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
01/05/2020
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
207,760
0.014%
3,426,731
0.232 %
(2)
Derivatives (other than options):
2,507,285
0.17%
193,448
0.013%
(3)
Options and agreements to purchase/sell:
7,400
0.001%
7,500
0.001%
Total
2,722,745
0.184%
3,627,679
0.246%
(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
100
80.81 USD
Purchase
100
80.825 USD
Purchase
500
80.83 USD
Purchase
300
80.84 USD
Purchase
300
80.85 USD
Purchase
500
80.86 USD
Purchase
1,222
80.87 USD
Purchase
100
80.875 USD
Purchase
300
80.88 USD
Purchase
200
80.91 USD
Purchase
300
80.92 USD
Purchase
8,949
82.84 USD
Purchase
100
80.63 USD
Purchase
200
80.64 USD
Purchase
86
81 USD
Purchase
294
81.01 USD
Purchase
100
81.02 USD
Purchase
72
81.03 USD
Purchase
270
81.05 USD
Purchase
348
81.06 USD
Purchase
168
81.07 USD
Purchase
200
81.09 USD
Purchase
23
81.12 USD
Purchase
100
81.13 USD
Purchase
100
81.34 USD
Purchase
100
81.36 USD
Purchase
73
81.37 USD
Purchase
117
81.42 USD
Purchase
86
81.43 USD
Purchase
446
81.44 USD
Purchase
10
81.46 USD
Purchase
205
81.47 USD
Purchase
71
81.48 USD
Purchase
5
81.495 USD
Purchase
352
81.5 USD
Purchase
178
81.51 USD
Purchase
173
81.52 USD
Purchase
101
81.54 USD
Purchase
14,875
81.55 USD
Purchase
25
81.56 USD
Purchase
23
81.59 USD
Purchase
87
81.6 USD
Purchase
86
81.62 USD
Purchase
5
81.65 USD
Purchase
199
81.68 USD
Purchase
121
81.69 USD
Purchase
205
81.7 USD
Purchase
24
81.71 USD
Purchase
5
81.73 USD
Purchase
4
81.74 USD
Purchase
1
81.76 USD
Purchase
24
81.81 USD
Purchase
6
81.85 USD
Purchase
23
81.89 USD
Purchase
5
81.91 USD
Purchase
47
81.92 USD
Purchase
24
81.96 USD
Purchase
100
81.97 USD
Purchase
144
81.98 USD
Purchase
72
81.99 USD
Purchase
84
82 USD
Purchase
7
82.01 USD
Purchase
92
82.02 USD
Purchase
3
82.03 USD
Purchase
4
82.1 USD
Purchase
30
82.12 USD
Purchase
34
82.13 USD
Purchase
26
82.17 USD
Purchase
10
82.19 USD
Purchase
77
82.2 USD
Purchase
4
82.21 USD
Purchase
100
82.5 USD
Purchase
446
82.51 USD
Purchase
93
82.52 USD
Purchase
400
82.529 USD
Purchase
100
82.53 USD
Purchase
200
82.54 USD
Purchase
200
82.549 USD
Purchase
2,959
82.55 USD
Purchase
6
82.61 USD
Purchase
67
82.62 USD
Purchase
1,893
82.64 USD
Purchase
94
82.65 USD
Purchase
921
82.66 USD
Purchase
1,941
82.67 USD
Purchase
1,028
82.68 USD
Purchase
113
82.69 USD
Purchase
1,181
82.7 USD
Purchase
594
82.71 USD
Purchase
1,147
82.72 USD
Purchase
72
82.73 USD
Purchase
113
82.74 USD
Purchase
342
82.76 USD
Purchase
548
82.77 USD
Purchase
449
82.78 USD
Purchase
1,720
82.79 USD
Purchase
232
82.795 USD
Purchase
723
82.8 USD
Purchase
25
82.809 USD
Purchase
161
82.81 USD
Purchase
666
82.82 USD
Purchase
2,872
82.84 USD
Purchase
100
82.85 USD
Purchase
5
82.88 USD
Purchase
6
82.89 USD
Purchase
200
82.9 USD
