AbbVie Inc. - Form 8.1 - Statement of Stock Purchase by Director

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)

Edward Rapp

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

31 December 2019

Long

Short

Number

(%)

Number

(%)

(1) Relevant securities

30,662 (0.002%)

(2) Derivatives (other than options)

16,872 (0.001%)

(3) Options and agreements to purchase/sell

N/A

Total

47,534 (0.003%)

(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)

(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)

Stock equivalent unit

Director fee credit to stock equivalent unit account

384

$88.54

(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

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

Is a Supplemental Form 8 attached? (Note 9)

YES/NO√

Date of disclosure

8 January 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)

Edward Liddy

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

31 December 2019

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

22,669 (0.002%)

(2) Derivatives (other than options)

24,692 (0.002%)

(3) Options and agreements to purchase/sell

N/A

Total

47,361 (0.003%)

(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)

(b)      Derivatives transactions (other than options transactions)

Number of relevant securities
(Note 7)

Price per unit
(Note 5)

Stock equivalent unit

Director fee credit to stock equivalent unit account

367

$88.54

(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

8 January 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)

Robert Alpern  

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

31 December 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

26,107 (0.002%)

(2) Derivatives (other than options)

6,933 (0.000%)

(3) Options and agreements to purchase/sell

N/A

Total

33,040 (0.002%)

(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)

(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)

Stock equivalent unit

Director fee credit to stock equivalent unit account

77

$88.54

(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

8 January 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.