Form 8.3 - Abbvie

Form 8.3 - Abbvie

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 July 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: 1,765,125 0.11% 840,646 0.05%
           
(2) Derivatives (other than
options): 329,603 0.02% 0 0.00%
           
(3) Options and agreements to
purchase/sell: 158,600 0.01% 433,400 0.03%
           
(4) TOTAL:
2,253,328 0.14% 1,274,046 0.08%

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 7 57.8400 USD
ORD Purchase 16 58.0600 USD
ORD Purchase 20 57.5700 USD
ORD Purchase 28 57.5400 USD
ORD Purchase 30 57.5600 USD
ORD Purchase 38 58.0250 USD
ORD Purchase 83 58.0700 USD
ORD Purchase 100 58.0500 USD
ORD Purchase 101 57.6600 USD
ORD Purchase 200 57.5450 USD
ORD Purchase 200 57.5750 USD
ORD Purchase 200 57.5850 USD
ORD Purchase 200 57.6400 USD
ORD Purchase 200 57.7100 USD
ORD Purchase 211 57.7800 USD
ORD Purchase 300 57.5800 USD
ORD Purchase 300 57.6900 USD
ORD Purchase 300 57.9800 USD
ORD Purchase 369 57.6902 USD
ORD Purchase 400 57.5525 USD
ORD Purchase 400 57.5625 USD
ORD Purchase 438 57.7868 USD
ORD Purchase 576 57.7092 USD
ORD Purchase 600 58.0400 USD
ORD Purchase 900 57.6666 USD
ORD Purchase 1,052 57.6827 USD
ORD Purchase 1,351 57.7449 USD
ORD Purchase 1,500 57.6106 USD
ORD Purchase 2,000 57.6970 USD
ORD Purchase 2,000 57.6971 USD
ORD Purchase 2,200 57.8100 USD
ORD Purchase 2,300 57.7110 USD
ORD Purchase 3,000 57.7900 USD
ORD Purchase 3,742 57.4608 USD
ORD Purchase 4,256 57.6017 USD
ORD Purchase 5,100 57.6999 USD
ORD Purchase 5,300 57.7246 USD
ORD Purchase 7,406 57.6183 USD
ORD Purchase 7,869 57.4000 USD
ORD Purchase 10,375 57.8416 USD
ORD Purchase 10,548 57.6904 USD
ORD Purchase 20,793 57.7713 USD
ORD Purchase 32,634 57.6816 USD
ORD Purchase 39,498 57.7346 USD
ORD Purchase 66,265 57.7002 USD
ORD Purchase 85,323 57.6670 USD
ORD Sale 20 57.5700 USD
ORD Sale 38 58.0250 USD
ORD Sale 80 58.0300 USD
ORD Sale 100 57.6700 USD
ORD Sale 100 57.8500 USD
ORD Sale 100 57.9900 USD
ORD Sale 170 57.6252 USD
ORD Sale 200 57.5400 USD
ORD Sale 200 57.5500 USD
ORD Sale 200 57.5600 USD
ORD Sale 200 57.5850 USD
ORD Sale 200 57.6600 USD
ORD Sale 200 58.0000 USD
ORD Sale 200 58.0450 USD
ORD Sale 230 57.5413 USD
ORD Sale 300 57.5566 USD
ORD Sale 300 57.8516 USD
ORD Sale 301 57.6870 USD
ORD Sale 375 57.7200 USD
ORD Sale 400 57.8325 USD
ORD Sale 400 58.0400 USD
ORD Sale 408 57.8522 USD
ORD Sale 428 57.6320 USD
ORD Sale 467 57.8081 USD
ORD Sale 492 57.7589 USD
ORD Sale 500 57.8498 USD
ORD Sale 500 57.8530 USD
ORD Sale 600 57.5483 USD
ORD Sale 600 57.8466 USD
ORD Sale 653 57.7116 USD
ORD Sale 702 57.8780 USD
ORD Sale 756 57.7515 USD
ORD Sale 1,000 57.6825 USD
ORD Sale 1,000 57.8691 USD
ORD Sale 1,000 57.8770 USD
ORD Sale 1,300 57.5973 USD
ORD Sale 1,384 57.8377 USD
ORD Sale 1,400 57.8553 USD
ORD Sale 1,401 57.6971 USD
ORD Sale 1,668 57.6712 USD
ORD Sale 1,700 57.5511 USD
ORD Sale 1,761 57.7444 USD
ORD Sale 2,000 57.6970 USD
ORD Sale 2,031 57.7070 USD
ORD Sale 2,200 57.8100 USD
ORD Sale 2,400 57.7166 USD
ORD Sale 2,500 57.7724 USD
ORD Sale 2,730 57.6725 USD
ORD Sale 2,760 57.9234 USD
ORD Sale 3,465 57.7297 USD
ORD Sale 3,499 57.8797 USD
ORD Sale 3,600 57.8066 USD
ORD Sale 4,006 57.7243 USD
ORD Sale 4,195 57.6657 USD
ORD Sale 4,200 57.7005 USD
ORD Sale 4,619 57.6697 USD
ORD Sale 5,100 57.6999 USD
