REG - BkofA Merrill Lynch AbbVie Inc. - Form 38.5(b) - AbbVie Inc
FORM 38.5(b)
IRISH TAKEOVER PANEL
DISCLOSURE UNDER RULE 38.5(b) OF THE IRISH TAKEOVER PANEL ACT, 1997,
TAKEOVER RULES, 2013
DEALINGS BY CONNECTED EXEMPT PRINCIPAL TRADERS WITHOUT
RECOGNISED INTERMEDIARY STATUS, OR WITH RECOGNIZED INTERMEDIARY
STATUS BUT NOT DEALING IN A CLIENT-SERVING CAPACITY
1.
KEY INFORMATION
Name of exempt principal trader
BofA Securities, Inc.
Company dealt in
AbbVie Inc
Class of relevant security to which the
dealings being disclosed relate(Note 1)Common - US00287Y1091
Date of dealing
16/04/2020
2.
INTERESTS AND SHORT POSITIONS
(a)
Interests and short positions (following dealing) in the class of relevant security
dealt in (Note 2)
Class of relevant security: Common
US00287Y1091
Long
Short
Number
%
Number
%
(1)
Relevant securities
220,576
0.015%
2,618,907
0.177 %
(2)
Derivatives (other than options):
2,172,730
0.147%
141,032
0.01%
(3)
Options and agreements to purchase/sell:
7,400
0.001%
7,500
0.001%
Total
2,400,706
0.163%
2,767,439
0.187%
(b)
Interests and short positions in relevant securities of the company, other than the
class dealt in (Note 2)
Class of relevant security:
Long
Short
Number
%
Number
%
(1)
Relevant securities
0
0%
0
0%
(2)
Derivatives (other than options):
0
0%
0
0%
(3)
Options and agreements to purchase/sell:
0
0%
0
0%
Total
0
0%
0
0%
3.
DEALINGS (Note 3)
(a)
Purchases and sales
Purchase/sale
Number of relevant securities
Price per unit (Note 4)
Purchase
135
81.75 USD
Purchase
120
81.79 USD
Purchase
400
81.8 USD
Purchase
100
81.82 USD
Purchase
500
81.83 USD
Purchase
300
81.84 USD
Purchase
200
81.85 USD
Purchase
1,950
81.86 USD
Purchase
316
81.87 USD
Purchase
100
81.88 USD
Purchase
18
81.9 USD
Purchase
100
81.91 USD
Purchase
17
81.97 USD
Purchase
38
82 USD
Purchase
2
82.01 USD
Purchase
16
82.02 USD
Purchase
18
82.03 USD
Purchase
23
82.04 USD
Purchase
16
82.06 USD
Purchase
2
82.07 USD
Purchase
34
82.08 USD
Purchase
41
82.09 USD
Purchase
2
82.12 USD
Purchase
4
82.13 USD
Purchase
186
82.16 USD
Purchase
152
82.17 USD
Purchase
484
82.18 USD
Purchase
7
82.19 USD
Purchase
87
82.2 USD
Purchase
15
82.21 USD
Purchase
32
82.22 USD
Purchase
4
82.23 USD
Purchase
32
82.24 USD
Purchase
34
82.26 USD
Purchase
2
82.27 USD
Purchase
1
82.28 USD
Purchase
5
82.29 USD
Purchase
2
82.3 USD
Purchase
2
82.31 USD
Purchase
2
82.32 USD
Purchase
2
82.39 USD
Purchase
33
82.4 USD
Purchase
234
82.502 USD
Purchase
147
82.52 USD
Purchase
1
82.53 USD
Purchase
1
82.56 USD
Purchase
2
82.58 USD
Purchase
100
82.59 USD
Purchase
3
82.61 USD
Purchase
2
82.64 USD
Purchase
1
82.65 USD
Purchase
1
82.66 USD
Purchase
37
82.67 USD
Purchase
33
82.68 USD
Purchase
1
82.7 USD
Purchase
1
82.71 USD
Purchase
1
82.74 USD
Purchase
3
82.75 USD
Purchase
2
82.77 USD
Purchase
32
82.78 USD
Purchase
104
82.79 USD
Purchase
1
82.8 USD
Purchase
2
82.81 USD
Purchase
1
82.82 USD
Purchase
1
82.85 USD
Purchase
36
82.86 USD
Purchase
3
82.87 USD
Purchase
32
82.91 USD
Purchase
1
82.94 USD
Purchase
33
82.95 USD
Purchase
