REG - BkofA Merrill Lynch AbbVie Inc. - Form 38.5 (b) - AbbVie Inc

AbbvieAnnouncement

30/04/2020 11:55

RNS Number : 4894L
  
Bank of America Merrill Lynch
  
30 April 2020
  
 


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 






29/04/2020



 




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 






204,430


0.014% 


3,390,137


0.23 % 







(2) 


Derivatives (other than options): 






2,565,553


0.174% 


193,957


0.013% 







(3) 


Options and agreements to purchase/sell: 






7,400


0.001% 


7,500


0.001% 




Total


2,777,383


0.188% 


3,591,594


0.243% 



 




(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


                                2,784 


83.76 USD




Purchase


                                      1 


82.2 USD




Purchase


                                      1 


82.28 USD




Purchase


                                     22 


82.29 USD




Purchase


                                     33 


82.31 USD




Purchase


                                     24 


82.32 USD




Purchase


                                   200 


82.36 USD




Purchase


                                     56 


82.37 USD




Purchase


                                   100 


82.38 USD




Purchase


                                     24 


82.42 USD




Purchase


                                   500 


82.45 USD




Purchase


                                      1 


82.46 USD




Purchase


                                      1 


82.48 USD




Purchase


                                   100 


82.49 USD




Purchase


                                   100 


82.5 USD




Purchase


                                      2 


82.52 USD




Purchase


                                      1 


82.53 USD




Purchase


                                     33 


82.55 USD




Purchase


                                      2 


82.57 USD




Purchase


                                     33 


82.59 USD




Purchase


                                      1 


82.6 USD




Purchase


                                      2 


82.61 USD




Purchase


                                     24 


82.62 USD




Purchase


                                     34 


82.63 USD




Purchase


                                      1 


82.64 USD




Purchase


                                      1 


82.65 USD




Purchase


                                     55 


82.66 USD




Purchase


                                      1 


82.68 USD




Purchase


                                      2 


82.69 USD




Purchase


                                      1 


82.72 USD




Purchase


                                   123 


82.73 USD




Purchase


                                      1 


82.74 USD




Purchase


                                      1 


82.75 USD




Purchase


                                   532 


82.76 USD




Purchase


                                     35 


82.77 USD




Purchase


                                      1 


82.78 USD




Purchase


                                     25 


82.79 USD




Purchase


                                     35 


82.8 USD




Purchase


                                   100 


82.84 USD




Purchase


                                   200 


82.85 USD




Purchase


                                   201 


82.86 USD




Purchase


                                   100 


82.9 USD




Purchase


                                     22 


82.91 USD




Purchase


                                     55 


82.94 USD




Purchase


                                      1 


83.07 USD




Purchase


                                      5 


83.12 USD




Purchase


                                     14 


83.13 USD




Purchase


                                     22 


83.14 USD




Purchase


                                     41 


83.25 USD




Purchase


                                      2 


83.32 USD




Purchase


                                     40 


83.4 USD




Purchase


                                      1 


83.41 USD




Purchase


                                     40 


83.62 USD




Purchase


                                     25 


83.67 USD




Purchase


                                     25 


83.7 USD




Purchase


                                     25 


83.71 USD




Purchase


                                     25 


83.72 USD




Purchase


                                     71 


83.74 USD




Purchase


                                2,745 


83.76 USD




Purchase


                                     25 


83.77 USD




Purchase


                                     25 


83.78 USD




Purchase


                                     35 


83.79 USD




Purchase


                                     48 


83.8 USD




Purchase


                                     17 


83.81 USD




Purchase


                                     17 


83.82 USD




Purchase


                                   117 


83.83 USD




Purchase


                                     17 


83.87 USD




Purchase


                                     33 


83.88 USD




Purchase


                                     34 


83.94 USD




Purchase


                                   252 


83.95 USD




Purchase


                                     57 


83.96 USD




Purchase


                                     29 


83.965 USD




Purchase


                                     68 


83.97 USD




Purchase


                                     29 


83.975 USD




Purchase


                                     61 


83.98 USD




Purchase


                                   137 


83.99 USD




Purchase


                                     50 


84 USD




Purchase


                                   163 


84.01 USD




Purchase


                                     79 


84.02 USD




Purchase


                                   116 


84.03 USD




Purchase


                                1,800 


84.035 USD




Purchase


                                     58 


84.04 USD




Purchase


                                   106 


84.05 USD




Purchase


                                      4 


84.055 USD




Purchase


                                   140 


84.06 USD




Purchase


                                   142 


84.07 USD




Purchase


                                   206 


84.08 USD




Purchase


                                   125 


84.09 USD




Purchase


                                   234 


84.1 USD




Purchase


                                   129 


84.11 USD




Purchase


                                      1 


84.12 USD




Purchase


                                   221 


84.13 USD




Purchase


                                   165 


84.14 USD




Purchase


                                   281 


84.16 USD




Purchase


                                      1 


84.17 USD




Purchase


                                   101 


84.18 USD




Purchase


                                   118 


84.2 USD




Purchase


                                     33 


84.21 USD




Purchase


                                      1 


84.22 USD




Purchase


                                   174 


84.23 USD




Purchase


                                   112 


84.24 USD




Purchase


                                     33 


84.25 USD




Purchase


                                     33 


84.26 USD




Purchase


                                     73 


84.27 USD




Purchase


                                   100 


84.28 USD




Purchase


                                   100 


84.29 USD




Purchase


                                     26 


84.31 USD




Purchase


                                   300 


84.33 USD




Purchase


                                   401 


84.34 USD




Purchase


                                   100 


84.35 USD




Purchase


                                   100 


84.36 USD




Purchase


                                   100 


84.37 USD




Purchase


                                     33 


84.4 USD




Purchase


                                     33 


84.45 USD




Purchase


                                     40 


84.49 USD




Purchase


                                      1 


84.51 USD




Purchase


                                     34 


84.6 USD




Purchase


                                     33 


84.68 USD



 



Purchase/sale


Number of relevant securities


Price per unit (Note 4) 




