REG-BARCLAYS PLC Form 8.3 - Abbvie Inc - Amendment

Wed Jul 2, 2014 12:10pm EDT

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Form 8.3 - Abbvie Inc - Amendment

FORM 8.3 AMENDMENT

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 are being disclosed:  

Barclays PLC.

(b) Owner or controller of interests and short positions disclosed, if different from 1(a):

The naming of nominee or vehicle companies is insufficient

   
(c) Name of offeror/offeree in relation to whose relevant securities this form relates:

Use a separate form for each offeror/offeree

 

ABBVIE INC

(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 July 2014

(f) Has the discloser previously disclosed, or are they today disclosing, under the Code in respect of any other party to this offer?

 

YES: YES:

SHIRE PLC

 

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: 2,013,830 0.13% 815,143 0.05%
           
(2) Derivatives (other than
options): 326,399 0.02% 0 0.00%
           
(3) Options and agreements to
purchase/sell: 157,400 0.01% 432,000 0.03%
           
(4) TOTAL:
2,497,629 0.16% 1,247,143 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 36 56.3700 USD
ORD Purchase 52 56.9899 USD
ORD Purchase 54 56.9300 USD
ORD Purchase 60 56.8300 USD
ORD Purchase 61 56.3300 USD
ORD Purchase 100 56.3200 USD
ORD Purchase 100 56.6000 USD
ORD Purchase 100 56.6100 USD
ORD Purchase 100 56.7300 USD
ORD Purchase 100 57.0350 USD
ORD Purchase 100 57.0700 USD
ORD Purchase 102 56.8400 USD
ORD Purchase 164 57.0500 USD
ORD Purchase 200 56.7200 USD
ORD Purchase 200 56.9150 USD
ORD Purchase 200 57.0325 USD
ORD Purchase 235 56.7733 USD
ORD Purchase 300 56.8100 USD
ORD Purchase 300 57.0083 USD
ORD Purchase 300 57.0533 USD
ORD Purchase 400 56.9862 USD
ORD Purchase 400 57.0050 USD
ORD Purchase 518 57.0461 USD
ORD Purchase 606 57.0400 USD
ORD Purchase 634 56.9400 USD
ORD Purchase 681 56.6575 USD
ORD Purchase 900 56.6444 USD
ORD Purchase 999 57.0459 USD
ORD Purchase 1,000 57.0090 USD
ORD Purchase 1,100 57.0445 USD
ORD Purchase 1,100 57.0600 USD
ORD Purchase 1,119 56.6060 USD
ORD Purchase 1,499 56.7811 USD
ORD Purchase 1,512 56.8900 USD
ORD Purchase 1,555 56.7810 USD
ORD Purchase 1,560 57.0373 USD
ORD Purchase 1,680 56.7437 USD
ORD Purchase 1,800 57.0499 USD
ORD Purchase 2,187 56.7514 USD
ORD Purchase 2,600 57.0200 USD
ORD Purchase 2,700 56.7122 USD
ORD Purchase 2,700 57.0428 USD
ORD Purchase 3,001 56.6280 USD
ORD Purchase 3,200 56.6421 USD
ORD Purchase 3,200 56.7464 USD
ORD Purchase 3,300 56.4200 USD
ORD Purchase 3,500 56.6091 USD
ORD Purchase 3,900 57.0022 USD
ORD Purchase 4,500 56.9844 USD
ORD Purchase 4,960 56.8589 USD
ORD Purchase 5,228 56.8796 USD
ORD Purchase 5,400 56.6461 USD
ORD Purchase 6,380 56.8496 USD
ORD Purchase 7,369 56.4455 USD
ORD Purchase 7,600 56.8453 USD
ORD Purchase 7,674 56.6109 USD
ORD Purchase 7,860 57.0492 USD
ORD Purchase 9,487 56.6896 USD
ORD Purchase 9,598 56.8682 USD
ORD Purchase 14,676 56.5688 USD
ORD Purchase 21,511 56.8610 USD
ORD Purchase 28,638 56.5321 USD
ORD Purchase 38,256 56.6353 USD
ORD Purchase 49,219 56.8336 USD
ORD Purchase 59,328 56.8012 USD
ORD Sale 2 56.8400 USD
ORD Sale 3 56.3700 USD
ORD Sale 52 56.9899 USD
ORD Sale 54 56.9000 USD
ORD Sale 60 56.8300 USD
ORD Sale 72 56.9400 USD
ORD Sale 74 56.3750 USD
ORD Sale 100 56.6200 USD
ORD Sale 100 57.0300 USD
ORD Sale 173 57.0315 USD
ORD Sale 180 56.4655 USD
ORD Sale 200 56.7450 USD
ORD Sale 200 56.9150 USD
ORD Sale 200 56.9300 USD
ORD Sale 260 56.9798 USD
ORD Sale 270 56.6600 USD
ORD Sale 300 56.8866 USD
ORD Sale 300 56.9050 USD
ORD Sale 500 57.0340 USD
ORD Sale 700 57.0600 USD
ORD Sale 800 56.6101 USD
ORD Sale 939 56.8852 USD
ORD Sale 1,127 57.0266 USD
ORD Sale 1,200 56.7038 USD
ORD Sale 1,230 56.8514 USD
ORD Sale 1,527 56.7079 USD
ORD Sale 1,527 56.7810 USD
ORD Sale 1,700 56.9871 USD
ORD Sale 1,761 56.8691 USD
ORD Sale 1,809 56.8315 USD
ORD Sale 2,235 56.8742 USD
ORD Sale 2,400 56.6686 USD
ORD Sale 3,100 57.0200 USD
ORD Sale 3,300 56.4200 USD
ORD Sale 3,407 56.8798 USD
ORD Sale 3,441 56.8368 USD
ORD Sale 3,500 56.8968 USD
ORD Sale 4,600 57.0170 USD
ORD Sale 4,797 56.7004 USD
ORD Sale 5,300 56.9480 USD
ORD Sale 5,346 56.8900 USD
ORD Sale 6,283 56.8574 USD
ORD Sale 6,354 56.8937 USD
ORD Sale 8,256 56.9098 USD
ORD Sale 10,199 56.6990 USD
ORD Sale 13,224 56.8122 USD
ORD Sale 14,518 56.6465 USD
ORD Sale 18,789 56.8481 USD
ORD Sale 20,642 57.0450 USD
ORD Sale 60,530 56.8005 USD
ORD Sale 93,582 56.5950 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 100 60 USD American 22 Nov 2014 1.3700 USD
ORD Call Options Selling 1,400 40 USD American 15 Jan 2016 17.1000 USD
ORD Put Options Selling 400 42.5 USD American 17 Jan 2015 0.6000 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 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 person whose open positions are being disclosed:  

