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Friday 14 February, 2020

BkofA Merrill Lynch

Form 38.5 (b) - AbbVie Inc

RNS Number : 0834D
Bank of America Merrill Lynch
14 February 2020
 

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

13/02/2020

 

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

117,348

0.008%

2,622,371

0.177 %

(2)

Derivatives (other than options):

1,888,924

0.128%

144,602

0.01%

(3)

Options and agreements to purchase/sell:

7,400

0.001%

7,500

0.001%

Total

2,013,672

0.137%

2,774,473

0.188%

 

(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

                                5,196

95.44 USD

 Purchase

                                5,196

96.36 USD

 Purchase

                                      2

95.265 USD

 Purchase

                                      3

95.27 USD

 Purchase

                                      2

95.3 USD

 Purchase

                                   113

95.32 USD

 Purchase

                                      8

95.33 USD

 Purchase

                                      4

95.34 USD

 Purchase

                              95,563

95.35 USD

 Purchase

                                      8

95.36 USD

 Purchase

                                      6

95.37 USD

 Purchase

                                      3

95.39 USD

 Purchase

                                      2

95.42 USD

 Purchase

                                      3

95.44 USD

 Purchase

                                      2

95.45 USD

 Purchase

                                      6

95.46 USD

 Purchase

                                      2

95.47 USD

 Purchase

                                      2

95.485 USD

 Purchase

                                      3

95.49 USD

 Purchase

                                      2

95.5 USD

 Purchase

                                      6

95.52 USD

 Purchase

                                      2

95.525 USD

 Purchase

                                      4

95.56 USD

 Purchase

                                      2

95.565 USD

 Purchase

                                      9

95.58 USD

 Purchase

                                      2

95.59 USD

 Purchase

                                      7

95.61 USD

 Purchase

                                      2

95.62 USD

 Purchase

                                      6

95.64 USD

 Purchase

                                      4

95.65 USD

 Purchase

                                      3

95.67 USD

 Purchase

                                      5

95.68 USD

 Purchase

                                      2

95.69 USD

 Purchase

                                   100

96.17 USD

 Purchase

                                   173

96.36 USD

 Purchase

                                   100

96.46 USD

 Purchase

                                   433

96.555 USD

 Purchase

                                    40

96.56 USD

 Purchase

                                   400

96.57 USD

 Purchase

                                   146

96.58 USD

 Purchase

                                   100

96.585 USD

 Purchase

                                   718

96.59 USD

 Purchase

                                   261

96.6 USD

 Purchase

                                   753

96.61 USD

 Purchase

                                   529

96.62 USD

 Purchase

                                   375

96.63 USD

 Purchase

                                   822

96.64 USD

 Purchase

                                   100

96.645 USD

 Purchase

                                   776

96.65 USD

 Purchase

                                   200

96.66 USD

 Purchase

                                   203

96.67 USD

 Purchase

                                   286

96.68 USD

 Purchase

                                   200

96.69 USD

 Purchase

                                   100

96.695 USD

 Purchase

                                    60

96.699 USD

 Purchase

                                   486

96.7 USD

 Purchase

                                   720

96.71 USD

 Purchase

                                   101

96.72 USD

 Purchase

                                   359

96.73 USD

 Purchase

                                   546

96.74 USD

 Purchase

                                   484

96.75 USD

 Purchase

                                   172

96.76 USD

 Purchase

                                   127

96.77 USD

 Purchase

                                   101

96.78 USD

 Purchase

                                    39

96.789 USD

 Purchase

                                   146

96.79 USD

 Purchase

                                   100

96.8 USD

 Purchase

                                   200

96.81 USD

 Purchase

                                   231

96.82 USD

 Purchase

                                   100

96.829 USD

 Purchase

                                   473

96.83 USD

 Purchase

                                   395

96.84 USD

 Purchase

                                   332

96.849 USD

 Purchase

                                   702

96.85 USD

 Purchase

                                   175

96.86 USD

 Purchase

                                   919

96.87 USD

 Purchase

                                   748

96.88 USD

 Purchase

                                1,783

96.89 USD

 Purchase

                                   493

96.899 USD

 Purchase

                                1,493

96.9 USD

 Purchase

                                   715

96.91 USD

 Purchase

                                   619

96.92 USD

 Purchase

                                   181

96.93 USD

 Purchase

                                   474

96.95 USD

 Purchase

                                   311

96.959 USD

 Purchase

                                   283

96.96 USD

 Purchase

                                   200

96.97 USD

 Purchase

                                   100

96.98 USD

 Purchase

                                   273

96.99 USD

 Purchase

                                    47

96.999 USD

 Purchase

                                1,465

97 USD

 Purchase

                                      1

97.01 USD

 Purchase

                                   792

97.02 USD

 Purchase

                                1,162

97.03 USD

 Purchase

                                   101

97.04 USD

 Purchase

                                3,015

97.06 USD

 Purchase

                                    85

97.07 USD

 Purchase

                                   948

97.08 USD

 Purchase

                                   288

97.09 USD

 Purchase

                                   100

97.12 USD

 Purchase

                                   743

97.13 USD

 Purchase

                                   100

97.14 USD

 Purchase

                                   300

97.15 USD

 Purchase

                                   100

97.155 USD

 Purchase

                                   186

97.16 USD

 Purchase

                                1,031

97.17 USD

 Purchase

                                   231

97.18 USD

 Purchase

                                    80

97.19 USD

 Purchase

                                1,018

97.2 USD

 Purchase

                                   661

97.21 USD

 Purchase

                                   100

97.215 USD

 Purchase

                                   349

97.22 USD

 Purchase

                                   538

97.23 USD

 Purchase

                                   873

97.24 USD

 Purchase

                                   335

97.25 USD

 Purchase

                                    79

97.26 USD

 Purchase

                                   625

97.27 USD

 Purchase

                                    97

97.28 USD

 Purchase

                                    21

97.29 USD

 Purchase

                                      7

97.3 USD

 Purchase

                                      1

97.31 USD

 

Purchase/sale

Number of relevant securities

Price per unit (Note 4)

