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: 3 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: 5,133,164 0.32% 4,381,528 0.28%
           
(2) Derivatives (other than
options): 3,348,414 0.21% 0 0.00%
           
(3) Options and agreements to
purchase/sell: 6,541,100 0.41% 8,653,000 0.54%
           
(4)
TOTAL: 15,022,678 0.94% 13,034,528 0.82%

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 2 57.9400 USD
ORD Purchase 8 58.5050 USD
ORD Purchase 100 58.5150 USD
ORD Purchase 100 58.6600 USD
ORD Purchase 120 57.4016 USD
ORD Purchase 164 57.6500 USD
ORD Purchase 200 57.9500 USD
ORD Purchase 200 58.1800 USD
ORD Purchase 200 58.3850 USD
ORD Purchase 200 58.5300 USD
ORD Purchase 311 58.5280 USD
ORD Purchase 330 58.1636 USD
ORD Purchase 383 57.7284 USD
ORD Purchase 400 57.7612 USD
ORD Purchase 400 58.2250 USD
ORD Purchase 426 58.4148 USD
ORD Purchase 514 58.5190 USD
ORD Purchase 600 58.6750 USD
ORD Purchase 600 58.7150 USD
ORD Purchase 700 58.4714 USD
ORD Purchase 832 58.5308 USD
ORD Purchase 875 58.5217 USD
ORD Purchase 900 58.6655 USD
ORD Purchase 983 57.9144 USD
ORD Purchase 1,000 58.4720 USD
ORD Purchase 1,000 58.5420 USD
ORD Purchase 1,100 58.4872 USD
ORD Purchase 1,300 58.0646 USD
ORD Purchase 1,300 58.6644 USD
ORD Purchase 1,383 58.1027 USD
ORD Purchase 1,400 58.4757 USD
ORD Purchase 1,400 58.5263 USD
ORD Purchase 1,461 58.3104 USD
ORD Purchase 1,600 58.4400 USD
ORD Purchase 1,600 58.5278 USD
ORD Purchase 1,700 57.7830 USD
ORD Purchase 1,700 58.0152 USD
ORD Purchase 1,764 58.3100 USD
ORD Purchase 1,800 58.3197 USD
ORD Purchase 1,900 58.5334 USD
ORD Purchase 1,973 57.3800 USD
ORD Purchase 2,300 58.6500 USD
ORD Purchase 2,514 58.4938 USD
ORD Purchase 2,600 58.3784 USD
ORD Purchase 2,600 58.3785 USD
ORD Purchase 3,500 58.2697 USD
ORD Purchase 3,900 58.3880 USD
ORD Purchase 4,032 58.2201 USD
ORD Purchase 5,800 57.9250 USD
ORD Purchase 6,100 58.6469 USD
ORD Purchase 6,308 58.4875 USD
ORD Purchase 6,703 57.9354 USD
ORD Purchase 6,720 58.1710 USD
ORD Purchase 6,778 58.4927 USD
ORD Purchase 7,280 58.0094 USD
ORD Purchase 7,551 57.9572 USD
ORD Purchase 8,298 58.1790 USD
ORD Purchase 8,380 57.9764 USD
ORD Purchase 8,600 58.1671 USD
ORD Purchase 9,029 57.9367 USD
ORD Purchase 9,058 58.4514 USD
ORD Purchase 11,760 57.8166 USD
ORD Purchase 11,801 58.2050 USD
ORD Purchase 12,243 58.2109 USD
ORD Purchase 13,837 58.0885 USD
ORD Purchase 14,500 58.2137 USD
ORD Purchase 18,752 57.8833 USD
ORD Purchase 19,206 57.9610 USD
ORD Purchase 21,616 57.9418 USD
ORD Purchase 24,470 57.9131 USD
ORD Purchase 26,700 57.9967 USD
ORD Purchase 27,544 57.9528 USD
ORD Purchase 30,119 56.6700 USD
ORD Purchase 31,615 57.9222 USD
ORD Purchase 32,237 58.5079 USD
ORD Purchase 34,767 57.9128 USD
ORD Purchase 38,500 58.4020 USD
ORD Purchase 39,769 57.9561 USD
ORD Purchase 40,457 57.8992 USD
ORD Purchase 53,760 57.5700 USD
ORD Purchase 72,483 57.8390 USD
ORD Purchase 77,220 58.1110 USD
ORD Purchase 106,763 58.2591 USD
ORD Purchase 111,220 57.9898 USD
ORD Purchase 200,069 57.9191 USD
ORD Purchase 268,800 57.8400 USD
ORD Purchase 282,240 58.5262 USD
ORD Purchase 295,680 57.8383 USD
ORD Purchase 2,344,340 58.6900 USD
ORD Sale 31 58.6000 USD
ORD Sale 51 58.2500 USD
ORD Sale 52 58.5600 USD
ORD Sale 67 58.1900 USD
ORD Sale 100 58.1700 USD
ORD Sale 100 58.2200 USD
ORD Sale 100 58.6300 USD
