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Monday 10 February, 2020

BkofA Merrill Lynch

Form 38.5 (b) - AbbVie

RNS Number : 5065C
Bank of America Merrill Lynch
10 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

07/02/2020

 

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

144,447

0.01%

2,649,721

0.179 %

(2)

Derivatives (other than options):

1,927,904

0.13%

155,934

0.011%

(3)

Options and agreements to purchase/sell:

7,400

0.001%

7,500

0.001%

Total

2,079,751

0.141%

2,813,155

0.191%

 

(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

                                  7,710

 89.531 USD

 Purchase

                                      31

 89.95 USD

 Purchase

                                      50

 90.03 USD

 Purchase

                                     300

 90.04 USD

 Purchase

                                      86

 90.05 USD

 Purchase

                                     150

 90.07 USD

 Purchase

                                     352

 90.08 USD

 Purchase

                                     282

 90.09 USD

 Purchase

                                     149

 90.15 USD

 Purchase

                                     300

 90.18 USD

 Purchase

                                     293

 90.19 USD

 Purchase

                                     400

 90.2 USD

 Purchase

                                  2,558

 90.22 USD

 Purchase

                                      50

 90.23 USD

 Purchase

                                     752

 90.25 USD

 Purchase

                                        5

 90.4 USD

 Purchase

                                      15

 90.47 USD

 Purchase

                                        5

 90.48 USD

 Purchase

                                        8

 90.56 USD

 Purchase

                                        7

 90.59 USD

 Purchase

                                        5

 90.6 USD

 Purchase

                                        6

 90.61 USD

 Purchase

                                      16

 90.64 USD

 Purchase

                                        6

 90.78 USD

 Purchase

                                      12

 90.79 USD

 Purchase

                                        4

 90.81 USD

 Purchase

                                        5

 90.835 USD

 Purchase

                                        5

 90.86 USD

 Purchase

                                        4

 90.89 USD

 Purchase

                                        5

 90.9 USD

 Purchase

                                      24

 90.91 USD

 Purchase

                                      20

 91 USD

 Purchase

                                     200

 91.08 USD

 Purchase

                                        6

 91.11 USD

 Purchase

                                        6

 91.12 USD

 Purchase

                                        6

 91.13 USD

 Purchase

                                        5

 91.14 USD

 Purchase

                                     100

 91.15 USD

 Purchase

                                      88

 91.16 USD

 Purchase

                                     215

 91.17 USD

 Purchase

                                     175

 91.18 USD

 Purchase

                                     356

 91.19 USD

 Purchase

                                     574

 91.2 USD

 Purchase

                                     430

 91.21 USD

 Purchase

                                     169

 91.22 USD

 Purchase

                                      67

 91.23 USD

 Purchase

                                      31

 91.24 USD

 Purchase

                                     264

 91.25 USD

 Purchase

                                     100

 91.26 USD

 Purchase

                                      30

 91.27 USD

 Purchase

                                     100

 91.28 USD

 Purchase

                                     290

 91.29 USD

 Purchase

                                     172

 91.3 USD

 Purchase

                                      15

 91.31 USD

 Purchase

                                     149

 91.32 USD

 Purchase

                                     233

 91.33 USD

 Purchase

                                      30

 91.34 USD

 Purchase

                                     130

 91.35 USD

 Purchase

                                     100

 91.36 USD

 Purchase

                                     474

 91.37 USD

 Purchase

                                     562

 91.38 USD

 Purchase

                                     136

 91.39 USD

 Purchase

                                     146

 91.4 USD

 Purchase

                                     366

 91.41 USD

 Purchase

                                     174