Purchase
100
82.91 USD
Purchase
173
82.95 USD
Purchase
20
83.06 USD
Purchase
200
83.07 USD
Purchase
200
83.08 USD
Purchase
100
83.1 USD
Purchase
186
83.11 USD
Purchase
182
83.14 USD
Purchase
900
83.155 USD
Purchase
93
83.16 USD
Purchase
258
83.17 USD
Purchase
1
83.18 USD
Purchase
373
83.22 USD
Purchase
200
83.24 USD
Purchase
481
83.25 USD
Purchase
100
83.26 USD
Purchase
173
83.27 USD
Purchase
274
83.29 USD
Purchase
287
83.32 USD
Purchase
173
83.33 USD
Purchase
272
83.34 USD
Purchase
10
83.36 USD
Purchase
100
83.38 USD
Purchase
200
83.39 USD
Purchase
185
83.4 USD
Purchase
348
83.41 USD
Purchase
100
83.42 USD
Purchase
446
83.45 USD
Purchase
400
83.48 USD
Purchase
116
83.49 USD
Purchase
58
83.5 USD
Purchase
50
83.51 USD
Purchase
273
83.52 USD
Purchase
173
83.54 USD
Purchase
100
83.6 USD
Purchase
1
83.64 USD
Purchase
198
83.66 USD
Purchase
84
83.67 USD
Purchase
182
83.68 USD
Purchase
100
83.74 USD
Purchase
649
83.75 USD
Purchase
451
83.76 USD
Purchase
308
83.77 USD
Purchase
186
83.78 USD
Purchase
100
83.8 USD
Purchase
334
83.81 USD
Purchase
902
83.82 USD
Purchase
303
83.83 USD
Purchase
448
83.84 USD
Purchase
200
83.85 USD
Purchase
2
83.86 USD
Purchase
261
83.87 USD
Purchase
100
83.88 USD
Purchase
87
83.89 USD
Purchase/sale
Number of relevant securities
Price per unit (Note 4)
Sale
100
80.81 USD
Sale
100
80.825 USD
Sale
500
80.83 USD
Sale
300
80.84 USD
Sale
300
80.85 USD
Sale
500
80.86 USD
Sale
1,222
80.87 USD
Sale
100
80.875 USD
Sale
300
80.88 USD
Sale
200
80.91 USD
Sale
300
80.92 USD
Sale
100
81.11 USD
Sale
172
81.21 USD
Sale
146
81.51 USD
Sale
14,875
81.55 USD
Sale
120
81.88 USD
Sale
100
81.89 USD
Sale
100
81.93 USD
Sale
200
81.96 USD
Sale
200
81.98 USD
Sale
200
81.99 USD
Sale
100
82 USD
Sale
100
82.01 USD
Sale
100
82.02 USD
Sale
258
82.06 USD
Sale
100
82.07 USD
Sale
16
82.08 USD
Sale
421
82.11 USD
Sale
300
82.14 USD
Sale
100
82.16 USD
Sale
77
82.2 USD
Sale
100
82.21 USD
Sale
100
82.22 USD
Sale
100
82.23 USD
Sale
185
82.25 USD
Sale
531
82.26 USD
Sale
100
82.27 USD
Sale
100
82.28 USD
Sale
100
82.29 USD
Sale
4
82.36 USD
Sale
2
82.41 USD
Sale
103
82.42 USD
Sale
9
82.45 USD
Sale
4
82.48 USD
Sale
1,723
82.5 USD
Sale
3
82.51 USD
Sale
16
82.52 USD
Sale
273
82.53 USD
Sale
2
82.54 USD
Sale
286
82.55 USD
Sale
641
82.56 USD
Sale
118
82.565 USD
Sale
1,631
82.57 USD
Sale
957
82.58 USD
Sale
1,590
82.59 USD
Sale
2,757
82.6 USD
Sale
822
82.61 USD
Sale
1,369
82.62 USD
Sale
31
82.621 USD
Sale
13
82.625 USD
Sale
507
82.63 USD
Sale
1,646
82.64 USD
Sale
17
82.645 USD
Sale
1,784
82.65 USD
Sale
1,490
82.66 USD
Sale
156
82.665 USD
Sale
1,894
82.67 USD
Sale
100
82.673 USD
Sale
100
82.675 USD
Sale
2,278
82.68 USD
Sale
940
82.69 USD
Sale
250
82.695 USD
Sale
1,529
82.7 USD
Sale
300
82.705 USD
Sale
1,611
82.71 USD
Sale
123
82.715 USD
Sale
1,828
