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: 7 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: 5,035,249 0.32% 4,540,362 0.29%
           
(2) Derivatives (other than
options): 3,348,414 0.21% 0 0.00%
           
(3) Options and agreements to
purchase/sell: 6,644,489 0.42% 8,654,500 0.54%
           
 
TOTAL: 15,051,894 0.95% 13,194,862 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 50 56.9800 USD
ORD Purchase 60 57.0400 USD
ORD Purchase 76 57.0000 USD
ORD Purchase 100 56.8550 USD
ORD Purchase 100 56.9000 USD
ORD Purchase 128 56.8700 USD
ORD Purchase 168 56.8023 USD
ORD Purchase 200 56.8850 USD
ORD Purchase 200 56.9150 USD
ORD Purchase 200 57.0150 USD
ORD Purchase 200 57.0250 USD
ORD Purchase 300 56.7700 USD
ORD Purchase 300 56.8566 USD
ORD Purchase 340 57.0235 USD
ORD Purchase 400 56.7750 USD
ORD Purchase 416 56.9700 USD
ORD Purchase 500 56.9399 USD
ORD Purchase 500 57.0800 USD
ORD Purchase 510 56.8600 USD
ORD Purchase 600 56.6865 USD
ORD Purchase 600 56.7400 USD
ORD Purchase 877 57.4400 USD
ORD Purchase 900 56.8277 USD
ORD Purchase 1,200 56.9075 USD
ORD Purchase 1,556 57.8100 USD
ORD Purchase 2,000 57.0905 USD
ORD Purchase 2,100 56.8752 USD
ORD Purchase 2,405 56.8127 USD
ORD Purchase 2,421 56.8286 USD
ORD Purchase 2,471 56.8297 USD
ORD Purchase 2,500 56.8008 USD
ORD Purchase 2,900 56.9520 USD
ORD Purchase 3,000 57.1176 USD
ORD Purchase 3,300 57.1451 USD
ORD Purchase 4,200 56.7623 USD
ORD Purchase 4,309 56.8721 USD
ORD Purchase 4,509 56.8198 USD
ORD Purchase 4,795 56.9218 USD
ORD Purchase 4,852 56.9755 USD
ORD Purchase 4,974 56.9210 USD
ORD Purchase 5,268 56.8865 USD
ORD Purchase 7,200 56.9986 USD
ORD Purchase 7,378 56.9431 USD
ORD Purchase 8,700 56.8998 USD
ORD Purchase 11,160 56.9249 USD
ORD Purchase 11,779 56.9094 USD
ORD Purchase 12,600 56.8067 USD
ORD Purchase 15,902 57.1507 USD
ORD Purchase 16,529 56.8506 USD
ORD Purchase 19,695 56.9201 USD
ORD Purchase 20,940 56.9661 USD
ORD Purchase 21,068 56.9381 USD
ORD Purchase 37,031 56.9657 USD
ORD Purchase 37,393 56.9454 USD
ORD Purchase 40,559 56.9511 USD
ORD Purchase 42,875 56.8896 USD
ORD Purchase 46,426 56.9707 USD
ORD Purchase 49,500 57.0107 USD
ORD Purchase 50,803 56.9667 USD
ORD Purchase 51,200 56.9802 USD
ORD Purchase 74,157 56.9089 USD
ORD Purchase 76,362 56.9852 USD
ORD Purchase 85,494 57.0061 USD
ORD Purchase 93,822 56.9077 USD
ORD Purchase 2,325,793 56.6500 USD
ORD Sale 30 56.7900 USD
ORD Sale 34 57.2500 USD
ORD Sale 50 56.9800 USD
ORD Sale 100 57.0150 USD
ORD Sale 100 57.0700 USD
ORD Sale 113 56.6300 USD
ORD Sale 152 57.0000 USD
ORD Sale 157 56.8212 USD
ORD Sale 200 56.6800 USD
ORD Sale 200 56.7000 USD
ORD Sale 200 56.8600 USD
ORD Sale 200 56.9250 USD
ORD Sale 200 56.9500 USD
ORD Sale 200 57.1550 USD
ORD Sale 300 57.1400 USD
ORD Sale 300 57.2600 USD
ORD Sale 400 57.1075 USD
ORD Sale 400 57.1600 USD
ORD Sale 470 56.9302 USD
ORD Sale 500 56.7400 USD
ORD Sale 500 57.0800 USD
ORD Sale 516 56.9700 USD
ORD Sale 546 56.9423 USD
ORD Sale 700 56.8250 USD
ORD Sale 700 56.8300 USD
ORD Sale 700 56.8714 USD
ORD Sale 766 57.4400 USD
ORD Sale 879 56.8513 USD
ORD Sale 1,000 57.4000 USD
ORD Sale 1,061 56.8047 USD
ORD Sale 1,200 56.8750 USD
ORD Sale 1,352 56.9982 USD
ORD Sale 1,551 57.1580 USD
ORD Sale 1,556 57.8100 USD