Sale 


                                   100 


82.26 USD




 Sale 


                                   276 


82.27 USD




 Sale 


                                     87 


82.28 USD




 Sale 


                                     86 


82.29 USD




 Sale 


                                     86 


82.3 USD




 Sale 


                                   549 


82.31 USD




 Sale 


                                      3 


82.315 USD




 Sale 


                                   300 


82.32 USD




 Sale 


                                   113 


82.34 USD




 Sale 


                                   289 


82.35 USD




 Sale 


                                   379 


82.36 USD




 Sale 


                                   286 


82.37 USD




 Sale 


                                   400 


82.38 USD




 Sale 


                                   470 


82.39 USD




 Sale 


                                   106 


82.4 USD




 Sale 


                                   802 


82.41 USD




 Sale 


                                   188 


82.42 USD




 Sale 


                                   503 


82.43 USD




 Sale 


                                   373 


82.44 USD




 Sale 


                                   100 


82.441 USD




 Sale 


                                   574 


82.45 USD




 Sale 


                                2,722 


82.46 USD




 Sale 


                                   550 


82.47 USD




 Sale 


                                   653 


82.48 USD




 Sale 


                                   778 


82.49 USD




 Sale 


                                   711 


82.5 USD




 Sale 


                                     73 


82.501 USD




 Sale 


                                      3 


82.505 USD




 Sale 


                                   375 


82.51 USD




 Sale 


                                1,074 


82.52 USD




 Sale 


                                   100 


82.525 USD




 Sale 


                                   744 


82.53 USD




 Sale 


                                   101 


82.54 USD




 Sale 


                                   167 


82.55 USD




 Sale 


                                   651 


82.56 USD




 Sale 


                                   100 


82.565 USD




 Sale 


                                   606 


82.57 USD




 Sale 


                                   100 


82.575 USD




 Sale 


                                   213 


82.58 USD




 Sale 


                                   615 


82.59 USD




 Sale 


                                      2 


82.595 USD




 Sale 


                                      1 


82.6 USD




 Sale 


                                   200 


82.605 USD




 Sale 


                                   737 


82.61 USD




 Sale 


                                   124 


82.62 USD




 Sale 


                                   286 


82.63 USD




 Sale 


                                   577 


82.64 USD




 Sale 


                                      6 


82.65 USD




 Sale 


                                   173 


82.66 USD




 Sale 


                                   232 


82.67 USD




 Sale 


                                   268 


82.68 USD




 Sale 


                                   267 


82.69 USD




 Sale 


                                   359 


82.7 USD




 Sale 


                                   145 


82.71 USD




 Sale 


                                   145 


82.72 USD




 Sale 


                                   262 


82.73 USD




 Sale 


                                     87 


82.74 USD




 Sale 


                                   575 


82.75 USD




 Sale 


                                   643 


82.76 USD




 Sale 


                                   200 


82.78 USD




 Sale 


                                   328 


82.81 USD




 Sale 


                                   173 


82.815 USD




 Sale 


                                   478 


82.82 USD




 Sale 


                                   958 


82.83 USD




 Sale 


                                   347 


82.84 USD




 Sale 


                                1,354 


82.85 USD




 Sale 


                                   300 


82.855 USD




 Sale 


                                   940 


82.86 USD




 Sale 


                                   791 


82.87 USD




 Sale 


                                   186 


82.89 USD




 Sale 


                                   482 


82.9 USD




 Sale 


                                     84 


82.91 USD




