0QCV: BARCLAYS PLC: Form 8.3 - ABBVIE INC

  0QCV: BARCLAYS PLC: Form 8.3 - ABBVIE INC  UK Regulatory Announcement  LONDON                              FORM 8.5 (EPT/NON-RI)           PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY AN    EXEMPT PRINCIPAL TRADER WITHOUT RECOGNISED INTERMEDIARY (“RI”) STATUS (OR                       WHERE RI STATUS IS NOT APPLICABLE)                    Rule 8.5 of the Takeover Code (the “Code”)  1. KEY INFORMATION  (a) Name of exempt principal trader:                            Barclays PLC. (b) Name of offeror/offeree in relation to whose relevant securities this form relates:                                     Use a separate form for each offeror/offeree (c) Name of the party to the offer with which exempt principal  ABBVIE INC trader is connected: (d) Date position held/dealing undertaken:                      22 July 2014                                                                  YES: (e) Has the EPT previously disclosed, or is it today disclosing, under the Code in respect of any other party to     SHIRE PLC this offer?                                                                    2. POSITIONS OF THE EXEMPT PRINCIPAL TRADER  (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                            ORD                          security:                                        Interests           Short                                                                    Positions                                      Number      (%)     Number       (%) (1)               Relevant                   securities owned                   and/or controlled:   2,315,354   0.15%   4,360,602    0.27%                                                                     (2)               Derivatives (other                   than                   options):            3,085,885   0.19%   0            0.00%                                                                     (3)               Options and                   agreements to                   purchase/sell:       867,000     0.05%   2,549,200    0.16%                                                                     (4)               TOTAL:                                        6,268,239   0.39%   6,909,802    0.43%  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(b), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.  3. DEALINGS (IF ANY) BY THE EXEMPT PRINCIPAL TRADER  (a) Purchases and sales  Class of relevant  Purchase/sale  Number of   Price per unit security                           securities    ORD                 Purchase        2            54.1600 USD ORD                 Purchase        53           53.9800 USD ORD                 Purchase        81           53.8300 USD ORD                 Purchase        100          54.1100 USD ORD                 Purchase        100          54.1350 USD ORD                 Purchase        107          54.0980 USD ORD                 Purchase        138          54.0799 USD ORD                 Purchase        200          54.0750 USD ORD                 Purchase        200          54.0900 USD ORD                 Purchase        240          54.0600 USD ORD                 Purchase        300          54.0633 USD ORD                 Purchase        300          54.0783 USD ORD                 Purchase        300          54.1200 USD ORD                 Purchase        300          54.1233 USD ORD                 Purchase        343          54.0568 USD ORD                 Purchase        348          54.1489 USD ORD                 Purchase        370          54.0000 USD ORD                 Purchase        397          54.0794 USD ORD                 Purchase        400          54.0737 USD ORD                 Purchase        400          54.1000 USD ORD                 Purchase        400          54.1150 USD ORD                 Purchase        432          TRANSFER ORD                 Purchase        470          54.0700 USD ORD                 Purchase        480          54.1324 USD ORD                 Purchase        567          54.0724 USD ORD                 Purchase        576          54.1400 USD ORD                 Purchase        700          54.1300 USD ORD                 Purchase        770          54.0800 USD ORD                 Purchase        788          54.1500 USD ORD                 Purchase        900          54.0977 USD ORD                 Purchase        923          54.0935 USD ORD                 Purchase        949          54.1024 USD ORD                 Purchase        1,047        53.7919 USD ORD                 Purchase        1,100        53.9900 USD ORD                 Purchase        1,106        54.0663 USD ORD                 Purchase        1,152        54.0816 USD ORD                 Purchase        1,500        54.0820 USD ORD                 Purchase        1,900        54.1078 USD ORD                 Purchase        1,974        54.1249 USD ORD                 Purchase        2,028        54.0984 USD ORD                 Purchase        2,597        54.1338 USD ORD                 Purchase        2,940        54.0948 USD ORD                 Purchase        3,300        54.0831 USD ORD                 Purchase        3,432        54.0991 USD ORD                 Purchase        3,700        54.0949 USD ORD                 Purchase        4,000        53.7831 USD ORD                 Purchase        4,300        54.0883 USD ORD                 Purchase        4,382        54.0882 USD ORD                 Purchase        5,000        54.0946 USD ORD                 Purchase        5,812        54.0354 USD ORD                 Purchase        8,288        54.0959 USD ORD                 Purchase        13,200       54.0784 USD ORD                 Purchase        14,759       54.1094 USD ORD                 Purchase        15,027       54.1251 USD ORD                 Purchase        15,534       54.0478 USD ORD                 Purchase        16,435       54.0772 USD ORD                 Purchase        18,670       54.0500 USD ORD                 Purchase        20,297       54.0695 USD ORD                 Purchase        29,084       54.0444 USD ORD                 Purchase        60,697       54.0614 USD ORD                 Purchase        60,805       54.0653 USD ORD                 