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
17/04/2020
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
218,924
0.015%
2,635,254
0.178 %
(2)
Derivatives (other than options):
2,172,430
0.147%
138,462
0.009%
(3)
Options and agreements to purchase/sell:
7,400
0.001%
7,500
0.001%
Total
2,398,754
0.162%
2,781,216
0.188%
(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
3,382
83.45 USD
Purchase
6,928
83.72 USD
Purchase
5,012
84.263 USD
Purchase
100
82.55 USD
Purchase
432
82.64 USD
Purchase
300
82.65 USD
Purchase
245
82.66 USD
Purchase
208
82.67 USD
Purchase
188
82.68 USD
Purchase
514
82.69 USD
Purchase
810
82.7 USD
Purchase
838
82.71 USD
Purchase
416
82.72 USD
Purchase
604
82.73 USD
Purchase
351
82.74 USD
Purchase
1
82.75 USD
Purchase
532
82.77 USD
Purchase
93
82.79 USD
Purchase
200
82.8 USD
Purchase
227
82.82 USD
Purchase
201
82.85 USD
Purchase
271
82.86 USD
Purchase
107
82.87 USD
Purchase
650
82.88 USD
Purchase
287
82.89 USD
Purchase
1,021
82.9 USD
Purchase
115
82.92 USD
Purchase
270
82.93 USD
Purchase
108
82.94 USD
Purchase
302
82.95 USD
Purchase
4
82.96 USD
Purchase
87
82.97 USD
Purchase
99
82.98 USD
Purchase
560
82.99 USD
Purchase
830
83 USD
Purchase
299
83.01 USD
Purchase
319
83.02 USD
Purchase
661
83.03 USD
Purchase
438
83.04 USD
Purchase
388
83.05 USD
Purchase
450
83.06 USD
Purchase
2
83.065 USD
Purchase
14
83.07 USD
Purchase
115
83.08 USD
Purchase
86
83.085 USD
Purchase
115
83.09 USD
Purchase
953
83.1 USD
Purchase
380
83.11 USD
Purchase
416
83.12 USD
Purchase
698
83.13 USD
Purchase
100
83.135 USD
Purchase
891
83.14 USD
Purchase
100
83.145 USD
Purchase
1,256
83.15 USD
Purchase
314
83.16 USD
Purchase
200
83.165 USD
Purchase
102
83.17 USD
Purchase
200
83.175 USD
Purchase
470
83.18 USD
Purchase
346
83.185 USD
Purchase
1,969
83.19 USD
Purchase
464
83.2 USD
Purchase
778
83.21 USD
Purchase
1,529
83.22 USD
Purchase
391
83.225 USD
Purchase
2,867
83.23 USD
Purchase
100
83.235 USD
Purchase
3,078
83.24 USD
Purchase
200
83.245 USD
Purchase
3,124
83.25 USD
Purchase
361
83.255 USD
Purchase
697
83.26 USD
Purchase
300
83.273 USD
Purchase
294
83.28 USD
Purchase
100
83.285 USD
Purchase
992
83.29 USD
Purchase
85
83.3 USD
Purchase
1
83.31 USD
Purchase
197
83.32 USD
Purchase
109
83.33 USD
Purchase
1
83.34 USD
Purchase
92
83.35 USD
Purchase
2
83.36 USD
Purchase
238
83.37 USD
Purchase
16
83.38 USD
Purchase
104
83.39 USD
Purchase
71
83.4 USD
Purchase
200
83.41 USD
Purchase
319
83.42 USD
Purchase
275
83.43 USD
Purchase
331
83.44 USD
Purchase
1,736
83.45 USD
Purchase
304
83.46 USD
Purchase
341
83.47 USD
Purchase
340
83.48 USD
Purchase
628
83.49 USD
Purchase
634
83.5 USD
Purchase
132
83.51 USD
Purchase
224
83.52 USD
Purchase
636
83.53 USD
Purchase
381
83.54 USD
Purchase
32
83.55 USD
Purchase
116
83.56 USD
Purchase
123
83.58 USD
Purchase
300
83.59 USD
Purchase
507
83.6 USD
Purchase
351
83.61 USD
Purchase
97
83.62 USD
Purchase
101
83.63 USD
Purchase
221
83.64 USD
Purchase
203
83.66 USD
Purchase
578
83.67 USD
Purchase
200
83.69 USD
Purchase
620
83.7 USD
Purchase
115
83.71 USD
Purchase
215
83.72 USD
Purchase
20
83.73 USD
Purchase
66
83.75 USD
Purchase
48
83.76 USD
Purchase
30
83.77 USD
Purchase
37
83.81 USD
Purchase
22
83.82 USD
Purchase
31
83.84 USD
Purchase
40
83.85 USD
Purchase
16
83.86 USD
Purchase
109
83.89 USD
Purchase
24
83.91 USD
Purchase
2
83.93 USD
Purchase
29
84.16 USD
Purchase
32
84.19 USD
Purchase
35
84.26 USD
Purchase