 Sale 


                                   469 


82.92 USD




 Sale 


                                   100 


82.93 USD




 Sale 


                                   173 


82.96 USD




 Sale 


                                   200 


82.97 USD




 Sale 


                                   100 


82.98 USD




 Sale 


                                     43 


83.01 USD




 Sale 


                                   187 


83.02 USD




 Sale 


                                   146 


83.03 USD




 Sale 


                                   400 


83.04 USD




 Sale 


                                     14 


83.1 USD




 Sale 


                                   117 


83.11 USD




 Sale 


                                     13 


83.13 USD




 Sale 


                                   110 


83.14 USD




 Sale 


                                   100 


83.15 USD




 Sale 


                                   134 


83.16 USD




 Sale 


                                   378 


83.17 USD




 Sale 


                                     88 


83.18 USD




 Sale 


                                   601 


83.19 USD




 Sale 


                                     88 


83.195 USD




 Sale 


                                   333 


83.2 USD




 Sale 


                                   179 


83.21 USD




 Sale 


                                   469 


83.22 USD




 Sale 


                                   404 


83.23 USD




 Sale 


                                   100 


83.24 USD




 Sale 


                                     86 


83.25 USD




 Sale 


                                   187 


83.26 USD




 Sale 


                                   447 


83.27 USD




 Sale 


                                   103 


83.28 USD




 Sale 


                                      8 


83.29 USD




 Sale 


                                   299 


83.3 USD




 Sale 


                                   512 


83.31 USD




 Sale 


                                   263 


83.32 USD




 Sale 


                                     12 


83.34 USD




 Sale 


                                   100 


83.36 USD




 Sale 


                                   177 


83.37 USD




 Sale 


                                   200 


83.38 USD




 Sale 


                                   100 


83.39 USD




 Sale 


                                   100 


83.4 USD




 Sale 


                                     74 


83.46 USD




 Sale 


                                   200 


83.47 USD




 Sale 


                                   547 


83.48 USD




 Sale 


                                   300 


83.49 USD




 Sale 


                                   274 


83.5 USD




 Sale 


                                   269 


83.51 USD




 Sale 


                                   174 


83.52 USD




 Sale 


                                   100 


83.53 USD




 Sale 


                                   100 


83.54 USD




 Sale 


                                     40 


83.56 USD




 Sale 


                                   100 


83.57 USD




 Sale 


                                   264 


83.58 USD




 Sale 


                                   307 


83.59 USD




 Sale 


                                   100 


83.6 USD




 Sale 


                                   192 


83.601 USD




 Sale 


                                   334 


83.61 USD




 Sale 


                                3,500 


83.613 USD




 Sale 


                                   237 


83.62 USD




 Sale 


                                   100 


83.625 USD




 Sale 


                                   100 


83.63 USD




 Sale 


                                   149 


83.64 USD




 Sale 


                                      1 


83.675 USD




 Sale 


                                     86 


83.68 USD




 Sale 


                                   111 


83.69 USD




 Sale 


                                     12 


83.705 USD




 Sale 


                                     53 


83.71 USD




 Sale 


                                     13 


83.75 USD




 Sale 


                                2,691 


83.76 USD




 Sale 


                                   101 


83.79 USD




 Sale 


                                   116 


83.8 USD




 Sale 


                                     60 


83.91 USD




 Sale 


                                     12 


83.93 USD




 Sale 


                                     32 


83.95 USD




 Sale 


                                     11 