 91.42 USD

 Purchase

                                     107

 91.43 USD

 Purchase

                                     105

 91.44 USD

 Purchase

                                     107

 91.45 USD

 Purchase

                                     798

 91.46 USD

 Purchase

                                      42

 91.47 USD

 Purchase

                                     223

 91.48 USD

 Purchase

                                     205

 91.49 USD

 Purchase

                                     590

 91.5 USD

 Purchase

                                     817

 91.51 USD

 Purchase

                                     109

 91.52 USD

 Purchase

                                     100

 91.53 USD

 Purchase

                                     254

 91.54 USD

 Purchase

                                     286

 91.55 USD

 Purchase

                                     100

 91.56 USD

 Purchase

                                     116

 91.57 USD

 Purchase

                                      92

 91.58 USD

 Purchase

                                     161

 91.59 USD

 Purchase

                                     300

 91.595 USD

 Purchase

                                     600

 91.61 USD

 Purchase

                                     200

 91.615 USD

 Purchase

                                     304

 91.62 USD

 Purchase

                                     418

 91.625 USD

 Purchase

                                      15

 91.63 USD

 Purchase

                                      16

 91.64 USD

 Purchase

                                      13

 91.66 USD

 Purchase

                                  2,900

 91.665 USD

 Purchase

                                  1,506

 91.67 USD

 Purchase

                                  2,000

 91.675 USD

 Purchase

                                  1,020

 91.68 USD

 Purchase

                                  1,262

 91.685 USD

 Purchase

                                     719

 91.69 USD

 Purchase

                                     530

 91.7 USD

 Purchase

                                     200

 91.705 USD

 Purchase

                                  3,749

 91.71 USD

 Purchase

                                  1,300

 91.715 USD

 Purchase

                                     500

 91.72 USD

 Purchase

                                  1,309

 91.725 USD

 Purchase

                                  2,853

 91.73 USD

 Purchase

                                  2,734

 91.735 USD

 Purchase

                                  3,675

 91.74 USD

 Purchase

                                  6,044

 91.745 USD

 Purchase

                                28,118

 91.75 USD

 Purchase

                                     204

 91.76 USD

 Purchase

                                     300

 91.77 USD

 Purchase

                                     100

 91.78 USD

 Purchase

                                        4

 91.805 USD

 Purchase

                                        5

 91.82 USD

 Purchase

                                      12

 91.83 USD

 Purchase

                                        6

 91.84 USD

 Purchase

                                     100

 91.86 USD

 Purchase

                                     356

 91.865 USD

 Purchase

                                  1,716

 91.87 USD

 Purchase

                                      91

 91.88 USD

 Purchase

                                  2,800

 91.89 USD

 Purchase

                                  1,200

 91.895 USD

 Purchase

                                     200

 91.91 USD

 Purchase

                                  1,594

 91.92 USD

 Purchase

                                     100

 91.923 USD

 Purchase

                                  2,310

 91.925 USD

 Purchase

                                  1,000

 91.93 USD

 Purchase

                                     800

 91.935 USD

 Purchase

                                  1,428

 91.94 USD

 Purchase

                                     773

 91.945 USD

 Purchase

                                  5,500

 91.96 USD

 Purchase

                                     586

 91.963 USD

 Purchase

                                10,840

 91.965 USD

 Purchase

                                        5

 91.97 USD

 Purchase

                                        5

 91.98 USD

 Purchase

                                     320

 91.99 USD

 Purchase

                                10,186

 92 USD

 Purchase

                                     100

 92.003 USD

 Purchase

                                     362

 92.005 USD

 Purchase

                                  2,307

 92.01 USD

 Purchase