ORD Sale 119 58.0300 USD
ORD Sale 157 58.4663 USD
ORD Sale 200 58.0550 USD
ORD Sale 200 58.4900 USD
ORD Sale 200 58.4975 USD
ORD Sale 200 58.5650 USD
ORD Sale 245 58.6218 USD
ORD Sale 300 58.5466 USD
ORD Sale 300 58.5500 USD
ORD Sale 300 58.5966 USD
ORD Sale 300 58.6033 USD
ORD Sale 300 58.6200 USD
ORD Sale 300 58.6800 USD
ORD Sale 396 58.4685 USD
ORD Sale 400 58.5375 USD
ORD Sale 400 58.6225 USD
ORD Sale 400 58.6400 USD
ORD Sale 500 58.2480 USD
ORD Sale 500 58.3880 USD
ORD Sale 500 58.5150 USD
ORD Sale 500 58.5620 USD
ORD Sale 582 58.3161 USD
ORD Sale 600 58.0700 USD
ORD Sale 600 58.3016 USD
ORD Sale 600 58.6750 USD
ORD Sale 600 58.7150 USD
ORD Sale 609 58.5411 USD
ORD Sale 645 58.5070 USD
ORD Sale 700 58.0600 USD
ORD Sale 800 58.5262 USD
ORD Sale 869 58.6100 USD
ORD Sale 900 58.6241 USD
ORD Sale 975 58.5803 USD
ORD Sale 990 58.6159 USD
ORD Sale 1,000 58.0110 USD
ORD Sale 1,016 58.5564 USD
ORD Sale 1,100 58.5000 USD
ORD Sale 1,100 58.6172 USD
ORD Sale 1,257 58.4938 USD
ORD Sale 1,259 57.7581 USD
ORD Sale 1,276 58.2959 USD
ORD Sale 1,700 58.5352 USD
ORD Sale 1,932 58.0341 USD
ORD Sale 2,000 58.5075 USD
ORD Sale 2,100 57.8319 USD
ORD Sale 2,100 57.9795 USD
ORD Sale 2,200 57.7204 USD
ORD Sale 2,200 58.4145 USD
ORD Sale 2,522 58.5259 USD
ORD Sale 2,600 58.3784 USD
ORD Sale 2,853 57.3800 USD
ORD Sale 3,568 58.4445 USD
ORD Sale 3,832 58.2201 USD
ORD Sale 3,968 58.4315 USD
ORD Sale 4,300 58.5100 USD
ORD Sale 4,446 58.1175 USD
ORD Sale 4,500 58.5430 USD
ORD Sale 4,579 58.4690 USD
ORD Sale 4,709 58.4164 USD
ORD Sale 4,972 58.0035 USD
ORD Sale 5,000 58.0948 USD
ORD Sale 5,325 58.5453 USD
ORD Sale 5,639 58.4988 USD
ORD Sale 6,110 58.3929 USD
ORD Sale 6,213 58.0927 USD
ORD Sale 6,400 58.4877 USD
ORD Sale 9,056 58.5288 USD
ORD Sale 10,061 57.9558 USD
ORD Sale 10,532 58.5250 USD
ORD Sale 12,100 58.4258 USD
ORD Sale 12,800 58.2779 USD
ORD Sale 13,266 58.5183 USD
ORD Sale 14,302 58.4756 USD
ORD Sale 17,511 58.4950 USD
ORD Sale 17,512 58.5308 USD
ORD Sale 17,562 58.3550 USD
ORD Sale 18,136 58.5184 USD
ORD Sale 20,600 58.5088 USD
ORD Sale 29,416 58.5315 USD
ORD Sale 29,496 57.9945 USD
ORD Sale 30,119 56.6700 USD
ORD Sale 41,200 58.5269 USD
ORD Sale 41,712 58.5010 USD
ORD Sale 44,800 57.8762 USD
ORD Sale 45,400 58.1771 USD
ORD Sale 50,900 57.9675 USD
ORD Sale 52,462 57.9391 USD
ORD Sale 53,885 57.9735 USD
ORD Sale 62,452 58.0627 USD
ORD Sale 65,819 58.5173 USD
ORD Sale 100,000 58.0001 USD
ORD Sale 107,283 58.2654 USD
ORD Sale 111,220 57.9898 USD
ORD Sale 121,060 57.7200 USD
ORD Sale 122,538 57.9024 USD
ORD Sale 162,597 57.8842 USD
ORD Sale 190,300 57.9461 USD
ORD Sale 336,000 57.8400 USD
ORD Sale 2,348,544 58.6900 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 57.5 USD American 22 Nov 2014 2.4000 USD
ORD Call Options Selling 2,000 62.5 USD American 15 Jan 2016 4.4000 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: 6 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.

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 -45,000 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 434,000 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 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 -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 -6,600 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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