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
30/04/2020
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
210,187
0.014%
3,349,763
0.227 %
(2)
Derivatives (other than options):
2,508,185
0.17%
192,956
0.013%
(3)
Options and agreements to purchase/sell:
7,400
0.001%
7,500
0.001%
Total
2,725,772
0.185%
3,550,219
0.24%
(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
97,764
82.2 USD
Purchase
4,330
82.6 USD
Purchase
371
81.645 USD
Purchase
1
81.85 USD
Purchase
1
81.87 USD
Purchase
1
81.95 USD
Purchase
1
81.97 USD
Purchase
1
81.99 USD
Purchase
1,795
81.998 USD
Purchase
38
82.01 USD
Purchase
14
82.04 USD
Purchase
10,236
82.045 USD
Purchase
2
82.05 USD
Purchase
38
82.06 USD
Purchase
3
82.08 USD
Purchase
77
82.09 USD
Purchase
56
82.1 USD
Purchase
40
82.12 USD
Purchase
1
82.13 USD
Purchase
100
82.14 USD
Purchase
43
82.16 USD
Purchase
38
82.17 USD
Purchase
1
82.19 USD
Purchase
151,719
82.2 USD
Purchase
1,302
82.21 USD
Purchase
1,203
82.22 USD
Purchase
1,803
82.23 USD
Purchase
2,091
82.24 USD
Purchase
1,739
82.25 USD
Purchase
1,590
82.26 USD
Purchase
803
82.27 USD
Purchase
600
82.28 USD
Purchase
842
82.29 USD
Purchase
488
82.3 USD
Purchase
441
82.31 USD
Purchase
642
82.32 USD
Purchase
1,301
82.33 USD
Purchase
200
82.335 USD
Purchase
1,807
82.34 USD
Purchase
1,576
82.35 USD
Purchase
2,251
82.36 USD
Purchase
272
82.365 USD
Purchase
1,684
82.37 USD
Purchase
492
82.38 USD
Purchase
509
82.39 USD
Purchase
236
82.4 USD
Purchase
3
82.41 USD
Purchase
2
82.42 USD
Purchase
2
82.44 USD
Purchase
226
82.46 USD
Purchase
44
82.47 USD
Purchase
102
82.48 USD
Purchase
44
82.49 USD
Purchase
1,435
82.5 USD
Purchase
1
82.51 USD
Purchase
62
82.52 USD
Purchase
20
82.53 USD
Purchase
39
82.55 USD
Purchase
1
82.58 USD
Purchase
142
82.68 USD
Purchase
100
82.69 USD
Purchase
373
82.7 USD
Purchase
1
82.71 USD
Purchase
77
82.73 USD
Purchase
45
82.74 USD
Purchase
1
82.77 USD
Purchase
19
83.76 USD
Purchase/sale
Number of relevant securities
Price per unit (Note 4)
Sale
119
81.28 USD
Sale
112
81.29 USD
Sale
100
81.3 USD
Sale
100
81.31 USD
Sale
236
81.32 USD
Sale
20
81.33 USD
Sale
12
81.39 USD
Sale
1
81.395 USD
Sale
101
81.4 USD
Sale
1
81.41 USD
Sale
86
81.415 USD
Sale
100
81.42 USD
Sale
100
81.44 USD
Sale
25
81.46 USD
Sale
87
81.47 USD
Sale
100
81.475 USD
Sale
104
81.48 USD
Sale
173
81.5 USD
Sale
100
81.51 USD
Sale
4
81.515 USD
Sale
29
81.52 USD
Sale
30
81.53 USD
Sale
100
81.54 USD
Sale
186
81.56 USD
Sale
100
81.59 USD
Sale
87
81.61 USD
Sale
169
81.62 USD
Sale
100
81.63 USD
Sale
273
81.64 USD
Sale
371
81.645 USD
Sale
113
81.65 USD
Sale
29
81.66 USD
Sale
86
81.67 USD
Sale
6
81.68 USD
Sale
329
81.69 USD
Sale
5
81.695 USD
Sale
169
81.7 USD
Sale
174
81.72 USD
Sale
88
81.73 USD
Sale
152
81.74 USD
Sale
100
81.745 USD
Sale
138
81.75 USD
Sale
87
81.755 USD
Sale
100
81.76 USD
Sale
518
81.77 USD
Sale
186
81.78 USD
Sale
275
81.79 USD
Sale
79
81.8 USD
Sale
8
81.805 USD
Sale
46
81.82 USD
Sale
178
81.83 USD
Sale
432
81.84 USD
Sale
311
81.85 USD
Sale
207
81.86 USD
Sale
468
81.87 USD
Sale
148
81.88 USD
Sale
842
81.89 USD
Sale
1,073
81.9 USD
Sale
1,169
81.91 USD
Sale
