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Thursday 13 February, 2020

BkofA Merrill Lynch

Form 38.5 (b) - AbbVie

RNS Number : 9258C
Bank of America Merrill Lynch
13 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

 

12/02/2020

 

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

 

118,780

0.008%

2,719,279

0.184 %

(2)

Derivatives (other than options):

 

1,973,781

0.133%

145,435

0.01%

(3)

Options and agreements to purchase/sell:

 

7,400

0.001%

7,500

0.001%

Total

2,099,961

0.142%

2,872,214

0.194%

 

(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

                                8,660

 97.65 USD

 Purchase

                                    45

 95.94 USD

 Purchase

                                   106

 96.19 USD

 Purchase

                                   200

 96.22 USD

 Purchase

                                   387

 96.234 USD

 Purchase

                                    11

 96.24 USD

 Purchase

                                   100

 96.29 USD

 Purchase

                                   100

 96.3 USD

 Purchase

                                   164

 96.31 USD

 Purchase

                                   100

 96.32 USD

 Purchase

                                      4

 96.33 USD

 Purchase

                                      7

 96.34 USD

 Purchase

                                   100

 96.36 USD

 Purchase

                                   100

 96.37 USD

 Purchase

                                      6

 96.375 USD

 Purchase

                                   100

 96.39 USD

 Purchase

                                      8

 96.4 USD

 Purchase

                                      6

 96.41 USD

 Purchase

                                      6

 96.44 USD

 Purchase

                                   200

 96.47 USD

 Purchase

                                    19

 96.49 USD

 Purchase

                                    30

 96.5 USD

 Purchase

                                   112

 96.51 USD

 Purchase

                                    11

 96.515 USD

 Purchase

                                   128

 96.52 USD

 Purchase

                                    19

 96.53 USD

 Purchase

                                    29

 96.535 USD

 Purchase

                                    15

 96.54 USD

 Purchase

                                   152

 96.55 USD

 Purchase

                                    30

 96.57 USD

 Purchase

                                      9

 96.58 USD

 Purchase

                                      4

 96.585 USD

 Purchase

                                   100

 96.59 USD

 Purchase

                                   257

 96.605 USD

 Purchase

                                    84

 96.62 USD

 Purchase

                                    26

 96.63 USD

 Purchase

                                   134

 96.64 USD

 Purchase

                                    30

 96.645 USD

 Purchase

                                   105

 96.65 USD

 Purchase

                                      5

 96.66 USD

 Purchase

                                    29

 96.68 USD

 Purchase

                                    28

 96.72 USD

 Purchase

                                    30

 96.76 USD

 Purchase

                                    29

 96.77 USD

 Purchase

                                    33

 96.78 USD

 Purchase

                                    30

 96.8 USD

 Purchase

                                    31

 96.81 USD

 Purchase

                                    35

 96.86 USD

 Purchase

                                    88

 96.87 USD

 Purchase

                                    29

 96.88 USD

 Purchase

                                    29

 96.89 USD

 Purchase

                                      5

 96.9 USD

 Purchase

                                    37

 96.91 USD

 Purchase

                                      9

 96.92 USD

 Purchase

                                      2

 96.925 USD

 Purchase

                                    51

 96.93 USD

 Purchase

                                   100

 96.935 USD

 Purchase

                                   701

 96.94 USD

 Purchase

                                2,611

 96.95 USD

 Purchase

                                      4

 96.955 USD

 Purchase

                                1,021

 96.96 USD

 Purchase

                                   374

 96.965 USD

 Purchase

                                4,116

 96.97 USD

 Purchase

                                   131

 96.975 USD

 Purchase

                                3,602

 96.98 USD

 Purchase

                                   100

 96.985 USD

 Purchase

                                2,676

 96.99 USD

 Purchase

                                   539

 96.995 USD

 Purchase

                                3,177

 97 USD

 Purchase

                                   300

 97.005 USD

 Purchase

                                8,632

 97.01 USD

 Purchase

                                   134

 97.015 USD

 Purchase

                                8,862

 97.02 USD

 Purchase

                                   100

 97.025 USD

 Purchase

                                1,541

 97.03 USD

 Purchase

                                   308

 97.035 USD

 Purchase

                                4,962

 97.04 USD

 Purchase

                                   287

 97.045 USD

 Purchase

                                    72

 97.049 USD

 Purchase

                                6,091

 97.05 USD

 Purchase

                                   287

 97.055 USD

 Purchase