ORD Sale 1,600 57.0200 USD
ORD Sale 1,606 56.9002 USD
ORD Sale 1,797 56.8478 USD
ORD Sale 1,800 56.7913 USD
ORD Sale 1,950 56.8566 USD
ORD Sale 2,250 57.0364 USD
ORD Sale 2,352 56.9261 USD
ORD Sale 2,800 57.0028 USD
ORD Sale 2,800 57.0680 USD
ORD Sale 2,958 56.7418 USD
ORD Sale 3,008 56.9450 USD
ORD Sale 3,050 57.0307 USD
ORD Sale 3,100 56.9797 USD
ORD Sale 3,276 56.8666 USD
ORD Sale 3,696 56.9434 USD
ORD Sale 3,750 57.0181 USD
ORD Sale 3,829 56.8978 USD
ORD Sale 4,045 56.9241 USD
ORD Sale 4,250 57.0378 USD
ORD Sale 4,267 56.9488 USD
ORD Sale 4,400 57.0375 USD
ORD Sale 4,526 56.9238 USD
ORD Sale 4,737 56.8627 USD
ORD Sale 5,500 57.1483 USD
ORD Sale 5,771 57.0252 USD
ORD Sale 6,359 56.8580 USD
ORD Sale 6,369 56.9304 USD
ORD Sale 6,376 56.8904 USD
ORD Sale 7,419 56.9441 USD
ORD Sale 7,951 57.1507 USD
ORD Sale 8,800 56.9623 USD
ORD Sale 9,500 56.9365 USD
ORD Sale 9,600 57.0470 USD
ORD Sale 10,669 56.9062 USD
ORD Sale 10,764 56.8687 USD
ORD Sale 11,248 56.9338 USD
ORD Sale 12,418 57.0417 USD
ORD Sale 12,875 56.9160 USD
ORD Sale 13,000 56.9181 USD
ORD Sale 15,640 56.9944 USD
ORD Sale 16,561 56.9045 USD
ORD Sale 21,200 56.9864 USD
ORD Sale 23,121 57.0317 USD
ORD Sale 24,252 56.8980 USD
ORD Sale 44,500 56.9879 USD
ORD Sale 93,230 56.9074 USD
ORD Sale 118,807 56.9422 USD
ORD Sale 333,000 56.9738 USD
ORD Sale 2,323,552 56.6500 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 1,400 57.5 USD American 18 Oct 2014 0.4100 USD
ORD Call Options Purchasing 1,400 57.5 USD American 22 Nov 2014 1.4035 USD
ORD Call Options Purchasing 38,200 60 USD American 22 Nov 2014 0.6054 USD
ORD Call Options Purchasing 500 60 USD American 22 Nov 2014 0.7500 USD
ORD Call Options Purchasing 1,600 65 USD American 15 Jan 2016 3.0000 USD
ORD Call Options Selling 1,000 45 USD American 15 Jan 2016 13.5000 USD
ORD Put Options Purchasing 500 52.5 USD American 22 Nov 2014 0.6500 USD
ORD Put Options Purchasing 1,400 55 USD American 18 Oct 2014 0.3100 USD
ORD Put Options Purchasing 600 60 USD American 17 Jan 2015 4.8000 USD
ORD Put Options Selling 100 60 USD American 17 Jan 2015 5.1700 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: 8 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 -45,000 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 -795,400 52.5000 American 22 Nov 2014
ORD Put Options Purchased -29,000 52.5000 American 16 Jan 2015
ORD Put Options Purchased -198,500 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 -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 -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 1,300 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 168,600 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 4,489 57.5000 American 21 Nov 2014
ORD Call Options Purchased 495,400 57.5000 American 22 Nov 2014
ORD Call Options Purchased 7,900 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 59,800 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 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 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 -1,100 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 -4,800 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 -19,200 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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