Purchase        67,400       54.0352 USD ORD                 Purchase        109,772      54.0597 USD ORD                 Purchase        161,250      54.0961 USD ORD                 Purchase        166,177      54.0754 USD ORD                 Purchase        204,700      54.0992 USD ORD                 Purchase        695,688      54.0928 USD ORD                 Purchase        1,059,200    54.0931 USD ORD                 Sale            12           54.1150 USD ORD                 Sale            80           54.0997 USD ORD                 Sale            100          53.8100 USD ORD                 Sale            100          54.0750 USD ORD                 Sale            100          54.3400 USD ORD                 Sale            157          54.0572 USD ORD                 Sale            200          54.0650 USD ORD                 Sale            200          54.0700 USD ORD                 Sale            200          54.1100 USD ORD                 Sale            200          54.2050 USD ORD                 Sale            201          54.0901 USD ORD                 Sale            204          54.2286 USD ORD                 Sale            217          54.3412 USD ORD                 Sale            232          54.0756 USD ORD                 Sale            300          54.0869 USD ORD                 Sale            343          54.1400 USD ORD                 Sale            388          54.0996 USD ORD                 Sale            600          54.1000 USD ORD                 Sale            700          54.0914 USD ORD                 Sale            759          54.0600 USD ORD                 Sale            800          54.0950 USD ORD                 Sale            1,000        54.1360 USD ORD                 Sale            1,062        54.0644 USD ORD                 Sale            1,100        54.0618 USD ORD                 Sale            1,134        54.0724 USD ORD                 Sale            1,200        54.0675 USD ORD                 Sale            1,283        54.1076 USD ORD                 Sale            1,400        54.1115 USD ORD                 Sale            1,500        54.0690 USD ORD                 Sale            1,600        54.0593 USD ORD                 Sale            1,600        54.0900 USD ORD                 Sale            1,609        54.0944 USD ORD                 Sale            1,676        54.1018 USD ORD                 Sale            1,844        54.0687 USD ORD                 Sale            1,913        54.0692 USD ORD                 Sale            2,100        54.1240 USD ORD                 Sale            2,400        54.0608 USD ORD                 Sale            2,600        54.1104 USD ORD                 Sale            2,700        54.0753 USD ORD                 Sale            2,884        54.1190 USD ORD                 Sale            2,900        54.1148 USD ORD                 Sale            3,000        53.6720 USD ORD                 Sale            3,000        54.0701 USD ORD                 Sale            3,100        54.0841 USD ORD                 Sale            3,400        53.7830 USD ORD                 Sale            3,503        54.2609 USD ORD                 Sale            3,840        54.0575 USD ORD                 Sale            3,948        53.8265 USD ORD                 Sale            4,047        54.1904 USD ORD                 Sale            4,838        53.9550 USD ORD                 Sale            5,000        54.1281 USD ORD                 Sale            5,200        54.0933 USD ORD                 Sale            5,200        54.1007 USD ORD                 Sale            8,400        54.0662 USD ORD                 Sale            8,411        54.1233 USD ORD                 Sale            8,513        54.1341 USD ORD                 Sale            10,000       53.9990 USD ORD                 Sale            11,318       54.0737 USD ORD                 Sale            15,094       54.0816 USD ORD                 Sale            15,368       54.0800 USD ORD                 Sale            15,591       54.0729 USD ORD                 Sale            16,016       54.0865 USD ORD                 Sale            16,572       54.0688 USD ORD                 Sale            18,498       54.1873 USD ORD                 Sale            18,600       54.1146 USD ORD                 Sale            18,848       54.1045 USD ORD                 Sale            19,543       54.0500 USD ORD                 Sale            30,982       54.1217 USD ORD                 Sale            49,787       54.1086 USD ORD                 Sale            50,703       54.0880 USD ORD                 Sale            52,571       54.1003 USD ORD                 Sale            57,941       54.0707 USD ORD                 Sale            67,200       54.0350 USD ORD                 Sale            72,949       54.0990 USD ORD                 Sale            92,940       54.0686 USD ORD                 Sale            104,919      54.0679 USD ORD                 Sale            161,250      54.0961 USD ORD                 Sale            161,400      54.0963 USD ORD                 Sale            166,177      54.0789 USD ORD                 Sale            178,403      54.1005 USD ORD                 Sale            263,600      54.0839 USD ORD                 Sale            1,059,200    54.0931 USD  (b) Derivatives transactions (other than options)                             Nature of dealing Class of    Product                                        Number of     Price relevant   description   e.g. opening/closing a         reference    per security                   long/short position,            securities    unit             e.g. CFD       increasing/reducing a                            long/short position  (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          Purchasing    10,000       57.5 USD   American   16 Aug   0.5200            Options                                                        2014     USD ORD        Call          Purchasing    5,000        57.5 USD   American   16 Aug   0.5500            Options                                                        2014     USD ORD        Call          Selling       10,000       52.5 USD   American   16 Aug   