ORD Sale 5,254 57.4000 USD
ORD Sale 5,899 57.7463 USD
ORD Sale 6,193 57.8425 USD
ORD Sale 8,158 57.6582 USD
ORD Sale 8,520 57.6757 USD
ORD Sale 8,600 57.7186 USD
ORD Sale 8,817 57.6724 USD
ORD Sale 9,112 57.4094 USD
ORD Sale 11,231 57.7756 USD
ORD Sale 13,511 57.6962 USD
ORD Sale 15,080 57.7117 USD
ORD Sale 16,317 57.6816 USD
ORD Sale 19,000 57.6636 USD
ORD Sale 19,693 57.7697 USD
ORD Sale 37,531 57.6470 USD
ORD Sale 67,092 57.6802 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 3,000 57.5 USD American 19 Jul 2014 0.8000 USD
ORD Call Options Purchasing 200 60 USD American 19 Jul 2014 0.2000 USD
ORD Call Options Selling 500 50 USD American 22 Nov 2014 8.2000 USD
ORD Call Options Selling 3,000 55 USD American 19 Jul 2014 2.7000 USD
ORD Call Options Selling 100 57.5 USD American 16 Aug 2014 2.0000 USD
ORD Call Options Selling 600 57.5 USD American 22 Nov 2014 3.2000 USD
ORD Put Options Selling 2,000 45 USD American 17 Jan 2015 0.6500 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 Jul 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 -300 25.0000 American 17 Jan 2015
ORD Put Options Purchased -100 32.5000 American 17 Jan 2015
ORD Put Options Purchased -100 32.5000 American 15 Jan 2016
ORD Put Options Purchased -600 35.0000 American 16 Aug 2014
ORD Put Options Purchased -14,100 35.0000 American 17 Jan 2015
ORD Put Options Purchased -500 37.5000 American 16 Aug 2014
ORD Put Options Purchased -8,300 37.5000 American 17 Jan 2015
ORD Put Options Purchased -500 37.5000 American 15 Jan 2016
ORD Put Options Purchased -2,600 40.0000 American 16 Aug 2014
ORD Put Options Purchased -9,700 40.0000 American 17 Jan 2015
ORD Put Options Purchased -500 40.0000 American 15 Jan 2016
ORD Put Options Purchased -1,400 42.5000 American 16 Aug 2014
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 -900 42.5000 American 15 Jan 2016
ORD Put Options Purchased -29,700 45.0000 American 16 Aug 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 -11,700 47.5000 American 16 Aug 2014
ORD Put Options Purchased -4,000 50.0000 American 16 Aug 2014
ORD Put Options Purchased -4,100 50.0000 American 22 Nov 2014
ORD Put Options Purchased -3,400 50.0000 American 17 Jan 2015
ORD Put Options Purchased -800 50.0000 American 15 Jan 2016
ORD Put Options Purchased -16,000 52.5000 American 19 Jul 2014
ORD Put Options Purchased -5,500 52.5000 American 17 Jan 2015
ORD Put Options Purchased -900 55.0000 American 16 Aug 2014
ORD Put Options Purchased -600 55.0000 American 22 Nov 2014
ORD Put Options Purchased -1,400 55.0000 American 17 Jan 2015
ORD Put Options Purchased -1,900 55.0000 American 15 Jan 2016
ORD Put Options Purchased -200 57.5000 American 17 Jan 2015
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 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 1,000 35.0000 American 15 Jan 2016
ORD Put Options Written 4,100 45.0000 American 17 Jan 2015
ORD Put Options Written 3,800 47.5000 American 22 Nov 2014
ORD Put Options Written 7,300 47.5000 American 17 Jan 2015
ORD Put Options Written 1,700 47.5000 American 15 Jan 2016
ORD Put Options Written 900 50.0000 American 19 Jul 2014
ORD Put Options Written 1,300 52.5000 American 19 Jul 2014
ORD Put Options Written 1,700 52.5000 American 16 Aug 2014
ORD Put Options Written 800 60.0000 American 17 Jan 2015
