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
08/05/2020
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
232,431
0.016%
4,290,825
0.291 %
(2)
Derivatives (other than options):
2,604,085
0.176%
215,828
0.015%
(3)
Options and agreements to purchase/sell:
7,400
0.001%
7,500
0.001%
Total
2,843,916
0.193%
4,514,153
0.306%
(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
14,392
83.96 USD
Purchase
1
83.23 USD
Purchase
19
83.24 USD
Purchase
19
83.25 USD
Purchase
37
83.26 USD
Purchase
26
83.29 USD
Purchase
13
83.3 USD
Purchase
6
83.32 USD
Purchase
44
83.334 USD
Purchase
1
83.34 USD
Purchase
1
83.35 USD
Purchase
1
83.37 USD
Purchase
26
83.4 USD
Purchase
31
83.41 USD
Purchase
123
83.42 USD
Purchase
8
83.43 USD
Purchase
19
83.44 USD
Purchase
9
83.45 USD
Purchase
5
83.46 USD
Purchase
4
83.47 USD
Purchase
3
83.48 USD
Purchase
4
83.49 USD
Purchase
7
83.5 USD
Purchase
5
83.51 USD
Purchase
1
83.52 USD
Purchase
30
83.53 USD
Purchase
13
83.54 USD
Purchase
129
83.545 USD
Purchase
52
83.55 USD
Purchase
20
83.56 USD
Purchase
6
83.6 USD
Purchase
6
83.61 USD
Purchase
7
83.63 USD
Purchase
1
83.64 USD
Purchase
1
83.66 USD
Purchase
7
83.7 USD
Purchase
1
83.73 USD
Purchase
1
83.75 USD
Purchase
5
83.77 USD
Purchase
1
83.79 USD
Purchase
7
83.8 USD
Purchase
3
83.82 USD
Purchase
6
83.84 USD
Purchase
1
83.85 USD
Purchase
1
83.86 USD
Purchase
4
83.88 USD
Purchase
1
83.89 USD
Purchase
13
83.9 USD
Purchase
2
83.91 USD
Purchase
1
83.93 USD
Purchase
7
83.94 USD
Purchase
8
83.95 USD
Purchase
11,923
83.96 USD
Purchase
57
83.97 USD
Purchase
4
83.98 USD
Purchase
2
83.99 USD
Purchase
8
84.01 USD
Purchase
5
84.02 USD
Purchase
40
84.03 USD
Purchase
2
84.05 USD
Purchase
14
84.06 USD
Purchase
6
84.07 USD
Purchase
1
84.08 USD
Purchase
13
84.09 USD
Purchase
33
84.1 USD
Purchase
9
84.11 USD
Purchase
76
84.12 USD
Purchase
6
84.15 USD
Purchase
41
84.16 USD
Purchase
42
84.17 USD
Purchase
7
84.18 USD
Purchase
1
84.2 USD
Purchase
6
84.22 USD
Purchase
1
84.24 USD
Purchase
1
84.27 USD
Purchase/sale
Number of relevant securities
Price per unit (Note 4)
Sale
114
82.55 USD
Sale
233
82.56 USD
Sale
76
82.57 USD
Sale
125
82.59 USD
Sale
446
82.6 USD
Sale
86
82.61 USD
Sale
40
82.615 USD
Sale
185
82.62 USD
Sale
86
82.63 USD
Sale
70
82.64 USD
Sale
187
82.65 USD
Sale
87
82.66 USD
Sale
100
82.68 USD
Sale
172
82.69 USD
Sale
155
82.7 USD
Sale
87
82.71 USD
Sale
1,189
82.72 USD
Sale
718
82.73 USD
Sale
87
82.735 USD
Sale
131
82.74 USD
Sale
118
82.75 USD
Sale
30
82.76 USD
Sale
31
82.77 USD
Sale
86
82.78 USD
Sale
11
82.79 USD
Sale
402
82.82 USD
Sale
79
82.83 USD
Sale
7
82.84 USD
Sale
314
82.86 USD
Sale
398
82.87 USD
Sale
87
82.88 USD
Sale
187
82.89 USD
Sale
50
82.9 USD
Sale
186
82.91 USD
Sale
232
82.93 USD
Sale
139
82.94 USD
Sale
61
82.95 USD
Sale
80
82.955 USD
Sale
104
82.96 USD
Sale
91
82.97 USD
Sale
352
82.98 USD
Sale
3
82.99 USD
Sale
88
83 USD
Sale
8
83.01 USD
Sale
890
83.02 USD
Sale
1,069
83.03 USD
Sale
186
83.035 USD
Sale
578
83.04 USD
Sale
932
83.05 USD
Sale
346
83.06 USD
Sale
101
83.07 USD
Sale
100
83.08 USD
Sale
72
83.09 USD
Sale
372
83.1 USD
Sale
100
83.11 USD
Sale
379
83.12 USD
Sale
100
83.125 USD
Sale
148
83.13 USD
Sale
90
83.14 USD
Sale
177
83.15 USD
Sale
104
83.16 USD
Sale
90