2.6200            Options                                                        2014     USD ORD        Call          Selling       400          55 USD     American   22 Nov   2.5500            Options                                                        2014     USD ORD        Call          Selling       5,000        57.5 USD   American   16 Aug   0.5500            Options                                                        2014     USD ORD        Put Options   Purchasing    200          52.5 USD   American   16 Aug   0.9000                                                                           2014     USD ORD        Put Options   Selling       100          32.5 USD   American   15 Jan   1.0000                                                                           2016     USD ORD        Put Options   Selling       200          55 USD     American   16 Aug   2.1000                                                                           2014     USD  (ii) Exercising                       Product Class of relevant   description         Number of          Exercise price security                                  securities          per unit                      e.g. call option  (d) Other dealings (including subscribing for new securities)                      Nature of dealing Class of relevant                      Details  Price per unit (if security            e.g. subscription,             applicable)                     conversion  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(b), 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 exempt principal trader 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 exempt principal trader 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:  23 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           ABBVIE INC securities the disclosure 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     -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     -8,700       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     -200         47.5000    American   20 Feb                                                                           2015 ORD        Put Options   Purchased     -17,700      50.0000    American   16 Aug                                                                           2014 ORD        Put Options   Purchased     -4,100       50.0000    American   22 Nov                                                                           2014 ORD        Put Options   Purchased     -400         50.0000    American   20 Feb                                                                           2015 ORD        Put Options   Purchased     -1,100       50.0000    American   15 Jan                                                                           2016 ORD        Put Options   Purchased     -300,000     52.5000    American   22 Nov                                                                           2014 ORD        Put Options   Purchased     -5,500       52.5000    American   17 Jan                                                                           2015 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     -300         57.5000    American   16 Aug                                                                           2014 ORD        Put Options   Purchased     -200         57.5000    American   17 Jan                                                                           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       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       4,100        47.5000    American   17 Jan                                                                           2015 ORD        Put Options   Written       2,100        47.5000    American   15 Jan                                                                           2016 ORD        Put Options   Written       1,400        50.0000    American   16 Aug                                                                           2014 ORD        Put Options   Written       31,300       50.0000    American   17 Jan                                                                           2015 ORD        Put Options   Written       300,800      52.5000    American   16 Aug                                                                           2014 ORD        Put Options   Written       14,700       55.0000    American   16 Aug                                                                           2014 ORD        Put Options   Written       1,800        57.5000    American   22 Nov                                                                           2014 ORD        Put Options   Written       800          60.0000    American   17 Jan                                                                           2015 ORD        Call          Purchased     700          42.5000    American   17 Jan            Options                                                        2015 ORD        Call          Purchased     100          47.5000    American   15 Jan            Options                                                        2016 ORD        Call          Purchased     5,200        50.0000    American   22 Nov            Options                                                        2014 ORD        Call          Purchased     6,300        50.0000    American   17 Jan            Options                                                        2015 ORD        Call          Purchased     4,200        52.5000    American   22 Nov            Options                                                        2014 ORD        Call          Purchased     200          52.5000    American   17 Jan            Options                                                        2015 ORD        Call          Purchased     200          52.5000    American   15 Jan            Options                                                        2016 ORD        Call          Purchased     19,600       55.0000    American   16 Aug            Options                                                        2014 ORD        Call          Purchased     5,100        55.0000    American   17 Jan            Options                                                        2015 ORD        Call          Purchased     4,000        55.0000    