32
83.01 USD
Purchase
80
83.05 USD
Purchase
48
83.06 USD
Purchase
32
83.34 USD
Purchase
43
83.36 USD
Purchase
48
83.48 USD
Purchase
48
83.53 USD
Purchase
32
83.57 USD
Purchase
32
83.69 USD
Purchase
5,196
81.747 USD
Purchase
11,549
81.86 USD
Purchase
5,196
82.003 USD
Purchase
5,156
82.296 USD
Purchase
4,940
83.475 USD
Purchase/sale
Number of relevant securities
Price per unit (Note 4)
Sale
3,728
81.86 USD
Sale
100
81.69 USD
Sale
100
81.691 USD
Sale
199
81.7 USD
Sale
200
81.71 USD
Sale
806
81.72 USD
Sale
833
81.73 USD
Sale
567
81.74 USD
Sale
633
81.75 USD
Sale
1,409
81.76 USD
Sale
583
81.77 USD
Sale
1
81.78 USD
Sale
199
81.79 USD
Sale
173
81.8 USD
Sale
200
81.81 USD
Sale
243
81.82 USD
Sale
118
81.83 USD
Sale
2,231
81.84 USD
Sale
10
81.85 USD
Sale
118,442
81.86 USD
Sale
3
81.87 USD
Sale
2
81.9 USD
Sale
1
81.91 USD
Sale
88
81.92 USD
Sale
60
81.93 USD
Sale
3
81.94 USD
Sale
110
81.95 USD
Sale
260
81.96 USD
Sale
968
81.97 USD
Sale
102
81.98 USD
Sale
87
81.99 USD
Sale
397
82 USD
Sale
1
82.005 USD
Sale
901
82.01 USD
Sale
836
82.02 USD
Sale
600
82.03 USD
Sale
1
82.04 USD
Sale
1
82.045 USD
Sale
1,765
82.05 USD
Sale
1
82.06 USD
Sale
2
82.07 USD
Sale
2
82.08 USD
Sale
2
82.09 USD
Sale
1
82.11 USD
Sale
1
82.12 USD
Sale
1
82.14 USD
Sale
1
82.19 USD
Sale
1
82.22 USD
Sale
86
82.24 USD
Sale
40
82.26 USD
Sale
1,649
82.28 USD
Sale
355
82.29 USD
Sale
100
82.291 USD
Sale
1,734
82.3 USD
Sale
874
82.31 USD
Sale
500
82.32 USD
Sale
1
82.33 USD
Sale
41
82.34 USD
Sale
1
82.37 USD
Sale
1
82.44 USD
Sale
5,350
82.483 USD
Sale
1
82.49 USD
Sale
1
82.55 USD
Sale
40
82.56 USD
Sale
44
82.64 USD
Sale
122
82.65 USD
Sale
47
82.71 USD
Sale
40
82.72 USD
Sale
366
82.75 USD
Sale
42
82.76 USD
Sale
86
82.77 USD
Sale
200
82.78 USD
Sale
386
82.79 USD
Sale
1,173
82.8 USD
Sale
100
82.805 USD
Sale
200
82.81 USD
Sale
220
82.82 USD
Sale
60
82.84 USD
Sale
400
82.85 USD
Sale
100
82.86 USD
Sale
200
82.87 USD
Sale
100
82.88 USD
Sale
200
82.89 USD
Sale
86
82.9 USD
Sale
46
82.91 USD
Sale
80
82.92 USD
Sale
313
82.93 USD
Sale
143
82.95 USD
Sale
131
82.96 USD
Sale
100
82.97 USD
Sale
146
82.99 USD
Sale
240
83 USD
Sale
41
83.02 USD
Sale
120
83.03 USD
Sale
100
83.04 USD
Sale
40
83.05 USD
Sale
60
83.09 USD
Sale
120
83.12 USD
Sale
49
83.22 USD
Sale
68
83.26 USD
Sale
100
83.35 USD
Sale
100
83.36 USD
Sale
211
83.37 USD
Sale
288
83.38 USD
Sale
201
83.39 USD
Sale
630
83.4 USD
Sale
246
83.41 USD
Sale
233
83.42 USD
Sale
100
83.44 USD
Sale
100
83.45 USD
Sale
834
83.46 USD
Sale
602
83.47 USD
Sale
188
83.49 USD
Sale
100
83.495 USD
Sale
473
83.5 USD
Sale
114
83.51 USD
Sale
300
83.52 USD
Sale
620
83.53 USD
Sale
766
83.54 USD
Sale
173
83.56 USD
Sale
100
83.57 USD
Sale
87
83.58 USD
Sale
287
83.6 USD
Sale
2,372
83.61 USD
Sale
86
83.615 USD
(b)
Derivatives transactions (other than options transactions)
Product name,
e.g. CFDNature of transaction
(Note 5)Number of relevant securities
(Note 6)Price per unit
(Note 4)Swaps
Increasing a long position
103,120
81.86 USD
Swaps
Reducing a long position
76
82.387 USD
Swaps