83.17 USD
Sale
4
83.22 USD
Sale
94
83.26 USD
Sale
51
83.27 USD
Sale
1
83.275 USD
Sale
4
83.28 USD
Sale
223
83.29 USD
Sale
2
83.3 USD
Sale
378
83.31 USD
Sale
64
83.32 USD
Sale
177
83.33 USD
Sale
44
83.334 USD
Sale
201
83.35 USD
Sale
186
83.36 USD
Sale
277
83.37 USD
Sale
231
83.38 USD
Sale
344
83.381 USD
Sale
726
83.39 USD
Sale
442
83.4 USD
Sale
100
83.405 USD
Sale
622
83.41 USD
Sale
200
83.411 USD
Sale
468
83.42 USD
Sale
620
83.43 USD
Sale
197
83.44 USD
Sale
100
83.445 USD
Sale
359
83.45 USD
Sale
750
83.46 USD
Sale
173
83.461 USD
Sale
613
83.47 USD
Sale
860
83.48 USD
Sale
386
83.49 USD
Sale
1,052
83.5 USD
Sale
100
83.501 USD
Sale
788
83.51 USD
Sale
892
83.52 USD
Sale
275
83.525 USD
Sale
845
83.53 USD
Sale
50
83.535 USD
Sale
474
83.54 USD
Sale
129
83.545 USD
Sale
4,573
83.546 USD
Sale
1,221
83.55 USD
Sale
65
83.555 USD
Sale
1,491
83.56 USD
Sale
87
83.565 USD
Sale
2,564
83.57 USD
Sale
373
83.575 USD
Sale
2,599
83.58 USD
Sale
2,039
83.59 USD
Sale
100
83.595 USD
Sale
2,243
83.6 USD
Sale
176
83.605 USD
Sale
2,360
83.61 USD
Sale
202
83.615 USD
Sale
2,406
83.62 USD
Sale
468
83.625 USD
Sale
1,345
83.63 USD
Sale
100
83.635 USD
Sale
1,437
83.64 USD
Sale
28
83.645 USD
Sale
1,001
83.65 USD
Sale
98
83.655 USD
Sale
10
83.66 USD
Sale
192
83.67 USD
Sale
109
83.68 USD
Sale
206
83.69 USD
Sale
316
83.7 USD
Sale
204
83.71 USD
Sale
138
83.72 USD
Sale
492
83.73 USD
Sale
121
83.74 USD
Sale
90
83.75 USD
Sale
7
83.76 USD
Sale
451
83.78 USD
Sale
202
83.79 USD
Sale
754
83.8 USD
Sale
13
83.81 USD
Sale
907
83.82 USD
Sale
3,120
83.83 USD
Sale
100
83.835 USD
Sale
733
83.84 USD
Sale
200
83.845 USD
Sale
725
83.85 USD
Sale
285
83.86 USD
Sale
104
83.87 USD
Sale
369
83.88 USD
Sale
156
83.89 USD
Sale
192
83.9 USD
Sale
477
83.91 USD
Sale
73
83.912 USD
Sale
204
83.92 USD
Sale
12,313
83.93 USD
Sale
469
83.94 USD
Sale
786
83.95 USD
Sale
16,015
83.96 USD
Sale
1
83.965 USD
Sale
1,038
83.97 USD
Sale
2,516
83.98 USD
Sale
1,747
83.99 USD
Sale
2,006
84 USD
Sale
1,752
84.01 USD
Sale
1,611
84.02 USD
Sale
760
84.03 USD
Sale
696
84.04 USD
Sale
496
84.05 USD
Sale
1,201
84.06 USD
Sale
1,427
84.07 USD
Sale
206
84.08 USD
Sale
652
84.09 USD
Sale
1,343
84.1 USD
Sale
74
84.101 USD
Sale
494
84.11 USD
Sale
2,029
84.12 USD
Sale
1,618
84.13 USD
Sale
307
84.14 USD
Sale
604
84.15 USD
Sale
601
84.16 USD
Sale
1,083
84.17 USD
Sale
826
84.18 USD
Sale
408
84.19 USD
Sale
173
84.21 USD
Sale
275
84.22 USD
Sale
4
84.24 USD
Sale
2
84.25 USD
Sale
174
84.255 USD
Sale
2
84.27 USD
Sale
11,378
83.96 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 Short Position
161
83.532 USD
Swaps
Reducing a Short Position
542
83.532 USD
Swaps
Reducing a Short Position
260
83.54 USD
Swaps
Reducing a Short Position
3,610
83.54 USD
Swaps
Reducing a Short Position
3,248
83.96 USD
Swaps
Increasing a Short Position
586
83.901 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 2,200 shares
N/A
Borrow
Borrow of 71,100 shares
N/A
Borrow
Borrow of 1,315,000 shares
N/A
Borrow
Borrow of 99,300 shares
N/A
Borrow
Borrow of 25,000 shares
N/A
Borrow
Borrow of 259,700 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
11/05/2020
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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