American   15 Jan            Options                                                        2016 ORD        Call          Purchased     116,400      57.5000    American   16 Aug            Options                                                        2014 ORD        Call          Purchased     300,000      57.5000    American   22 Nov            Options                                                        2014 ORD        Call          Purchased     4,400        57.5000    American   17 Jan            Options                                                        2015 ORD        Call          Purchased     400          57.5000    American   15 Jan            Options                                                        2016 ORD        Call          Purchased     7,400        60.0000    American   16 Aug            Options                                                        2014 ORD        Call          Purchased     12,500       60.0000    American   22 Nov            Options                                                        2014 ORD        Call          Purchased     1,500        60.0000    American   17 Jan            Options                                                        2015 ORD        Call          Purchased     500          62.5000    American   16 Aug            Options                                                        2014 ORD        Call          Purchased     500          62.5000    American   22 Nov            Options                                                        2014 ORD        Call          Purchased     400          62.5000    American   17 Jan            Options                                                        2015 ORD        Call          Purchased     400          62.5000    American   15 Jan            Options                                                        2016 ORD        Call          Purchased     5,900        65.0000    American   17 Jan            Options                                                        2015 ORD        Call          Purchased     2,700        65.0000    American   15 Jan            Options                                                        2016 ORD        Call          Purchased     1,000        70.0000    American   17 Jan            Options                                                        2015 ORD        Call          Purchased     100          75.0000    American   17 Jan            Options                                                        2015 ORD        Call          Purchased     200          75.0000    American   15 Jan            Options                                                        2016 ORD        Call          Purchased     300          77.5000    American   17 Jan            Options                                                        2015 ORD        Call          Written       -100         35.0000    American   15 Jan            Options                                                        2016 ORD        Call          Written       -100         37.5000    American   15 Jan            Options                                                        2016 ORD        Call          Written       -300         40.0000    American   17 Jan            Options                                                        2015 ORD        Call          Written       -5,000       40.0000    American   15 Jan            Options                                                        2016 ORD        Call          Written       -3,400       45.0000    American   17 Jan            Options                                                        2015 ORD        Call          Written       -100         45.0000    American   15 Jan            Options                                                        2016 ORD        Call          Written       -4,100       47.5000    American   22 Nov            Options                                                        2014 ORD        Call          Written       -800         47.5000    American   17 Jan            Options                                                        2015 ORD        Call          Written       -200         50.0000    American   16 Aug            Options                                                        2014 ORD        Call          Written       -100,000     50.0000    American   17 Jan            Options                                                        2015 ORD        Call          Written       -600         50.0000    American   15 Jan            Options                                                        2016 ORD        Call          Written       -37,200      52.5000    American   16 Aug            Options                                                        2014 ORD        Call          Written       -2,400       52.5000    American   17 Jan            Options                                                        2015 ORD        Call          Written       -200         52.5000    American   20 Feb            Options                                                        2015 ORD        Call          Written       -800         52.5000    American   15 Jan            Options                                                        2016 ORD        Call          Written       -900         55.0000    American   22 Nov            Options                                                        2014 ORD        Call          Written       -7,300       55.0000    American   20 Feb            Options                                                        2015 ORD        Call          Written       -1,952,300   57.5000    American   16 Aug            Options                                                        2014 ORD        Call          Written       -6,200       57.5000    American   22 Nov            Options                                                        2014 ORD        Call          Written       -1,300       57.5000    American   20 Feb            Options                                                        2015 ORD        Call          Written       -2,300       60.0000    American   15 Jan            Options                                                        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.  Contact:  BARCLAYS PLC  
Press spacebar to pause and continue. Press esc to stop.