27
84.27 USD
Purchase
100
84.46 USD
Purchase
100
84.465 USD
Purchase
300
84.47 USD
Purchase
100
84.475 USD
Purchase
500
84.49 USD
Purchase
499
84.5 USD
Purchase
323
84.6 USD
Purchase/sale
Number of relevant securities
Price per unit (Note 4)
Sale
100
82.64 USD
Sale
200
82.66 USD
Sale
100
82.67 USD
Sale
300
82.69 USD
Sale
100
82.7 USD
Sale
100
82.75 USD
Sale
100
82.77 USD
Sale
100
82.79 USD
Sale
100
82.9 USD
Sale
100
82.93 USD
Sale
100
82.94 USD
Sale
100
82.97 USD
Sale
100
83.02 USD
Sale
99
83.04 USD
Sale
100
83.15 USD
Sale
100
83.17 USD
Sale
100
83.19 USD
Sale
87
83.2 USD
Sale
100
83.21 USD
Sale
82
83.22 USD
Sale
100
83.25 USD
Sale
100
83.28 USD
Sale
100
83.31 USD
Sale
200
83.32 USD
Sale
100
83.35 USD
Sale
2
83.4 USD
Sale
2,570
83.423 USD
Sale
24
83.43 USD
Sale
100
83.44 USD
Sale
4,218
83.45 USD
Sale
104
83.46 USD
Sale
548
83.48 USD
Sale
2,217
83.49 USD
Sale
1,776
83.5 USD
Sale
2,322
83.51 USD
Sale
691
83.52 USD
Sale
451
83.53 USD
Sale
276
83.54 USD
Sale
111
83.55 USD
Sale
84
83.57 USD
Sale
1,248
83.59 USD
Sale
2,635
83.6 USD
Sale
400
83.601 USD
Sale
745
83.61 USD
Sale
975
83.62 USD
Sale
1
83.625 USD
Sale
2,285
83.63 USD
Sale
360
83.64 USD
Sale
204
83.65 USD
Sale
575
83.66 USD
Sale
336
83.67 USD
Sale
500
83.68 USD
Sale
290
83.69 USD
Sale
2
83.695 USD
Sale
400
83.7 USD
Sale
2
83.71 USD
Sale
200
83.74 USD
Sale
100
83.75 USD
Sale
600
83.77 USD
Sale
259
83.78 USD
Sale
288
83.79 USD
Sale
521
83.8 USD
Sale
100
83.81 USD
Sale
100
83.815 USD
Sale
100
83.82 USD
Sale
471
83.83 USD
Sale
1
83.85 USD
Sale
10
83.89 USD
Sale
100
83.9 USD
Sale
3,597
83.945 USD
Sale
100
84.11 USD
Sale
387
84.12 USD
Sale
285
84.13 USD
Sale
402
84.14 USD
Sale
288
84.15 USD
Sale
700
84.16 USD
Sale
200
84.17 USD
Sale
701
84.18 USD
Sale
1,226
84.19 USD
Sale
100
84.22 USD
Sale
108
84.24 USD
Sale
200
84.25 USD
Sale
100
84.251 USD
Sale
386
84.26 USD
Sale
233
84.27 USD
Sale
174
84.28 USD
Sale
101
84.29 USD
Sale
312
84.3 USD
Sale
860
84.31 USD
Sale
100
84.315 USD
Sale
1,758
84.32 USD
Sale
300
84.33 USD
Sale
289
84.34 USD
Sale
46
84.35 USD
Sale
300
84.355 USD
Sale
173
84.37 USD
Sale
100
84.42 USD
Sale
198
84.43 USD
Sale
375
84.45 USD
Sale
815
84.46 USD
Sale
225
84.47 USD
Sale
1,193
84.48 USD
Sale
599
84.49 USD
Sale
501
84.5 USD
Sale
100
84.51 USD
Sale
238
84.52 USD
Sale
349
84.53 USD
Sale
100
84.54 USD
Sale
50
84.56 USD
Sale
397
84.57 USD
Sale
613
84.58 USD
Sale
1,056
84.59 USD
Sale
1,109
84.6 USD
Sale
100
84.605 USD
Sale
930
84.61 USD
Sale
1,270
84.62 USD
Sale
100
84.625 USD
Sale
864
84.63 USD
Sale
200
84.635 USD
Sale
869
84.64 USD
Sale
599
84.65 USD
Sale
100
84.655 USD
Sale
883
84.66 USD
Sale
301
84.67 USD
Sale
883
84.68 USD
Sale
471
84.685 USD
Sale
288
84.69 USD
Sale
372
84.695 USD
Sale
1,661
84.7 USD
Sale
299
84.72 USD
Sale
100
84.73 USD
Sale
300
84.75 USD
Sale
6,963
82.92 USD
Sale
3,054
83.202 USD
Sale
2,811
83.417 USD
Sale
5,884
83.45 USD
Sale
100
84.46 USD
Sale
100
84.465 USD
Sale
300
84.47 USD
Sale
100
84.475 USD
Sale
500
84.49 USD
Sale
499
84.5 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
Reducing a Short Position
150
83.416 USD
Swaps
Reducing a Short Position
2,420
83.416 USD
Swaps
Reducing a Long Position
300
83.273 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 266,200 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
20/04/2020
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
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