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Thursday 06 February, 2020

BkofA Merrill Lynch

Form 38.5 (b) - AbbVie

RNS Number : 2164C
Bank of America Merrill Lynch
06 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

05/02/2020

 

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

149,672

0.010%

2,546,196

0.172 %

(2)

Derivatives (other than options):

1,840,198

0.124%

157, 242

0.011%

(3)

Options and agreements to purchase/sell:

7,400

0.001%

7,500

0.001%

Total

1,997,270

0.135%

2,553,696

0.184%

 

(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

                                    94

86.63 USD

 Purchase

                                5,196

86.8 USD

 Purchase

                                    20

84.36 USD

 Purchase

                                   563

84.97 USD

 Purchase

                                      2

85.37 USD

 Purchase

                                    18

85.38 USD

 Purchase

                                   100

85.68 USD

 Purchase

                                   100

85.71 USD

 Purchase

                                   100

85.84 USD

 Purchase

                                   300

85.85 USD

 Purchase

                                   300

85.86 USD

 Purchase

                                   100

85.9 USD

 Purchase

                                   548

85.91 USD

 Purchase

                                    73

85.925 USD

 Purchase

                                   187

85.93 USD

 Purchase

                                    99

85.95 USD

 Purchase

                                    14

85.965 USD

 Purchase

                                1,069

85.97 USD

 Purchase

                                   472

85.98 USD

 Purchase

                                   456

85.99 USD

 Purchase

                                2,144

86 USD

 Purchase

                                    86

86.01 USD

 Purchase

                                   172

86.02 USD

 Purchase

                                    89

86.03 USD

 Purchase

                                   201

86.04 USD

 Purchase

                                   392

86.05 USD

 Purchase

                                   175

86.06 USD

 Purchase

                                   272

86.07 USD

 Purchase

                                   215

86.08 USD

 Purchase

                                   879

86.09 USD

 Purchase

                                      1

86.1 USD

 Purchase

                                   128

86.12 USD

 Purchase

                                   201

86.13 USD

 Purchase

                                   605

86.14 USD

 Purchase

                                    32

86.145 USD

 Purchase

                                   143

86.15 USD

 Purchase

                                    43

86.16 USD

 Purchase

                                    18

86.5 USD

 Purchase

                                      1

86.51 USD

 Purchase

                                    48

86.54 USD

 Purchase

                                    55

86.55 USD

 Purchase

                                    47

86.56 USD

 Purchase

                                    57

86.57 USD

 Purchase

                                    52

86.58 USD

 Purchase

                                    51

86.59 USD

 Purchase

                                    37

86.6 USD

 Purchase

                                    56

86.61 USD

 Purchase

                                   148

86.62 USD

 Purchase

                              37,816

86.63 USD

 Purchase

                                    47

86.64 USD

 Purchase

                                      6

86.65 USD

 Purchase

                                    46

86.66 USD

 Purchase

                                      5

86.67 USD

 Purchase

                                1,023

86.716 USD

 Purchase

                                      5

86.72 USD

 Purchase

                                      8

86.73 USD

 Purchase

                                      4

86.75 USD

 Purchase

                                      4

86.76 USD

 Purchase

                                1,281

86.761 USD

 Purchase

                                      8

86.78 USD

 Purchase

                                      6

86.79 USD

 Purchase

                                    13

86.81 USD

 Purchase

                                      1

86.83 USD

 Purchase

                                      9

86.84 USD

 Purchase

                                      7

86.85 USD

 Purchase

                                      9

86.86 USD

 Purchase

                                      6

86.87 USD

 Purchase

                                      1

86.88 USD

 Purchase

                                    13

86.89 USD

 Purchase

                                    17

86.9 USD

 Purchase

                                      2

86.91 USD

 Purchase

                                    59

86.915 USD

 Purchase

                                      4

86.93 USD

 Purchase

                                      1

86.94 USD

 Purchase

                                      4

86.97 USD

 

Purchase/sale

Number of relevant securities

Price per unit (Note 4)