Barclays PLC.

Name of offeror/offeree in relation to whose relevant securities the disclosure relates:

ABBVIE INC

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 -5,400 52.5000 American 17 Jan 2015
ORD Put Options Purchased -900 55.0000 American 16 Aug 2014
ORD Put Options Purchased -300 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 2,100 45.0000 American 17 Jan 2015
ORD Put Options Written 3,800 47.5000 American 22 Nov 2014
ORD Put Options Written 7,200 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 5,700 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 42,600 55.0000 American 16 Aug 2014
ORD Call Options Purchased 5,700 55.0000 American 22 Nov 2014
ORD Call Options Purchased 5,100 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 5,200 57.5000 American 22 Nov 2014
ORD Call Options Purchased 4,600 57.5000 American 17 Jan 2015
ORD Call Options Purchased 100 57.5000 American 15 Jan 2016
ORD Call Options Purchased 600 60.0000 American 16 Aug 2014
ORD Call Options Purchased 12,700 60.0000 American 22 Nov 2014
ORD Call Options Purchased 600 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 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 -30,300 55.0000 American 19 Jul 2014
ORD Call Options Written -2,500 55.0000 American 16 Aug 2014
ORD Call Options Written -18,900 57.5000 American 19 Jul 2014
ORD Call Options Written -113,200 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.

BARCLAYS PLC

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