82.72 USD
Sale
100
82.725 USD
Sale
1,003
82.73 USD
Sale
100
82.735 USD
Sale
2,093
82.74 USD
Sale
200
82.741 USD
Sale
100
82.745 USD
Sale
200
82.748 USD
Sale
2,586
82.75 USD
Sale
2,824
82.76 USD
Sale
504
82.765 USD
Sale
2,161
82.77 USD
Sale
9,705
82.78 USD
Sale
600
82.785 USD
Sale
2,133
82.79 USD
Sale
400
82.795 USD
Sale
200
82.798 USD
Sale
4,616
82.8 USD
Sale
1,261
82.81 USD
Sale
300
82.815 USD
Sale
2,041
82.82 USD
Sale
100
82.825 USD
Sale
1,749
82.83 USD
Sale
9,806
82.84 USD
Sale
86
82.845 USD
Sale
1,808
82.85 USD
Sale
312
82.86 USD
Sale
100
82.865 USD
Sale
1,385
82.87 USD
Sale
100
82.875 USD
Sale
1,506
82.88 USD
Sale
2,171
82.89 USD
Sale
1,841
82.9 USD
Sale
349
82.905 USD
Sale
1,691
82.91 USD
Sale
100
82.915 USD
Sale
1,003
82.92 USD
Sale
1,232
82.93 USD
Sale
1,301
82.94 USD
Sale
100
82.945 USD
Sale
5,919
82.95 USD
Sale
1,828
82.96 USD
Sale
1,671
82.97 USD
Sale
600
82.975 USD
Sale
953
82.98 USD
Sale
400
82.985 USD
Sale
547
82.99 USD
Sale
1,402
83 USD
Sale
1,148
83.01 USD
Sale
1,668
83.02 USD
Sale
300
83.03 USD
Sale
1,732
83.04 USD
Sale
100
83.045 USD
Sale
1,181
83.05 USD
Sale
1,188
83.06 USD
Sale
100
83.065 USD
Sale
391
83.07 USD
Sale
1,464
83.08 USD
Sale
200
83.085 USD
Sale
2,193
83.09 USD
Sale
100
83.093 USD
Sale
200
83.095 USD
Sale
5,241
83.1 USD
Sale
1,000
83.105 USD
Sale
100
83.108 USD
Sale
2,528
83.11 USD
Sale
200
83.115 USD
Sale
3,196
83.12 USD
Sale
400
83.125 USD
Sale
100
83.128 USD
Sale
2,731
83.13 USD
Sale
1,400
83.135 USD
Sale
100
83.138 USD
Sale
3,926
83.14 USD
Sale
1,503
83.145 USD
Sale
1,276
83.15 USD
Sale
200
83.151 USD
Sale
100
83.155 USD
Sale
1,892
83.16 USD
Sale
200
83.165 USD
Sale
3,200
83.17 USD
Sale
3,023
83.18 USD
Sale
100
83.181 USD
Sale
1,899
83.19 USD
Sale
200
83.195 USD
Sale
1,083
83.2 USD
Sale
560
83.21 USD
Sale
632
83.22 USD
Sale
1,439
83.23 USD
Sale
658
83.24 USD
Sale
798
83.25 USD
Sale
200
83.255 USD
Sale
150
83.26 USD
Sale
12
83.28 USD
Sale
100
83.3 USD
Sale
400
83.305 USD
Sale
612
83.31 USD
Sale
100
83.315 USD
Sale
500
83.32 USD
Sale
400
83.325 USD
Sale
117
83.33 USD
Sale
200
83.335 USD
Sale
124
83.35 USD
Sale
2
83.38 USD
Sale
1,500
83.445 USD
Sale
136
83.45 USD
Sale
100
83.458 USD
Sale
100
83.46 USD
Sale
100
83.47 USD
Sale
100
83.475 USD
Sale
200
83.48 USD
Sale
300
83.5 USD
Sale
2
83.51 USD
Sale
100
83.59 USD
Sale
2
83.65 USD
Sale
2,900
84 USD
Sale
2
84.03 USD
Sale
1,912
82.84 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
492
82.203 USD
Swaps
Reducing a Long Position
500
83.155 USD
Swaps
Reducing a Long Position
400
83.155 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 26,600 shares
N/A
Borrow
Borrow of 26,600 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
04/05/2020
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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