.5142 USD
ORD Purchase 6,249 57.2300 USD
ORD Purchase 6,329 56.5233 USD
ORD Purchase 7,300 56.6865 USD
ORD Purchase 7,460 56.4780 USD
ORD Purchase 7,772 56.5925 USD
ORD Purchase 8,036 57.2622 USD
ORD Purchase 8,589 56.4421 USD
ORD Purchase 8,700 56.4302 USD
ORD Purchase 9,228 56.5967 USD
ORD Purchase 10,714 56.5190 USD
ORD Purchase 18,874 56.4912 USD
ORD Purchase 20,100 56.6678 USD
ORD Purchase 21,222 56.5577 USD
ORD Purchase 26,800 56.6439 USD
ORD Purchase 29,941 56.6239 USD
ORD Purchase 45,887 56.6292 USD
ORD Purchase 53,129 56.5783 USD
ORD Purchase 54,166 56.8575 USD
ORD Purchase 54,661 56.5432 USD
ORD Purchase 76,870 56.6536 USD
ORD Purchase 80,650 56.6331 USD
ORD Purchase 2,391,863 56.6700 USD
ORD Sale 45 57.5500 USD
ORD Sale 81 56.5000 USD
ORD Sale 81 56.6650 USD
ORD Sale 96 57.6500 USD
ORD Sale 100 56.1900 USD
ORD Sale 100 56.5850 USD
ORD Sale 100 56.5900 USD
ORD Sale 100 56.6100 USD
ORD Sale 100 56.6150 USD
ORD Sale 100 56.6800 USD
ORD Sale 100 56.7090 USD
ORD Sale 100 56.7400 USD
ORD Sale 100 57.2800 USD
ORD Sale 100 57.6000 USD
ORD Sale 105 57.3200 USD
ORD Sale 134 57.3155 USD
ORD Sale 186 56.5826 USD
ORD Sale 200 56.5825 USD
ORD Sale 200 57.0701 USD
ORD Sale 228 56.5022 USD
ORD Sale 253 56.6517 USD
ORD Sale 281 56.4693 USD
ORD Sale 300 56.3866 USD
ORD Sale 300 56.5050 USD
ORD Sale 300 56.5800 USD
ORD Sale 300 56.5966 USD
ORD Sale 300 56.7133 USD
ORD Sale 300 56.7750 USD
ORD Sale 368 57.5010 USD
ORD Sale 375 56.7416 USD
ORD Sale 400 56.7100 USD
ORD Sale 400 56.7325 USD
ORD Sale 400 57.3000 USD
ORD Sale 400 57.4325 USD
ORD Sale 450 56.9555 USD
ORD Sale 500 56.6290 USD
ORD Sale 566 57.2622 USD
ORD Sale 586 56.5834 USD
ORD Sale 599 57.2984 USD
ORD Sale 600 56.4708 USD
ORD Sale 700 56.6628 USD
ORD Sale 746 57.4675 USD
ORD Sale 800 56.5012 USD
ORD Sale 923 57.3579 USD
ORD Sale 1,000 56.5870 USD
ORD Sale 1,000 56.6390 USD
ORD Sale 1,009 TRANSFER
ORD Sale 1,102 56.6283 USD
ORD Sale 1,109 56.6067 USD
ORD Sale 1,300 56.6615 USD
ORD Sale 1,500 56.4886 USD
ORD Sale 1,792 56.7374 USD
ORD Sale 1,800 56.6833 USD
ORD Sale 1,900 56.4657 USD
ORD Sale 1,900 56.6744 USD
ORD Sale 2,055 56.7954 USD
ORD Sale 2,112 56.7052 USD
ORD Sale 2,300 56.5673 USD
ORD Sale 2,400 56.6602 USD
ORD Sale 2,600 56.6523 USD
ORD Sale 2,800 56.7117 USD
ORD Sale 2,821 56.4894 USD
ORD Sale 2,884 57.5700 USD
ORD Sale 3,000 56.5601 USD
ORD Sale 3,000 56.5851 USD
ORD Sale 3,000 56.6483 USD
ORD Sale 3,000 56.7173 USD
ORD Sale 3,200 57.2803 USD
ORD Sale 3,385 57.2587 USD
ORD Sale 3,600 56.6359 USD
ORD Sale 3,623 56.5526 USD
ORD Sale 3,800 56.6802 USD
ORD Sale 4,000 56.7028 USD
ORD Sale 4,100 56.6476 USD
ORD Sale 4,431 56.7338 USD
ORD Sale 4,600 56.6452 USD
ORD Sale 5,500 56.6910 USD
ORD Sale 6,249 57.2300 USD
ORD Sale 6,583 56.5619 USD
ORD Sale 6,600 56.5944 USD
ORD Sale 6,700 56.5063 USD
ORD Sale 6,987 56.6524 USD
ORD Sale 7,484 56.7347 USD
ORD Sale 7,642 56.6108 USD
ORD Sale 9,723 56.5531 USD
ORD Sale 11,307 56.6751 USD
ORD Sale 17,900 56.6668 USD
ORD Sale 19,645 56.6083 USD
ORD Sale 23,100 56.6663 USD
ORD Sale 24,533 56.4975 USD
ORD Sale 28,936 56.6585 USD
ORD Sale 37,334 56.6537 USD
ORD Sale 50,000 57.0962 USD
ORD Sale 86,822 56.6226 USD
ORD Sale 206,559 56.6366 USD
ORD Sale 2,345,251 56.6700 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 57.2300 USD
ORD SWAP Long 9,723 56.4965 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 40,600 55 USD American 18 Oct 2014 1.9000 USD
ORD Call Options Selling 5,000 62.5 USD American 15 Jan 2016 3.7600 USD
ORD Put Options Selling 400 50 USD American 22 Nov 2014 0.5300 USD
ORD Put Options Selling 100 52.5 USD American 20 Feb 2015 2.4800 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: 3 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 -1,400 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 -45,000 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 100 52.5000 American 20 Feb 2015
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 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 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 -40,600 55.0000 American 18 Oct 2014
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 -4,600 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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