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
20/04/2020
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
224,425
0.015%
2,694,777
0.182 %
(2)
Derivatives (other than options):
2,173,665
0.147%
137,731
0.009%
(3)
Options and agreements to purchase/sell:
7,400
0.001%
7,500
0.001%
Total
2,405,490
0.163%
2,549,546
0.192%
(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
31,176
83.45 USD
Purchase
42
83.76 USD
Purchase
6,567
83.99 USD
Purchase
234
84.05 USD
Purchase
300
84.06 USD
Purchase
100
84.07 USD
Purchase
25
84.1 USD
Purchase
620
84.13 USD
Purchase
486
84.14 USD
Purchase
914
84.15 USD
Purchase
1,643
84.16 USD
Purchase
373
84.18 USD
Purchase
500
84.19 USD
Purchase
100
84.2 USD
Purchase
100
84.21 USD
Purchase
300
84.24 USD
Purchase
200
84.26 USD
Purchase
400
84.27 USD
Purchase
100
84.28 USD
Purchase
200
84.29 USD
Purchase
600
84.3 USD
Purchase
500
84.31 USD
Purchase
300
84.56 USD
Purchase
87
84.57 USD
Purchase
5
83.99 USD
Purchase
5,196
84.196 USD
Purchase/sale
Number of relevant securities
Price per unit (Note 4)
Sale
74
82.63 USD
Sale
100
82.64 USD
Sale
86
82.84 USD
Sale
274
82.85 USD
Sale
345
82.86 USD
Sale
400
82.87 USD
Sale
100
82.88 USD
Sale
173
82.89 USD
Sale
171
82.9 USD
Sale
200
82.91 USD
Sale
172
82.92 USD
Sale
164
82.94 USD
Sale
100
82.96 USD
Sale
103
82.97 USD
Sale
283
82.98 USD
Sale
9
82.99 USD
Sale
421
83 USD
Sale
1
83.03 USD
Sale
286
83.04 USD
Sale
86
83.07 USD
Sale
100
83.08 USD
Sale
100
83.09 USD
Sale
122
83.12 USD
Sale
138
83.14 USD
Sale
321
83.15 USD
Sale
125
83.16 USD
Sale
228
83.17 USD
Sale
500
83.175 USD
Sale
200
83.19 USD
Sale
421
83.2 USD
Sale
300
83.21 USD
Sale
500
83.23 USD
Sale
500
83.235 USD
Sale
23
83.24 USD
Sale
600
83.245 USD
Sale
800
83.25 USD
Sale
100
83.27 USD
Sale
22
83.28 USD
Sale
600
83.29 USD
Sale
221
83.34 USD
Sale
100
83.35 USD
Sale
100
83.38 USD
Sale
20
83.39 USD
Sale
100
83.41 USD
Sale
31,196
83.45 USD
Sale
100
83.46 USD
Sale
100
83.51 USD
Sale
100
83.55 USD
Sale
347
83.57 USD
Sale
300
83.6 USD
Sale
200
83.62 USD
Sale
100
83.63 USD
Sale
100
83.64 USD
Sale
300
83.65 USD
Sale
100
83.67 USD
Sale
130
83.68 USD
Sale
100
83.71 USD
Sale
200
83.73 USD
Sale
100
83.74 USD
Sale
200
83.75 USD
Sale
300
83.76 USD
Sale
100
83.78 USD
Sale
800
83.79 USD
Sale
280
83.8 USD
Sale
500
83.81 USD
Sale
1,100
83.82 USD
Sale
600
83.83 USD
Sale
1,400
83.84 USD
Sale
895
83.85 USD
Sale
685
83.86 USD
Sale
817
83.87 USD
Sale
600
83.88 USD
Sale
300
83.89 USD
Sale
200
83.9 USD
Sale
600
83.91 USD
Sale
100
83.93 USD
Sale
420
83.94 USD
Sale
800
83.96 USD
Sale