ORD Call Options Purchased 1,000 35.0000 American 17 Jan 2015
ORD Call Options Purchased 2,000 40.0000 American 16 Aug 2014
ORD Call Options Purchased 700 42.5000 American 17 Jan 2015
ORD Call Options Purchased 1,800 45.0000 American 16 Aug 2014
ORD Call Options Purchased 400 47.5000 American 16 Aug 2014
ORD Call Options Purchased 800 47.5000 American 22 Nov 2014
ORD Call Options Purchased 100 47.5000 American 15 Jan 2016
ORD Call Options Purchased 5,200 50.0000 American 22 Nov 2014
ORD Call Options Purchased 1,300 50.0000 American 17 Jan 2015
ORD Call Options Purchased 5,700 52.5000 American 16 Aug 2014
ORD Call Options Purchased 4,400 52.5000 American 22 Nov 2014
ORD Call Options Purchased 200 52.5000 American 17 Jan 2015
ORD Call Options Purchased 200 52.5000 American 15 Jan 2016
ORD Call Options Purchased 42,700 55.0000 American 16 Aug 2014
ORD Call Options Purchased 5,700 55.0000 American 22 Nov 2014
ORD Call Options Purchased 4,400 55.0000 American 17 Jan 2015
ORD Call Options Purchased 4,000 55.0000 American 15 Jan 2016
ORD Call Options Purchased 16,400 57.5000 American 16 Aug 2014
ORD Call Options Purchased 4,600 57.5000 American 22 Nov 2014
ORD Call Options Purchased 4,400 57.5000 American 17 Jan 2015
ORD Call Options Purchased 100 57.5000 American 15 Jan 2016
ORD Call Options Purchased 100 60.0000 American 19 Jul 2014
ORD Call Options Purchased 600 60.0000 American 16 Aug 2014
ORD Call Options Purchased 13,100 60.0000 American 22 Nov 2014
ORD Call Options Purchased 700 60.0000 American 17 Jan 2015
ORD Call Options Purchased 4,500 60.0000 American 15 Jan 2016
ORD Call Options Purchased 500 62.5000 American 16 Aug 2014
ORD Call Options Purchased 500 62.5000 American 22 Nov 2014
ORD Call Options Purchased 400 62.5000 American 17 Jan 2015
ORD Call Options Purchased 400 62.5000 American 15 Jan 2016
ORD Call Options Purchased 5,900 65.0000 American 17 Jan 2015
ORD Call Options Purchased 700 65.0000 American 15 Jan 2016
ORD Call Options Purchased 1,000 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 Written -1,000 35.0000 American 15 Jan 2016
ORD Call Options Written -1,000 37.5000 American 15 Jan 2016
ORD Call Options Written -8,900 40.0000 American 17 Jan 2015
ORD Call Options Written -5,000 40.0000 American 15 Jan 2016
ORD Call Options Written -3,400 45.0000 American 17 Jan 2015
ORD Call Options Written -100 45.0000 American 15 Jan 2016
ORD Call Options Written -800 47.5000 American 17 Jan 2015
ORD Call Options Written -100 50.0000 American 16 Aug 2014
ORD Call Options Written -100,000 50.0000 American 17 Jan 2015
ORD Call Options Written -3,300 50.0000 American 15 Jan 2016
ORD Call Options Written -12,000 52.5000 American 19 Jul 2014
ORD Call Options Written -2,400 52.5000 American 17 Jan 2015
ORD Call Options Written -800 52.5000 American 15 Jan 2016
ORD Call Options Written -33,300 55.0000 American 19 Jul 2014
ORD Call Options Written -2,500 55.0000 American 16 Aug 2014
ORD Call Options Written -15,900 57.5000 American 19 Jul 2014
ORD Call Options Written -114,200 57.5000 American 16 Aug 2014
ORD Call Options Written -1,300 57.5000 American 20 Feb 2015
ORD Call Options Written -200 70.0000 American 17 Jan 2015

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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