                                   247

 97.059 USD

 Purchase

                                5,745

 97.06 USD

 Purchase

                                   726

 97.065 USD

 Purchase

                                    73

 97.069 USD

 Purchase

                                9,588

 97.07 USD

 Purchase

                                   274

 97.075 USD

 Purchase

                                2,223

 97.08 USD

 Purchase

                                   703

 97.085 USD

 Purchase

                                2,662

 97.09 USD

 Purchase

                                   461

 97.1 USD

 Purchase

                                1,099

 97.11 USD

 Purchase

                                   151

 97.115 USD

 Purchase

                                3,526

 97.12 USD

 Purchase

                                   430

 97.125 USD

 Purchase

                                2,401

 97.13 USD

 Purchase

                                   444

 97.135 USD

 Purchase

                                   940

 97.14 USD

 Purchase

                                      2

 97.145 USD

 Purchase

                                   995

 97.15 USD

 Purchase

                                   958

 97.16 USD

 Purchase

                                   968

 97.17 USD

 Purchase

                                   360

 97.175 USD

 Purchase

                                   933

 97.18 USD

 Purchase

                                   246

 97.185 USD

 Purchase

                                1,879

 97.19 USD

 Purchase

                                   194

 97.195 USD

 Purchase

                                1,250

 97.2 USD

 Purchase

                                   969

 97.21 USD

 Purchase

                                   100

 97.215 USD

 Purchase

                                   552

 97.22 USD

 Purchase

                                   101

 97.225 USD

 Purchase

                                   312

 97.23 USD

 Purchase

                                   259

 97.24 USD

 Purchase

                                   341

 97.25 USD

 Purchase

                                   548

 97.26 USD

 Purchase

                                   287

 97.29 USD

 Purchase

                                   434

 97.39 USD

 Purchase

                                    86

 97.4 USD

 Purchase

                                      2

 97.46 USD

 Purchase

                                   373

 97.465 USD

 Purchase

                                2,138

 97.47 USD

 Purchase

                                   489

 97.475 USD

 Purchase

                                1,090

 97.48 USD

 Purchase

                                   174

 97.485 USD

 Purchase

                                   261

 97.49 USD

 Purchase

                                    82

 97.495 USD

 Purchase

                                   429

 97.5 USD

 Purchase

                                   718

 97.505 USD

 Purchase

                                1,931

 97.51 USD

 Purchase

                                   100

 97.515 USD

 Purchase

                                   925

 97.52 USD

 Purchase

                                   116

 97.525 USD

 Purchase

                                    79

 97.57 USD

 Purchase

                                   267

 97.58 USD

 Purchase

                                    88

 97.585 USD

 Purchase

                                   606

 97.59 USD

 Purchase

                                   173

 97.615 USD

 Purchase

                                      2

 97.625 USD

 Purchase

                                   690

 97.63 USD

 Purchase

                                   400

 97.635 USD

 Purchase

                                1,492

 97.64 USD

 Purchase

                                      1

 97.65 USD

 Purchase

                                   420

 97.66 USD

 Purchase

                                   102

 97.665 USD

 Purchase

                                2,125

 97.67 USD

 Purchase

                                   372

 97.675 USD

 Purchase

                                1,473

 97.68 USD

 Purchase

                                      2

 97.685 USD

 Purchase

                                   563

 97.69 USD

 Purchase

                                   388

 97.695 USD

 Purchase

                                1,039

 97.7 USD

 Purchase

                                   100

 97.705 USD

 Purchase

                                1,324

 97.71 USD

 Purchase

                                   673

 97.715 USD

 Purchase

                                   640

 97.72 USD

 Purchase

                                   186

 97.725 USD

 Purchase

                                1,107

 97.73 USD

 Purchase

                                   305

 97.735 USD

 Purchase

                                   540

 97.74 USD

 Purchase

                                   200

 97.745 USD

 Purchase

                                1,123

 97.75 USD

 Purchase

                                    87

 97.775 USD

 Purchase

                                   130

 97.78 USD

 Purchase

                              10,889

 97.79 USD

 Purchase

                                1,124

 97.8 USD

 Purchase

                                   660

 97.81 USD

 Purchase

                                   689

 97.82 USD

 Purchase

                                   299

 97.83 USD

 Purchase

                                   100

 97.84 USD

 Purchase

                                   124

 97.85 USD

 Purchase

                                    37

 97.86 USD

 