Sale

                                    80

95.25 USD

 Sale

                                    69

95.255 USD

 Sale

                                   203

95.26 USD

 Sale

                                   655

95.27 USD

 Sale

                                   100

95.275 USD

 Sale

                                   754

95.28 USD

 Sale

                                   224

95.29 USD

 Sale

                                    94

95.3 USD

 Sale

                                   189

95.31 USD

 Sale

                                      6

95.315 USD

 Sale

                                   124

95.32 USD

 Sale

                                   658

95.33 USD

 Sale

                                   100

95.335 USD

 Sale

                                1,397

95.34 USD

 Sale

                              10,958

95.35 USD

 Sale

                                    87

95.36 USD

 Sale

                                1,655

95.37 USD

 Sale

                                1,038

95.38 USD

 Sale

                                   260

95.39 USD

 Sale

                                   443

95.4 USD

 Sale

                                   388

95.41 USD

 Sale

                                   368

95.42 USD

 Sale

                                   313

95.43 USD

 Sale

                                1,953

95.44 USD

 Sale

                                   287

95.45 USD

 Sale

                                   100

95.455 USD

 Sale

                                   740

95.46 USD

 Sale

                                1,181

95.47 USD

 Sale

                                   274

95.48 USD

 Sale

                                    88

95.49 USD

 Sale

                                      3

95.5 USD

 Sale

                                      3

95.51 USD

 Sale

                                   100

95.52 USD

 Sale

                                      7

95.54 USD

 Sale

                                   262

95.56 USD

 Sale

                                   433

95.57 USD

 Sale

                                      3

95.58 USD

 Sale

                                   501

95.6 USD

 Sale

                                   909

95.61 USD

 Sale

                                   103

95.615 USD

 Sale

                                   899

95.62 USD

 Sale

                                      1

95.625 USD

 Sale

                                   724

95.63 USD

 Sale

                                   173

95.635 USD

 Sale

                                   287

95.64 USD

 Sale

                                   833

95.641 USD

 Sale

                                   205

95.65 USD

 Sale

                                   100

95.655 USD

 Sale

                                1,079

95.66 USD

 Sale

                                    87

95.68 USD

 Sale

                                   480

95.7 USD

 Sale

                                   486

95.71 USD

 Sale

                                   753

95.72 USD

 Sale

                                   520

95.73 USD

 Sale

                                   315

95.74 USD

 Sale

                                    14

95.75 USD

 Sale

                                   193

95.76 USD

 Sale

                                      1

95.77 USD

 Sale

                                   273

95.78 USD

 Sale

                                    85

95.79 USD

 Sale

                                   100

95.8 USD

 Sale

                                    14

95.84 USD

 Sale

                                    13

95.9 USD

 Sale

                                    88

95.93 USD

 Sale

                                    75

95.99 USD

 Sale

                                1,158

96 USD

 Sale

                                1,281

96.01 USD

 Sale

                                2,401

96.02 USD

 Sale

                                   100

96.025 USD

 Sale

                                1,849

96.03 USD

 Sale

                                   646

96.04 USD

 Sale

                                   498

96.06 USD

 Sale

                                   100

96.08 USD

 Sale

                                    89

96.1 USD

 Sale