                                     646

 92.015 USD

 Purchase

                                     200

 92.025 USD

 Purchase

                                     373

 92.03 USD

 Purchase

                                     500

 92.035 USD

 Purchase

                                  1,482

 92.04 USD

 Purchase

                                     500

 92.045 USD

 Purchase

                                     400

 92.05 USD

 Purchase

                                  3,582

 92.055 USD

 Purchase

                                  3,720

 92.06 USD

 Purchase

                                     100

 92.063 USD

 Purchase

                                  5,110

 92.065 USD

 Purchase

                                  1,676

 92.07 USD

 Purchase

                                     200

 92.073 USD

 Purchase

                                     826

 92.075 USD

 Purchase

                                  3,474

 92.08 USD

 Purchase

                                  3,280

 92.085 USD

 Purchase

                                  5,680

 92.09 USD

 Purchase

                                  2,700

 92.095 USD

 Purchase

                                32,430

 92.1 USD

 Purchase

                                     400

 92.11 USD

 Purchase

                                  1,885

 92.14 USD

 Purchase

                                     300

 92.145 USD

 Purchase

                                  1,212

 92.15 USD

 Purchase

                                     100

 92.155 USD

 Purchase

                                  1,216

 92.16 USD

 Purchase

                                  3,348

 92.17 USD

 Purchase

                                     100

 92.175 USD

 Purchase

                                  1,291

 92.176 USD

 Purchase

                                  3,408

 92.18 USD

 Purchase

                                19,951

 92.19 USD

 Purchase

                                     800

 92.2 USD

 Purchase

                                     200

 92.205 USD

 Purchase

                                  5,678

 92.21 USD

 Purchase

                                     400

 92.215 USD

 Purchase

                                10,830

 92.22 USD

 Purchase

                                     700

 92.225 USD

 Purchase

                                  3,800

 92.23 USD

 Purchase

                                  1,093

 92.24 USD

 Purchase

                                     100

 92.245 USD

 Purchase

                                  7,927

 92.25 USD

 Purchase

                                     100

 92.255 USD

 Purchase

                                  1,200

 92.26 USD

 Purchase

                                  6,637

 92.27 USD

 Purchase

                                  4,170

 92.28 USD

 Purchase

                                  1,200

 92.285 USD

 Purchase

                                26,470

 92.29 USD

 Purchase

                                     300

 92.295 USD

 Purchase

                                32,725

 92.3 USD

 Purchase

                                  2,798

 92.31 USD

 Purchase

                                     100

 92.315 USD

 Purchase

                                  2,050

 92.32 USD

 Purchase

                                     100

 92.325 USD

 Purchase

                                  4,209

 92.33 USD

 Purchase

                                     100

 92.335 USD

 Purchase

                                  7,070

 92.34 USD

 Purchase

                                  5,923

 92.35 USD

 Purchase

                                10,569

 92.36 USD

 Purchase

                                     900

 92.37 USD

 Purchase

                                     400

 92.61 USD

 Purchase

                                  3,115

 92.62 USD

 Purchase

                                     300

 92.63 USD

 Purchase

                                     200

 92.635 USD

 Purchase

                                     600

 92.64 USD

 Purchase

                                  2,287

 92.65 USD

 Purchase

                                  1,500

 92.66 USD

 Purchase

                                     400

 92.67 USD

 Purchase

                                  2,604

 92.68 USD

 Purchase

                                  1,357

 92.69 USD

 Purchase

                                37,237

 92.7 USD

Purchase

                                  5,196

 91.45 USD

 Purchase

                                20,000

 92.26 USD

 Purchase

                                     571

 92.29 USD

 Purchase

                                     674

 92.3 USD

 

Purchase/sale

Number of relevant securities

Price per unit (Note 4)