Purchase/sale

Number of relevant securities

Price per unit (Note 4)

Sale

                                   238

 95.94 USD

 Sale

                                   164

 96.31 USD

 Sale

                                    36

 96.36 USD

 Sale

                                   100

 96.39 USD

 Sale

                                   173

 96.4 USD

 Sale

                                      1

 96.405 USD

 Sale

                                    87

 96.41 USD

 Sale

                                    47

 96.415 USD

 Sale

                                   202

 96.42 USD

 Sale

                                   345

 96.43 USD

 Sale

                                   163

 96.44 USD

 Sale

                                   200

 96.445 USD

 Sale

                                   634

 96.45 USD

 Sale

                                   200

 96.46 USD

 Sale

                                    78

 96.47 USD

 Sale

                                    45

 96.475 USD

 Sale

                                   100

 96.48 USD

 Sale

                                    28

 96.49 USD

 Sale

                                    59

 96.5 USD

 Sale

                                   445

 96.51 USD

 Sale

                                   310

 96.52 USD

 Sale

                                   377

 96.53 USD

 Sale

                                   514

 96.535 USD

 Sale

                                   407

 96.54 USD

 Sale

                                   200

 96.55 USD

 Sale

                                   202

 96.56 USD

 Sale

                                      4

 96.57 USD

 Sale

                                    95

 96.59 USD

 Sale

                                   336

 96.6 USD

 Sale

                                   257

 96.605 USD

 Sale

                                    12

 96.61 USD

 Sale

                                   154

 96.62 USD

 Sale

                                   710

 96.63 USD

 Sale

                                    86

 96.635 USD

 Sale

                                   704

 96.64 USD

 Sale

                                   100

 96.66 USD

 Sale

                                    60

 96.77 USD

 Sale

                                    63

 96.8 USD

 Sale

                                   621

 96.93 USD

 Sale

                                   573

 96.94 USD

 Sale

                                   187

 96.95 USD

 Sale

                                   205

 96.96 USD

 Sale

                                    78

 96.97 USD

 Sale

                                7,846

 97.025 USD

 Sale

                                    74

 97.05 USD

 Sale

                                    55

 97.08 USD

 Sale

                                    40

 97.12 USD

 Sale

                                    37

 97.16 USD

 Sale

                                    37

 97.21 USD

 Sale

                                    45

 97.23 USD

 Sale

                                    37

 97.24 USD

 Sale

                                    37

 97.32 USD

 Sale

                                    41

 97.48 USD

 Sale

                                    40

 97.525 USD

 Sale

                                   333

 97.54 USD

 Sale

                                   100

 97.545 USD

 Sale

                                   260

 97.55 USD

 Sale

                                   352

 97.57 USD

 Sale

                                   100

 97.575 USD

 Sale

                                1,399

 97.58 USD

 Sale

                                    37

 97.59 USD

 Sale

                                    37

 97.69 USD

 Sale

                                    37

 97.7 USD

 Sale

                                    40

 97.71 USD

 Sale

                                    41

 97.72 USD

 Sale

                                    42

 97.74 USD

 Sale

                                6,422

 97.79 USD

 Sale

                              43,300

 97 USD

 Sale

                              43,300

 97.17 USD

 Sale

                              21,650

 97.52 USD

 Sale

                              43,300

 97.78 USD

 Sale

                                9,519

 97.79 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 Long Position

5,958

97.79 USD

Swaps

Reducing a Long Position

384

97.665 USD

Swaps

Reducing a Short Position

436

97.047 USD

Swaps

Reducing a Short Position

66

97.047 USD

Swaps

Reducing a Short Position

240

97.783 USD

Swaps

Reducing a Short Position

99

97.287 USD

Swaps

Reducing a Short Position

380

97.287 USD

Swaps

Closing a Short Position

186

97.287 USD

Swaps

Reducing a Short Position

40

97.287 USD

Swaps

Reducing a Short Position

29

97.287 USD

Swaps

Reducing a Short Position

6,370

96.956 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 14,600 shares

N/A

Borrow

Borrow of 3,100 shares

N/A

Borrow

Borrow of 447,100 shares

N/A

Borrow

Borrow of 3,100 shares

N/A

Borrow

Borrow of 3,100 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

13/02/2020

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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