Statement of Changes in Beneficial Ownership (4)
13 May 2020 - 7:53AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Strom Carrie C |
2. Issuer Name and Ticker or Trading Symbol
AbbVie Inc.
[
ABBV
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP & Pres Global Allerg Aesth |
(Last)
(First)
(Middle)
1 N. WAUKEGAN ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/8/2020 |
(Street)
NORTH CHICAGO, IL 60064
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock, $0.01 par value | 5/8/2020 | | A | | 2439 | A | (1) | 2439 | D | |
Common Stock, $0.01 par value | 5/8/2020 | | A | | 37903 | A | (2) | 40342 | D | |
Common Stock, $0.01 par value | 5/11/2020 | | A | | 23196 (3) | A | $0 | 63538 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Option (right to buy) (4) | $41.39 | 5/8/2020 | | A | | 4184 | | 5/8/2020 | 8/5/2021 | Common Stock | 4184 | $0 | 4184 | D | |
Option (right to buy) (4) | $47.27 | 5/8/2020 | | A | | 4184 | | 5/8/2020 | 2/17/2022 | Common Stock | 4184 | $0 | 4184 | D | |
Option (right to buy) (4) | $56.93 | 5/8/2020 | | A | | 7809 | | 5/8/2020 | 2/21/2023 | Common Stock | 7809 | $0 | 7809 | D | |
Option (right to buy) (4) | $67.25 | 5/8/2020 | | A | | 6370 | | 5/8/2020 | 2/21/2024 | Common Stock | 6370 | $0 | 6370 | D | |
Option (right to buy) (4) | $125.82 | 5/8/2020 | | A | | 5729 | | 5/8/2020 | 2/20/2025 | Common Stock | 5729 | $0 | 5729 | D | |
Option (right to buy) (4) | $133.53 | 5/8/2020 | | A | | 2017 | | 5/8/2020 | 3/16/2025 | Common Stock | 2017 | $0 | 2017 | D | |
Option (right to buy) (4) | $123.51 | 5/8/2020 | | A | | 2567 | | 5/8/2020 | 3/7/2026 | Common Stock | 2567 | $0 | 2567 | D | |
Option (right to buy) (4) | $104.04 | 5/8/2020 | | A | | 3440 | | (5) | 3/6/2027 | Common Stock | 3440 | $0 | 3440 | D | |
Option (right to buy) (4) | $65.45 | 5/8/2020 | | A | | 3613 | | (6) | 3/6/2028 | Common Stock | 3613 | $0 | 3613 | D | |
Explanation of Responses: |
(1) | Received in exchange for 2,816 shares of Allergan plc common stock in connection with its acquisition by AbbVie Inc. Allergan shareholders received 0.8660 AbbVie shares for each Allergan share (based on the closing price of AbbVie's common stock of $84.22 on May 7, 2020). |
(2) | Received in exchange for 16,457 restricted stock units of Allergan plc in connection with the acquisition of Allergan plc by AbbVie Inc. and previously issued pursuant to the Amended and Restated 2013 Incentive Award Plan of Allergan plc. The number of AbbVie Inc. restricted stock units was calculated pursuant to an equity award conversion ratio of 2.303. The restricted stock units vest as follows: 5,194 on 12/31/2020; 1,633 on 3/2/2021; 903 on 3/5/2021; 717 on 3/6/2021; 247 on 3/7/2021; 470 on 5/7/2021; 20,844 on 12/31/2021; 1,633 on 3/2/2022; 903 on 3/5/2022; 716 on 3/6/2022; 470 on 5/7/2022; 1,633 on 3/2/2023; 905 on 3/5/2023; and 1,635 on 3/2/2024. |
(3) | These securities represent restricted stock units granted under the AbbVie 2013 Incentive Stock Program. They vest in four equal annual increments on the date of grant and include the right to have stock withheld for tax purposes. The options are exercisable as follows: 2,579 exercisable as of 5/8/2020 and 861 as of 3/7/2021. |
(4) | Received in exchange for stock options of Allergan plc in connection with the acquisition of Allergan plc by AbbVie Inc. and previously issued pursuant to the Amended and Restated 2013 Incentive Award Plan of Allergan plc. The number of AbbVie Inc. stock options was calculated pursuant to an equity award conversion ratio of 2.303. |
(5) | The options are exercisable as follows: 2,579 exercisable as of 5/8/2020 and 861 as of 3/7/2021. |
(6) | The options are exercisable as follows: 1,804 exercisable as of 5/8/2020; 902 as of 3/6/2021; and 907 as of 3/6/2022. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Strom Carrie C 1 N. WAUKEGAN ROAD NORTH CHICAGO, IL 60064 |
|
| SVP & Pres Global Allerg Aesth |
|
Signatures
|
Steven L. Scrogham, attorney-in-fact for Carrie Strom | | 5/12/2020 |
**Signature of Reporting Person | Date |
AbbVie (NYSE:ABBV)
Historical Stock Chart
From Apr 2024 to May 2024
AbbVie (NYSE:ABBV)
Historical Stock Chart
From May 2023 to May 2024