Sale

                                    20

84.36 USD

 Sale

                                   563

84.97 USD

 Sale

                                   188

85.52 USD

 Sale

                                   942

85.97 USD

 Sale

                                    90

86 USD

 Sale

                                   100

86.07 USD

 Sale

                                   100

86.08 USD

 Sale

                                   100

86.105 USD

 Sale

                                   436

86.11 USD

 Sale

                                   100

86.13 USD

 Sale

                                   100

86.14 USD

 Sale

                                   100

86.15 USD

 Sale

                                    43

86.18 USD

 Sale

                                    86

86.46 USD

 Sale

                                    45

86.47 USD

 Sale

                                   699

86.475 USD

 Sale

                                   933

86.48 USD

 Sale

                                   470

86.49 USD

 Sale

                                   100

86.495 USD

 Sale

                                   186

86.5 USD

 Sale

                                   612

86.51 USD

 Sale

                                   533

86.515 USD

 Sale

                                   489

86.52 USD

 Sale

                                   274

86.53 USD

 Sale

                                1,155

86.54 USD

 Sale

                                   433

86.55 USD

 Sale

                                   432

86.555 USD

 Sale

                                   193

86.56 USD

 Sale

                                   113

86.57 USD

 Sale

                                4,179

86.58 USD

 Sale

                                      3

86.59 USD

 Sale

                                   403

86.6 USD

 Sale

                                      3

86.605 USD

 Sale

                                   393

86.61 USD

 Sale

                                   316

86.62 USD

 Sale

                              76,371

86.63 USD

 Sale

                                      3

86.65 USD

 Sale

                                    34

86.665 USD

 Sale

                                   132

86.67 USD

 Sale

                                    68

86.675 USD

 Sale

                                   199

86.68 USD

 Sale

                                    18

86.69 USD

 Sale

                                   100

86.7 USD

 Sale

                                   407

86.72 USD

 Sale

                                   742

86.73 USD

 Sale

                                   100

86.735 USD

 Sale

                                   505

86.74 USD

 Sale

                                1,435

86.75 USD

 Sale

                                1,443

86.76 USD

 Sale

                                      3

86.765 USD

 Sale

                                3,409

86.77 USD

 Sale

                                   584

86.775 USD

 Sale

                                1,568

86.78 USD

 Sale

                                   387

86.785 USD

 Sale

                                1,695

86.79 USD

 Sale

                                    87

86.795 USD

 Sale

                                1,484

86.8 USD

 Sale

                                      3

86.805 USD

 Sale

                                   995

86.81 USD

 Sale

                                1,748

86.82 USD

 Sale

                                   100

86.825 USD

 Sale

                                   401

86.83 USD

 Sale

                                   376

86.84 USD

 Sale

                                   100

86.845 USD

 Sale

                                   286

86.85 USD

 Sale

                                      3

86.86 USD

 Sale

                                   398

86.87 USD

 Sale

                                      6

86.88 USD

 Sale

                                   101

86.89 USD

 Sale

                                    90

86.9 USD

 Sale

                                      1

86.905 USD

 Sale

                                   440

86.91 USD

 Sale

                                    59

86.915 USD

 Sale

                                   279

86.92 USD

 Sale

                                   385

86.93 USD

 Sale

                                   266

86.94 USD

 Sale

                                   100

86.945 USD

 Sale

                                   108

86.95 USD

 Sale

                                   100

86.953 USD

 Sale

                                1,080

86.96 USD

 Sale

                                   200

86.965 USD

 Sale

                                      3

86.98 USD

 Sale

                                      4

86.99 USD

 Sale

                                      4

87.02 USD

 Sale

                                      4

87.03 USD

 Sale

                                      4

87.04 USD

 Sale

                                      8

87.06 USD

 Sale

                                      8

87.07 USD

 Sale

                                   819

87.08 USD

 Sale

                                   400

87.1 USD

 Sale

                                1,163

86.63 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

Reducing a short position

 22

86.79 USD

Swaps

Opening a long position

 1,831

86.63 USD

Swaps

Opening a Short position

 37,000

86.63 USD

Swaps

Increasing a long position

 37,000

86.63 USD

Swaps

Reducing a short position

 287

86.57 USD

Swaps

Reducing a short position

 213

86.57 USD

Swaps

Increasing a long position

 598

86.28 USD

Swaps

Reducing a short position

 18

86.79 USD

Swaps

Closing a Short Position

 37,000

86.63 USD

Swaps

Increasing a short position

 1,281

86.77 USD

Swaps

Reducing a short position

 3,620

86.57 USD

Swaps

Increasing a short position

 1,023

86.72 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)




N/A

N/A

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

06/02/2020

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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