                                   414

96.11 USD

 Sale

                                      4

96.12 USD

 Sale

                                    86

96.13 USD

 Sale

                                      1

96.24 USD

 Sale

                                    13

96.26 USD

 Sale

                                      1

96.3 USD

 Sale

                                    17

96.31 USD

 Sale

                                      1

96.32 USD

 Sale

                                    18

96.33 USD

 Sale

                                   113

96.35 USD

 Sale

                                    13

96.36 USD

 Sale

                                    16

96.37 USD

 Sale

                                    17

96.38 USD

 Sale

                                    16

96.41 USD

 Sale

                                    13

96.43 USD

 Sale

                                    14

96.44 USD

 Sale

                                    16

96.5 USD

 Sale

                                    17

96.52 USD

 Sale

                                      6

96.53 USD

 Sale

                                    30

96.56 USD

 Sale

                                    14

96.58 USD

 Sale

                                      1

96.59 USD

 Sale

                                      1

96.62 USD

 Sale

                                      1

96.63 USD

 Sale

                                      2

96.65 USD

 Sale

                                      8

96.67 USD

 Sale

                                      5

96.68 USD

 Sale

                                      2

96.69 USD

 Sale

                                    29

96.74 USD

 Sale

                                      2

96.75 USD

 Sale

                                   984

96.77 USD

 Sale

                                   173

96.78 USD

 Sale

                                    30

96.81 USD

 Sale

                                    14

96.82 USD

 Sale

                                      1

96.87 USD

 Sale

                                   844

96.89 USD

 Sale

                                    27

96.93 USD

 Sale

                                      1

96.95 USD

 Sale

                                    29

96.97 USD

 Sale

                                    27

96.99 USD

 Sale

                                    31

97.04 USD

 Sale

                                      1

97.05 USD

 Sale

                                1,350

97.06 USD

 Sale

                                    27

97.08 USD

 Sale

                                    16

97.09 USD

 Sale

                                    43

97.1 USD

 Sale

                                    47

97.14 USD

 Sale

                                    14

97.16 USD

 Sale

                                    40

97.17 USD

 Sale

                                    18

97.19 USD

 Sale

                                      1

97.24 USD

 

(b)

Derivatives transactions (other than options transactions)

Product name,
e.g. CFD

Nature of transaction
(Note 5)

Number of relevant securities
(Note 6)

Price per unit
(Note 4)

Swaps

Closing a Long Position

95,260

95.35 USD

Swaps

Reducing a Short Position

335

96.067 USD

Swaps

Reducing a Short Position

225

95.343 USD

Swaps

Reducing a Short Position

273

95.343 USD

Swaps

Reducing a Long Position

324

95.476 USD

Swaps

Increasing a Long Position

10,727

95.35 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 option

Number 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 50,700 shares

N/A

Borrow

Borrow of 150,000 shares

N/A

Borrow

Borrow of 100 shares

N/A

Borrow

Borrow of 233,400 shares

N/A

Borrow

Borrow of 115,200 shares

N/A

Borrow

Borrow of 34,600 shares

N/A

Return of Borrow

34,700 shares returned

N/A

Return of Loan

NaN shares returned

N/A

Return of Loan

NaN shares returned

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

14/02/2020

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 option

Written or
purchased

Number of securities to which the option or derivative relates

Exercise price
(Note 2)

Type, e.g.
American,
European etc

Expiry 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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