Increasing a long position
13,718
81.86 USD
Swaps
Increasing a short position
234
82.509 USD
Swaps
Reducing a short position
2,087
82.476 USD
Swaps
Reducing a short position
2,943
82.476 USD
Swaps
Reducing a short position
68
82.476 USD
Swaps
Reducing a short position
252
82.476 USD
(c)
Options transactions in respect of existing relevant securities
(i)
Writing, selling, purchasing or varying
Product name, e.g. call option
Writing, selling, purchasing, varying etc.
Number of securities to which the option relates (Note 7)
Exercise price
Type, e.g. American, European etc
Expiry date
Option money paid/ received per unit (Note 4)
N/A
N/A
N/A
N/A
N/A
N/A
N/A
(ii)
Exercising
Product name,
e.g. call optionNumber of securities
Exercise price per
unit (Note 4)N/A
N/A
N/A
(d)
Other dealings (including transactions in respect of new securities) (Note 3)
Nature or transaction
(Note 7)Details
Price per unit
(if applicable) (Note 4)
Borrow
Borrow of 4,700 shares
N/A
Borrow
Borrow of 200 shares
N/A
Borrow
Borrow of 3,700 shares
N/A
Borrow
Borrow of 38,100 shares
N/A
4.
OTHER INFORMATION
Agreements, arrangements or understandings relating to options or derivatives
Full details of any agreement, arrangement or understanding between the person
disclosing and any other person relating to the voting rights of any relevant
securities under any option referred to on this form or relating to the voting rights
or future acquisition or disposal of any relevant securities to which any derivative
referred to on this form is referenced. If none, this should be stated.None
Is a Supplemental Form 38.5(b) attached? (Note 8)
Yes
Date of disclosure
17/04/2020
Contact name
Tolu Tade
Telephone number
+44207 996 3410
Name of offeree/offeror with which connected
AbbVie Inc
Nature of connection (Note 9)
Advisor to - AbbVie Inc
SUPPLEMENTAL FORM 38.5(b)
DISCLOSURE UNDER RULE 38.5 (b) OF THE IRISH TAKEOVER PANEL ACT, 1997, TAKEOVER RULES, 2013
DETAILS OF OPEN POSITIONS
Product name,
e.g. call optionWritten or
purchasedNumber of securities to which the option or derivative relates
Exercise price
(Note 2)Type, e.g.
American,
European etcExpiry date
Call Option
Written
7,500
105 USD
American
15/01/2021
Call Option
Purchased
7,400
85 USD
American
15/01/2021
This information is provided by RNS, the news service of the London Stock Exchange. RNS is approved by the Financial Conduct Authority to act as a Primary Information Provider in the United Kingdom. Terms and conditions relating to the use and distribution of this information may apply. For further information, please contact rns@lseg.com or visit www.rns.com.ENDISEFLFFISDIDLII
Recent news on Abbvie
See all newsRCS - Ripple Therapeutics - Ripple Therapeutics Announces Collaboration
AnnouncementREG - Stock Exch Notice - Admission to ISM - 20/06/2024
AnnouncementREG - JPMorgan Inv. Trusts - Ten Largest Investments
AnnouncementREG - JPMorgan Inv. Trusts - Ten Largest Investments
AnnouncementREG - JPMorgan Inv. Trusts - Ten Largest Investments
Announcement