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
Bank of America, N.A., Proprietary
Company dealt in
AbbVie Inc
Class of relevant security to which the
dealings being disclosed relate(Note 1)Common - US00287Y1091
Date of dealing
22/04/2020
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
1,723,212
0.117%
2,848,798
0.193 %
(2)
Derivatives (other than options):
3,735,238
0.253%
2,737,202
0.185%
(3)
Options and agreements to purchase/sell:
0
0%
0
0%
Total
5,458,450
0.37%
5,586,000
0.378%
(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
466
80.36 USD
Purchase
1
80.88 USD
Purchase
1
80.93 USD
Purchase
1
80.96 USD
Purchase
1
80.98 USD
Purchase
1
81.04 USD
Purchase
1
81.05 USD
Purchase
1
81.08 USD
Purchase
2
81.09 USD
Purchase
2
81.11 USD
Purchase
1
81.12 USD
Purchase
1
81.15 USD
Purchase
2
81.19 USD
Purchase
3
81.2 USD
Purchase
3
81.21 USD
Purchase
1
81.235 USD
Purchase
1
81.25 USD
Purchase
2
81.26 USD
Purchase
1
81.28 USD
Purchase
2
81.29 USD
Purchase
2
81.3 USD
Purchase
2
81.31 USD
Purchase
2
81.32 USD
Purchase
3
81.34 USD
Purchase
1
81.36 USD
Purchase
1
81.38 USD
Purchase
1
81.39 USD
Purchase
1
81.4 USD
Purchase
2
81.46 USD
Purchase
6,354
81.47 USD
Purchase
1
81.53 USD
Purchase
100
81.545 USD
Purchase
100
81.55 USD
Purchase
100
81.555 USD
Purchase
100
81.565 USD
Purchase
236
81.57 USD
Purchase
1
81.58 USD
Purchase
1
81.64 USD
Purchase
2
81.65 USD
Purchase
1
81.66 USD
Purchase/sale
Number of relevant securities
Price per unit (Note 4)
Sale
466
80.36 USD
Sale
1
80.92 USD
Sale
10
80.94 USD
Sale
2
80.96 USD
Sale
6
80.965 USD
Sale
16
81.14 USD
Sale
15
81.18 USD
Sale
15
81.26 USD
Sale
15
81.34 USD
Sale
15
81.37 USD
Sale
31
81.4 USD
Sale
4
81.41 USD
Sale
16
81.42 USD
Sale
35
81.46 USD
Sale
135
81.47 USD
Sale
15
81.49 USD
Sale
1
81.5 USD
Sale
2
81.51 USD
Sale
3
81.52 USD
Sale
17
81.53 USD
Sale
16
81.54 USD
Sale
31,057
81.572 USD
Sale
15
81.66 USD
Sale
16
81.67 USD
Sale
3
81.68 USD
Sale
15
81.7 USD
Sale
15
81.71 USD
Sale
18
81.72 USD
Sale
19
81.78 USD
Sale
15
81.79 USD
Sale
17
81.8 USD
Sale
15
81.82 USD
Sale
19
81.86 USD
Sale
3
81.87 USD
Sale
9
81.88 USD
Sale
5
81.89 USD
Sale
19
81.9 USD
Sale
14
81.92 USD
Sale
5
81.93 USD
Sale
12
81.94 USD
Sale
15
81.95 USD
Sale
2
81.96 USD
Sale
15
81.98 USD
Sale
30
82 USD
Sale
15
82.07 USD
Sale
18
82.12 USD
Sale
15
82.13 USD
Sale
15
82.14 USD
Sale
19
82.16 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 Short Position
12,990
81.852 USD
Swaps
Increasing a Short Position
8,660
81.43 USD
Swaps
Opening a Long Position
427
81.542 USD
Swaps
Opening a Long Position
28,276
81.542 USD
Swaps
Opening a Long Position
431
81.542 USD
Swaps
Opening a Long Position
1,923
81.542 USD
Swaps
Opening a Long Position
860
81.653 USD
Swaps
Opening a Long Position
20,790
81.653 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)N/A
N/A
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)
No
Date of disclosure
23/04/2020
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
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