AbbVie Inc. - Form 8.1 - Statement of Stock Purchase by Director
NORTH CHICAGO, Ill., March 2, 2020 /PRNewswire/ -- AbbVie issued the following forms today.
| IRISH TAKEOVER PANEL |
| DISCLOSURE UNDER RULE 8.1(a) AND (b)(i) OF THE IRISH TAKEOVER PANEL ACT, 1997, TAKEOVER RULES, 2013 |
| DEALINGS BY OFFERORS, OFFEREES OR PARTIES ACTING IN CONCERT WITH THEM FOR THEMSELVES OR FOR DISCRETIONARY CLIENTS |
| 1. KEY INFORMATION | |
| Name of person dealing (Note 1) | AbbVie Inc. |
| Company dealt in | AbbVie Inc. |
| Class of relevant security to which the dealings being disclosed relate (Note 2) | Common shares, par value $0.01 per share |
| Date of dealing | 28 February 2020 |
| 2. INTERESTS AND SHORT POSITIONS | ||||||
| (a) Interests and short positions (following dealing) in the class of relevant security dealt in (Note 3) | ||||||
| Long | Short | |||||
| Number | (%) | Number | (%) | |||
| (1) Relevant securities | N/A | |||||
| (2) Derivatives (other than options) | N/A | |||||
| (3) Options and agreements to purchase/sell | N/A | |||||
| Total | N/A | |||||
| (b) Interests and short positions in relevant securities of the company, other than the class dealt in (Note 3) N/A | ||||||
| Class of relevant security: | Long | Short | ||||
| Number | (%) | Number | (%) | |||
| (1) Relevant securities | ||||||
| (2) Derivatives (other than options) | ||||||
| (3) Options and agreements to purchase/sell | ||||||
| Total | ||||||
| 3. DEALINGS (Note 4) | ||
| (a) Purchases and sales | ||
| Purchase/sale | Number of relevant securities | Price per unit (Note 5) |
| Share buyback | 2,452,782 | $83.654 |
| (b) Derivatives transactions (other than options transactions) | |||
| Product name, e.g. CFD | Nature of transaction (Note 6) | Number of relevant securities (Note 7) | Price per unit (Note 5) |
| (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 5) |
| (ii) Exercising | ||
| Product name, e.g. call option | Number of securities | Exercise price per unit (Note 5) |
| (d) Other dealings (including transactions in respect of new securities) (Note 4) | ||
| Nature of transaction (Note 8) | Details | Price per unit (if applicable) (Note 5) |
| 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. |
| Is a Supplemental Form 8 attached? (Note 9) | YES/NO? |
| Date of disclosure | 2 March 2020 |
| Contact name | Steven L. Scrogham |
| Telephone number | 847-938-6166 |
| Name of offeree/offeror with which acting in concert | AbbVie Inc. |
| Specify category and nature of acting in concert status | AbbVie Inc. |
| 1. KEY INFORMATION | |
| Name of person dealing (Note 1) | Richard Gonzalez |
| Company dealt in | AbbVie Inc. |
| Class of relevant security to which the dealings being disclosed relate (Note 2) | Common shares, par value $0.01 per share |
| Date of dealing | 21 February 2020 |
| 2. INTERESTS AND SHORT POSITIONS | ||||||
| (a)Interests and short positions (following dealing) in the class of relevant security dealt in (Note 3) | ||||||
| Long | Short | |||||
| Number | (%) | Number | (%) | |||
| (1) Relevant securities | 523,561 Common Shares (0.0004%) | |||||
| (2) Derivatives (other than options) | N/A | |||||
| (3) Options and agreements to purchase/sell | 1,161,286 options (0.0008%) | |||||
| Total | 1,684,847 (0.0011%) | |||||
| (b)Interests and short positions in relevant securities of the company, other than the class dealt in (Note 3) N/A | ||||||
| Class of relevant security: | Long | Short | ||||
| Number | (%) | Number | (%) | |||
| (1) Relevant securities | ||||||
| (2) Derivatives (other than options) | ||||||
| (3) Options and agreements to purchase/sell | ||||||
