-FORM 8.3
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE Rule 8.3 of the Takeover Code (the 'Code')
1. KEY INFORMATION
+---------------------------------------------+-+------------------------------+ |(a) Identity of the person whose | |OZ Management LP and | |positions/dealings are being disclosed: | |Och-Ziff Management Europe Ltd| +---------------------------------------------+-+------------------------------+ |(b) Owner or controller of interests and | | | |short positions disclosed, if different from | | | |1(a): | | | | The naming of nominee or vehicle | | | |companies is insufficient | | | +---------------------------------------------+-+------------------------------+ |(c) Name of offeror/offeree in relation to | |AbbVie Inc. | |whose relevant securities this form relates: | | | | Use a separate form for each | | | |offeror/offeree | | | +---------------------------------------------+-+------------------------------+ |(d) If an exempt fund manager connected with | | | |an offeror/offeree, state this and specify | | | |identity of offeror/offeree: | | | +---------------------------------------------+-+------------------------------+ |(e) Date position held/dealing undertaken: | |22 August 2014 | +---------------------------------------------+-+------------------------------+ |(f) Has the discloser previously disclosed, | |YES | |or are they today disclosing, under the Code | |If YES, specify which: | |in respect of any other party to this offer? | | | | | |Shire Plc | +---------------------------------------------+-+------------------------------+
2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE (a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)
+-------------------------------------+-+--------------------------------------+ |Class of relevant security: | | Common shares of USD | | | |0.01 par value | +-------------------------------------+-+--------------------+-+---------------+ | | | Interests | |Short positions| | +-+---------+-+--------+-+-------+-+-----+ | | | Number | | % | |Number | | % | +-------------------------------------+-+---------+-+--------+-+-------+-+-----+ |(1) Relevant securities owned and/or | |1,545,411| | 0.097 | | | | | |controlled: | | | | | | | | | +-------------------------------------+-+---------+-+--------+-+-------+-+-----+ |(2) Derivatives (other than options):| | | | | | | | | | | | | | | | | | | +-------------------------------------+-+---------+-+--------+-+-------+-+-----+ |(3) Options and agreements to | | 315,600 | | 0.020 | |103,100| |0.006| |purchase/sell: | | | | | | | | | | | | | | | | | | | +-------------------------------------+-+---------+-+--------+-+-------+-+-----+ |TOTAL: | |1,861,011| | 0.117| |103,100| |0.006| | | | | | | | | | | +-------------------------------------+-+---------+-+--------+-+-------+-+-----+
All interests and all short positions should be disclosed.
Details of any open derivative or option positions, or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).
(b) Rights to subscribe for new securities (including directors' and other executive options),
+--------------------------------------------------------------------------+-+-+ |Class of relevant security in relation to which subscription right exists:| | | +--------------------------------------------------------------------------+-+-+ |Details, including nature of the rights concerned and relevant | | | |percentages: | | | +--------------------------------------------------------------------------+-+-+
If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.
3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE (a) Purchases and sales
+----------------------+-+-------------+-+--------------------+-+--------------+ | Class of relevant | |Purchase/sale| |Number of securities| |Price per unit| | security | | | | | | | +----------------------+-+-------------+-+--------------------+-+--------------+ | Common shares of USD | | Purchase | | 100,000 | |USD 54.67 | | 0.01 par value | | Purchase | | 205,400 | |USD 54.77 | | | | Purchase | | 146,600 | |USD 55.21 | | | | Sale | | 1,000 | |USD 55.17 | +----------------------+-+-------------+-+--------------------+-+--------------+
(b) Derivatives transactions (other than options)
+-----------+-+--------------+-+----------------------+-+------------+-+-------+ | Class of | | Product | | Nature of dealing | | Number of | | Price | | relevant | | description | |e.g. opening/closing a| | reference | | per | | security | | e.g. CFD | | long/short position, | | securities | | unit | | | | | |increasing/reducing a | | | | | | | | | | long/short position | | | | | +-----------+-+--------------+-+----------------------+-+------------+-+-------+ | | | | | | | | | | +-----------+-+--------------+-+----------------------+-+------------+-+-------+
(c) Options transactions in respect of existing securities
(i) Writing, selling, purchasing or varying
+--------+-+-----------+-+-----------+-+----------+-+--------+-+---------+-+------+-+--------+ |Class of| | Product | | Writing, | |Number of | |Exercise| | Type | |Expiry| | Option | |relevant| |description| |purchasing,| |securities| | price | | e.g. | | date | | money | |security| | e.g. call | | selling, | | to which | |per unit| |American,| | | | paid/ | | | | option | | varying | | option | | | |European | | | |received| | | | | | etc. | | relates | | | | etc. | | | |per unit| +--------+-+-----------+-+-----------+-+----------+-+--------+-+---------+-+------+-+--------+ | | | | | | | | | | | | | | | | +--------+-+-----------+-+-----------+-+----------+-+--------+-+---------+-+------+-+--------+
(ii) Exercising
+----------------+-+-------------------+-+------------------+-+----------------+ | Class of | |Product description| | Number of | | Exercise price | | relevant | | e.g. call option | | securities | | per unit | | security | | | | | | | +----------------+-+-------------------+-+------------------+-+----------------+ | | | | | | | | +----------------+-+-------------------+-+------------------+-+----------------+
(d) Other dealings (including subscribing for new securities)
+------------------+-+-----------------------+-+-------+-+---------------------+ |Class of relevant | | Nature of dealing | |Details| | Price per unit (if | | security | | e.g. subscription, | | | | applicable) | | | | conversion | | | | | +------------------+-+-----------------------+-+-------+-+---------------------+ | | | | | | | | | | | | | | | | +------------------+-+-----------------------+-+-------+-+---------------------+
The currency of all prices and other monetary amounts should be stated.
Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.
4. OTHER INFORMATION
(a) Indemnity and other dealing arrangements
+------------------------------------------------------------------------------+ |Details of any indemnity or option arrangement, or any agreement or | |understanding, formal or informal, relating to relevant securities which may | |be an inducement to deal or refrain from dealing entered into by the person | |making the disclosure and any party to the offer or any person acting in | |concert with a party to the offer: | |If there are no such agreements, arrangements or understandings, state 'none' | +------------------------------------------------------------------------------+ | | |None | | | +------------------------------------------------------------------------------+
(b) Agreements, arrangements or understandings relating to options or derivatives
+------------------------------------------------------------------------------+ |Details of any agreement, arrangement or understanding, formal or informal, | |between the person making the disclosure and any other person relating to: | |(i) the voting rights of any relevant securities under any option; or | |(ii) the voting rights or future acquisition or disposal of any relevant | |securities to which any derivative is referenced: | |If there are no such agreements, arrangements or understandings, state 'none' | +------------------------------------------------------------------------------+ | | |None | | | +------------------------------------------------------------------------------+
(c) Attachments
+-----------------------------------------------------+---+-----+ | Is a Supplemental Form 8 (Open Positions) attached? | | YES | +-----------------------------------------------------+---+-----+
+---------------------+---+------------------+ | Date of disclosure: | | 26 August 2014 | +---------------------+---+------------------+ | Contact name: | | Janine Frederick | +---------------------+---+------------------+ | Telephone number: | | 0207 758 4420 | +---------------------+---+------------------+
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at monitoring@disclosure.org.uk. The Panel's Market Surveillance Unit is available for consultation in relation to the Code's dealing disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.
SUPPLEMENTAL FORM 8 (OPEN POSITIONS)
DETAILS OF OPEN OPTION AND DERIVATIVE POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC. Note 5(i) on Rule 8 of the Takeover Code (the 'Code')
1. KEY INFORMATION
+-----------------------------------------------+------------------------------+ |Identity of person whose open positions are |OZ Management LP and | |being disclosed: |Och-Ziff Management Europe Ltd| +-----------------------------------------------+------------------------------+ |Name of offeror/offeree in relation to whose |AbbVie Inc. | |relevant securities the disclosure relates: | | +-----------------------------------------------+------------------------------+
2. OPTIONS AND DERIVATIVES
+---------+------------+----------+-----------+---------+----------+-----------+ |Class of | Product |Written or| Number of |Exercise | Type |Expiry date| |relevant |description |purchased |securities |price per| e.g. | | |security | e.g. call | | to which | unit |American, | | | | option | | option or | | European | | | | | |derivative | | etc. | | | | | | relates | | | | +---------+------------+----------+-----------+---------+----------+-----------+ |Common |Call option |Purchased | 12,200|USD45 |American |17/01/2015 | |shares of|Call option |Purchased | 3,400|USD47.5 |American |17/01/2015 | |USD 0.01 |Call option |Purchased | 300,000|USD55 |American |20/09/2014 | |par value|Put option |Purchased | 1,500|USD25 |American |17/01/2015 | | |Put option |Purchased | 100|USD30 |American |17/01/2015 | | |Put option |Purchased | 1,700|USD32.5 |American |17/01/2015 | | |Put option |Purchased | 11,200|USD35 |American |17/01/2015 | | |Put option |Purchased | 5,000|USD37.5 |American |17/01/2015 | | |Put option |Purchased | 8,800|USD40 |American |17/01/2015 | | |Put option |Purchased | 19,600|USD42.5 |American |17/01/2015 | | |Put option |Purchased | 45,000|USD55 |American |17/01/2015 | | |Call option |Written | 5,100|USD52.5 |American |17/01/2015 | | |Call option |Written | 2,800|USD60 |American |17/01/2015 | | |Call option |Written | 2,300|USD65 |American |17/01/2015 | +---------+------------+----------+-----------+---------+----------+-----------+
3. AGREEMENTS TO PURCHASE OR SELL ETC.
+------------------------------------------------------------------------------+ |Full details should be given so that the nature of the interest or position| |can be fully understood: | +------------------------------------------------------------------------------+ | | |None | | | +------------------------------------------------------------------------------+
It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to contracts for differences ('CFDs') or spread bets.
The currency of all prices and other monetary amounts should be stated.
The Panel's Market Surveillance Unit is available for consultation in relation to the Code's dealing disclosure requirements on +44 (0)20 7638 0129. The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.
This announcement is distributed by GlobeNewswire on behalf of GlobeNewswire clients. The owner of this announcement warrants that: (i) the releases contained herein are protected by copyright and other applicable laws; and (ii) they are solely responsible for the content, accuracy and originality of the information contained therein.
Source: OZ Management LP via GlobeNewswire [HUG#1851223]
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