83.96 USD




 Sale 


                                   100 


83.99 USD




 Sale 


                                      6 


84.02 USD




 Sale 


                                   247 


84.03 USD




 Sale 


                                   359 


84.04 USD




 Sale 


                                   359 


84.05 USD




 Sale 


                                   173 


84.07 USD




 Sale 


                                   100 


84.075 USD




 Sale 


                                   100 


84.08 USD




 Sale 


                                3,861 


84.09 USD




 Sale 


                                   644 


84.1 USD




 Sale 


                                   813 


84.11 USD




 Sale 


                                   738 


84.12 USD




 Sale 


                                     95 


84.13 USD




 Sale 


                                   735 


84.14 USD




 Sale 


                                     95 


84.145 USD




 Sale 


                                1,075 


84.15 USD




 Sale 


                                   100 


84.155 USD




 Sale 


                                   800 


84.16 USD




 Sale 


                                   460 


84.165 USD




 Sale 


                                   819 


84.17 USD




 Sale 


                                   192 


84.18 USD




 Sale 


                                   939 


84.19 USD




 Sale 


                                   814 


84.2 USD




 Sale 


                                   100 


84.205 USD




 Sale 


                                   181 


84.21 USD




 Sale 


                                     62 


84.22 USD




 Sale 


                                   101 


84.25 USD




 Sale 


                                   673 


84.26 USD




 Sale 


                                   446 


84.27 USD




 Sale 


                                   100 


84.28 USD




 Sale 


                                      1 


84.29 USD




 Sale 


                                   124 


84.3 USD




 Sale 


                                     50 


84.31 USD




 Sale 


                                   107 


84.32 USD




 Sale 


                                   115 


84.34 USD




 Sale 


                                   174 


84.35 USD




 Sale 


                                     86 


84.36 USD




 Sale 


                                   187 


84.37 USD




 Sale 


                                     87 


84.4 USD




 Sale 


                                      5 


84.41 USD




 Sale 


                                     71 


84.42 USD




 Sale 


                                   602 


84.44 USD




 Sale 


                                   100 


84.45 USD




 Sale 


                                   100 


84.46 USD




 Sale 


                                   361 


84.47 USD




 Sale 


                                     56 


84.48 USD




 Sale 


                                   500 


84.49 USD




 Sale 


                                   100 


84.5 USD




 Sale 


                                   100 


84.51 USD




 Sale 


                                   173 


84.52 USD




 Sale 


                                     26 


84.53 USD




 Sale 


                                   100 


84.61 USD




 Sale 


                                     18 


84.63 USD




 Sale 


                                   100 


82.84 USD




 Sale 


                                   200 


82.85 USD




 Sale 


                                   200 


82.86 USD




 Sale 


                                   100 


82.9 USD




 Sale 


                                     55 


82.94 USD




 Sale 


                                8,429 


83.87 USD



 




(b)


Derivatives transactions (other than options transactions) 








Product name,

e.g. CFD 


Nature of transaction

(Note 5)


Number of relevant securities
(Note 6)


Price per unit

(Note 4)




Swaps


Increasing a Long Position


3,500


83.613 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 option 


Number 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 938,700 shares


N/A 




Borrow


Borrow of 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


30/04/2020




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 option


Written or

purchased


Number of securities to which the option or derivative relates


Exercise price

(Note 2)


Type, e.g.

American,

European etc


Expiry 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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