| Total | ||||||
| 3. DEALINGS (Note 4) | ||
| (a) Purchases and sales | ||
| Purchase/sale | Number of relevant securities | Price per unit (Note 5) |
| Issue of common shares pursuant to AbbVie equity award plans | 200,262 common shares | $0 |
| Gift of common shares | 3,675 common shares | $0 |
| (b) Derivatives transactions (other than options transactions) | |||
| Product name, e.g. CFD | Nature of transaction (Note 6) | Number of relevant securities (Note 7) | Price per unit (Note 5) |
| (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 5) |
| (ii) Exercising | ||
| Product name, e.g. call option | Number of securities | Exercise price per unit (Note 5) |
| (d) Other dealings (including transactions in respect of new securities) (Note 4) | ||
| Nature of transaction (Note 8) | Details | Price per unit (if applicable) (Note 5) |
| 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. |
| Is a Supplemental Form 8 attached? (Note 9) | YES/NO? |
| Date of disclosure | 2 March 2020 |
| Contact name | Steven L. Scrogham |
| Telephone number | 847-938-6166 |
| Name of offeree/offeror with which acting in concert | AbbVie Inc. |
| Specify category and nature of acting in concert status | Director of AbbVie Inc. |
| 1. KEY INFORMATION | |
| Name of person dealing (Note 1) | Richard Gonzalez |
| Company dealt in | AbbVie Inc. |
| Class of relevant security to which the dealings being disclosed relate (Note 2) | Common shares, par value $0.01 per share |
| Date of dealing | 28 February 2020 |
| 2. INTERESTS AND SHORT POSITIONS | ||||||
| (a) Interests and short positions (following dealing) in the class of relevant security dealt in (Note 3) | ||||||
| Long | Short | |||||
| Number | (%) | Number | (%) | |||
| (1) Relevant securities | 434,843 Common Shares (0.0004%) | |||||
| (2) Derivatives (other than options) | N/A | |||||
| (3) Options and agreements to purchase/sell | 1,161,286 options (0.0008%) | |||||
| Total | 1,596,128 (0.0011%) | |||||
| (b) Interests and short positions in relevant securities of the company, other than the class dealt in (Note 3) N/A | ||||||
| Class of relevant security: | Long | Short | ||||
| Number | (%) | Number | (%) | |||
| (1) Relevant securities | ||||||
| (2) Derivatives (other than options) | ||||||
| (3) Options and agreements to purchase/sell | ||||||
| Total | ||||||
| 3. DEALINGS (Note 4) | |||||
| (a) Purchases and sales | |||||
| Purchase/sale | Number of relevant securities | Price per unit (Note 5) | |||
| Withholding of common shares to satisfy tax obligations | 88,719 common shares | $0 | |||
| (b) Derivatives transactions (other than options transactions) | |||||
| Product name, e.g. CFD | Nature of transaction (Note 6) | Number of relevant securities (Note 7) | Price per unit (Note 5) | ||
| (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 5) |
| (ii) Exercising | ||
| Product name, e.g. call option | Number of securities | Exercise price per unit (Note 5) |
| (d) Other dealings (including transactions in respect of new securities) (Note 4) | ||
| Nature of transaction (Note 8) | Details | Price per unit (if applicable) (Note 5) |
| 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. |
| Is a Supplemental Form 8 attached? (Note 9) | YES/NO? |
| Date of disclosure | 2 March 2020 |
| Contact name | Steven L. Scrogham |
| Telephone number | 847-938-6166 |
| Name of offeree/offeror with which acting in concert | AbbVie Inc. |
| Specify category and nature of acting in concert status | Director of AbbVie Inc. |
CONTACT: Adelle Infante, 1-847-938-8745
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