700
83.97 USD
Sale
500
83.98 USD
Sale
1,235
83.99 USD
Sale
267
84 USD
Sale
1,078
84.01 USD
Sale
110
84.011 USD
Sale
801
84.02 USD
Sale
414
84.03 USD
Sale
100
84.035 USD
Sale
500
84.04 USD
Sale
101
84.05 USD
Sale
270
84.06 USD
Sale
850
84.07 USD
Sale
1,788
84.08 USD
Sale
576
84.09 USD
Sale
6
84.1 USD
Sale
372
84.11 USD
Sale
704
84.12 USD
Sale
551
84.13 USD
Sale
1,291
84.14 USD
Sale
1,654
84.15 USD
Sale
1,596
84.16 USD
Sale
674
84.17 USD
Sale
1,638
84.18 USD
Sale
892
84.19 USD
Sale
342
84.2 USD
Sale
646
84.21 USD
Sale
1,160
84.22 USD
Sale
1,306
84.23 USD
Sale
215
84.24 USD
Sale
1,104
84.25 USD
Sale
731
84.255 USD
Sale
389
84.26 USD
Sale
575
84.27 USD
Sale
500
84.28 USD
Sale
200
84.29 USD
Sale
200
84.3 USD
Sale
206
84.31 USD
Sale
328
84.32 USD
Sale
200
84.33 USD
Sale
200
84.34 USD
Sale
100
84.36 USD
Sale
100
84.37 USD
Sale
373
84.38 USD
Sale
561
84.39 USD
Sale
674
84.4 USD
Sale
1,000
84.41 USD
Sale
565
84.42 USD
Sale
1,102
84.43 USD
Sale
1,118
84.44 USD
Sale
347
84.45 USD
Sale
300
84.46 USD
Sale
100
84.47 USD
Sale
313
84.48 USD
Sale
387
84.49 USD
Sale
100
84.5 USD
Sale
100
84.52 USD
Sale
100
84.54 USD
Sale
951
84.55 USD
Sale
300
84.56 USD
Sale
100
84.57 USD
Sale
100
84.58 USD
Sale
300
84.59 USD
Sale
200
84.61 USD
Sale
400
84.62 USD
Sale
300
84.63 USD
Sale
100
84.65 USD
Sale
114
84.67 USD
Sale
200
84.69 USD
Sale
200
84.72 USD
Sale
200
84.73 USD
Sale
111
84.75 USD
Sale
100
84.76 USD
Sale
100
84.77 USD
Sale
200
84.79 USD
Sale
300
84.8 USD
Sale
100
84.81 USD
Sale
100
84.83 USD
Sale
200
84.84 USD
Sale
200
84.85 USD
Sale
100
84.86 USD
Sale
100
84.87 USD
Sale
100
84.88 USD
Sale
100
84.89 USD
Sale
300
84.91 USD
Sale
300
84.92 USD
Sale
100
84.93 USD
Sale
373
84.94 USD
Sale
400
84.95 USD
Sale
400
84.96 USD
Sale
100
84.97 USD
Sale
100
84.99 USD
Sale
100
85 USD
Sale
100
85.02 USD
Sale
100
85.03 USD
Sale
100
85.04 USD
Sale
200
85.05 USD
Sale
100
85.07 USD
Sale
100
85.09 USD
Sale
100
85.1 USD
Sale
373
85.11 USD
Sale
200
85.12 USD
Sale
200
85.13 USD
Sale
200
85.14 USD
Sale
200
85.16 USD
Sale
200
85.19 USD
Sale
100
85.2 USD
Sale
7,099
83.99 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
1,000
83.99 USD
Swaps
Reducing a short position
8
84.006 USD
Swaps
Increasing a long position
235
83.99 USD
Swaps
Reducing a short position
6
84.006 USD
Swaps
Reducing a short position
6
84.006 USD
Swaps
Reducing a short position
711
84.255 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
21/04/2020
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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