1,394
81.92 USD
Sale
260
81.925 USD
Sale
1,022
81.93 USD
Sale
375
81.94 USD
Sale
615
81.95 USD
Sale
17
81.955 USD
Sale
947
81.96 USD
Sale
550
81.97 USD
Sale
153
81.98 USD
Sale
396
81.99 USD
Sale
1,300
81.995 USD
Sale
1,795
81.998 USD
Sale
412
82 USD
Sale
791
82.01 USD
Sale
130
82.02 USD
Sale
145
82.03 USD
Sale
1
82.035 USD
Sale
679
82.04 USD
Sale
10,236
82.045 USD
Sale
622
82.05 USD
Sale
125
82.06 USD
Sale
319
82.07 USD
Sale
4
82.075 USD
Sale
573
82.08 USD
Sale
174
82.081 USD
Sale
171
82.085 USD
Sale
418
82.09 USD
Sale
1,003
82.1 USD
Sale
87
82.105 USD
Sale
869
82.11 USD
Sale
1,146
82.12 USD
Sale
100
82.125 USD
Sale
302
82.13 USD
Sale
77
82.135 USD
Sale
155
82.14 USD
Sale
207
82.15 USD
Sale
319
82.16 USD
Sale
967
82.17 USD
Sale
34
82.18 USD
Sale
476
82.19 USD
Sale
107,016
82.2 USD
Sale
3,128
82.21 USD
Sale
2,105
82.22 USD
Sale
100
82.221 USD
Sale
101
82.225 USD
Sale
1,303
82.23 USD
Sale
233
82.231 USD
Sale
373
82.235 USD
Sale
1,611
82.24 USD
Sale
200
82.241 USD
Sale
4,355
82.25 USD
Sale
2,236
82.26 USD
Sale
299
82.261 USD
Sale
100
82.265 USD
Sale
2,320
82.27 USD
Sale
500
82.275 USD
Sale
2,992
82.28 USD
Sale
100
82.285 USD
Sale
3,782
82.29 USD
Sale
114
82.291 USD
Sale
585
82.295 USD
Sale
5,985
82.3 USD
Sale
101
82.301 USD
Sale
100
82.305 USD
Sale
5,028
82.31 USD
Sale
173
82.311 USD
Sale
4,071
82.32 USD
Sale
30
82.325 USD
Sale
2,982
82.33 USD
Sale
8
82.335 USD
Sale
4,711
82.34 USD
Sale
200
82.345 USD
Sale
4,045
82.35 USD
Sale
487
82.36 USD
Sale
700
82.37 USD
Sale
589
82.38 USD
Sale
1,069
82.39 USD
Sale
100
82.395 USD
Sale
1,245
82.4 USD
Sale
1,384
82.41 USD
Sale
174
82.42 USD
Sale
86
82.425 USD
Sale
618
82.43 USD
Sale
1,302
82.44 USD
Sale
728
82.45 USD
Sale
51
82.455 USD
Sale
687
82.46 USD
Sale
1,224
82.47 USD
Sale
1,001
82.48 USD
Sale
1,321
82.49 USD
Sale
935
82.5 USD
Sale
400
82.51 USD
Sale
807
82.52 USD
Sale
500
82.53 USD
Sale
787
82.54 USD
Sale
673
82.55 USD
Sale
600
82.56 USD
Sale
331
82.57 USD
Sale
623
82.58 USD
Sale
889
82.59 USD
Sale
374
82.6 USD
Sale
600
82.61 USD
Sale
400
82.62 USD
Sale
300
82.63 USD
Sale
414
82.64 USD
Sale
902
82.65 USD
Sale
386
82.66 USD
Sale
28
82.67 USD
Sale
28
82.68 USD
Sale
1,100
82.69 USD
Sale
163
82.7 USD
Sale
629
82.71 USD
Sale
300
82.715 USD
Sale
403
82.72 USD
Sale
1,284
82.73 USD
Sale
1,340
82.74 USD
Sale
449
82.75 USD
Sale
1,628
82.76 USD
Sale
2,037
82.77 USD
Sale
1,734
82.78 USD
Sale
1,492
82.79 USD
Sale
1,100
82.8 USD
Sale
1,843
82.81 USD
Sale
1,228
82.82 USD
Sale
762
82.83 USD
Sale
572
82.84 USD
Sale
400
82.86 USD
Sale
313
82.88 USD
Sale
19
83.76 USD
Sale
4,617
82.2 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 Long Position
58,338
82.2 USD
Swaps
Reducing a Long Position
330
82.2 USD
Swaps
Increasing a Short Position
25
82.2 USD
Swaps
Reducing a Short Position
1,026
82.2 USD
Swaps
Increasing a Long Position
1,300
81.995 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 327,500 shares
N/A
Borrow
Borrow of 71,900 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
01/05/2020
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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