Sale

                                  6,264

 89 USD

 Sale

                                     259

 89.69 USD

 Sale

                                     100

 90.35 USD

 Sale

                                      22

 91.12 USD

 Sale

                                  1,494

 91.125 USD

 Sale

                                     100

 91.14 USD

 Sale

                                     244

 91.17 USD

 Sale

                                     300

 91.19 USD

 Sale

                                      87

 91.2 USD

 Sale

                                     173

 91.21 USD

 Sale

                                     260

 91.22 USD

 Sale

                                      40

 91.23 USD

 Sale

                                     803

 91.24 USD

 Sale

                                      87

 91.245 USD

 Sale

                                     434

 91.25 USD

 Sale

                                     659

 91.26 USD

 Sale

                                     223

 91.27 USD

 Sale

                                     203

 91.28 USD

 Sale

                                     601

 91.29 USD

 Sale

                                     633

 91.3 USD

 Sale

                                     173

 91.31 USD

 Sale

                                        1

 91.32 USD

 Sale

                                     100

 91.33 USD

 Sale

                                     100

 91.37 USD

 Sale

                                      87

 91.38 USD

 Sale

                                     173

 91.4 USD

 Sale

                                     100

 91.44 USD

 Sale

                                     100

 91.51 USD

 Sale

                                     433

 91.52 USD

 Sale

                                     347

 91.54 USD

 Sale

                                     157

 91.58 USD

 Sale

                                     149

 91.59 USD

 Sale

                                     298

 91.6 USD

 Sale

                                     499

 91.61 USD

 Sale

                                     361

 91.63 USD

 Sale

                                     200

 91.64 USD

 Sale

                                     261

 91.65 USD

 Sale

                                     251

 91.66 USD

 Sale

                                     867

 91.67 USD

 Sale

                                     449

 91.68 USD

 Sale

                                     501

 91.69 USD

 Sale

                                     128

 91.7 USD

 Sale

                                     300

 91.71 USD

 Sale

                                     173

 91.73 USD

 Sale

                                     983

 91.74 USD

 Sale

                                  2,628

 91.75 USD

 Sale

                                  1,206

 91.76 USD

 Sale

                                     100

 91.765 USD

 Sale

                                     515

 91.77 USD

 Sale

                                     120

 91.775 USD

 Sale

                                  1,066

 91.78 USD

 Sale

                                     600

 91.82 USD

 Sale

                                     763

 91.83 USD

 Sale

                                      80

 91.875 USD

 Sale

                                     514

 91.954 USD

 Sale

                                     695

 92.08 USD

 Sale

                                     366

 92.085 USD

 Sale

                                  1,007

 92.09 USD

 Sale

                                     755

 92.095 USD

 Sale

                                     830

 92.1 USD

 Sale

                                      72

 92.105 USD

 Sale

                                     998

 92.11 USD

 Sale

                                      17

 92.12 USD

 Sale

                                     239

 92.13 USD

 Sale

                                     101

 92.14 USD

 Sale

                                     520

 92.15 USD

 Sale

                                     231

 92.16 USD

 Sale

                                      18

 92.17 USD

 Sale

                                      41

 92.175 USD

 Sale

                                     125

 92.18 USD

 Sale

                                     195

 92.19 USD

 Sale

                                     568

 92.2 USD

 Sale

                                  1,232

 92.21 USD

 Sale

                                  3,237

 92.22 USD

 Sale

                                     173

 92.23 USD

 Sale

                                        3

 92.235 USD

 Sale

                                     100

 92.24 USD

 Sale

                                  2,027

 92.25 USD

 Sale

                                  1,253

 92.26 USD

 Sale

                                  5,814

 92.27 USD

 Sale

                                  1,986

 92.28 USD

 Sale

                                  3,404

 92.29 USD

 Sale

                                     100

 92.293 USD

 Sale

                                     844

 92.295 USD

 Sale

                                     150

 92.3 USD

 Sale

                                     724

 92.31 USD

 Sale

                                     200

 92.315 USD

 Sale

                                      12

 92.32 USD

 Sale

                                16,663

 92.33 USD

 Sale

                                  2,510

 92.34 USD

 Sale

                                  3,021

 92.35 USD

 Sale

                                  2,879

 92.36 USD

 Sale

                                     373

 92.37 USD

 Sale

                                     100

 92.38 USD

 Sale

                                      87

 92.4 USD

 Sale

                                     607

 92.42 USD

 Sale

                                      86

 92.43 USD

 Sale

                                     100

 92.46 USD

 Sale

                                     100

 92.47 USD

 Sale

                                     305

 92.5 USD

 Sale

                                        3

 92.565 USD

 Sale

                                      86

 92.62 USD

 Sale

                                        1

 92.73 USD

 Sale

                                     400

 92.74 USD

 Sale

                                     100

 92.77 USD

 Sale

                                     433

 92.82 USD

Sale

                                  5,629

 89.5 USD

 Sale

                              250,000

 91.6 USD

 Sale

                                     591

 91.9 USD

 Sale

                                10,000

 92.28 USD

 Sale

                                20,000

 92.3 USD

 Sale

                                10,000

 92.33 USD

 Sale

                                21,000

 92.63 USD

 Sale

                                35,000

 92.7 USD

 Sale

                                10,000

 92.72 USD

 Sale

                                10,000

 92.8 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

Increasing a Short Position

1,291

92.183 USD

Swaps

Reducing a Short Position

500

91.938 USD

Swaps

Reducing a Short Position

4

92.282 USD

Swaps

Reducing a Short Position

10

92.282 USD

Swaps

Reducing a Long Position

93

90.19 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 83,400 shares

N/A

Borrow

Borrow of 600 shares

N/A

Borrow

Borrow of 600 shares

N/A

Borrow

Borrow of 600 shares

N/A

Borrow

Borrow of 162,320 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

10/02/2020

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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END
 
 
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