SEC Form 4 · accession 0001179110-18-003333
AbbVie Inc. · ABBV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William J Chase
Officer — EVP, Chief Financial Officer
Period of report
Feb 28, 2018
Accepted (ET)
Mar 2, 2018 · 5:28 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001551152
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stock, $0.01 par value | Feb 28, 2018 | F | 28,407 | $118.26 | D | 203,391 | D | |
| Common stock, $0.01 par valueF1 | Feb 28, 2018 | S | 38,528 | $119.4444 | D | 164,863 | D | |
| Common stock, $0.01 par value | Mar 1, 2018 | M | 13,400 | $28.3122 | A | 178,263 | D | |
| Common stock, $0.01 par value | Mar 1, 2018 | M | 19,000 | $24.2082 | A | 197,263 | D | |
| Common stock, $0.01 par valueF2 | Mar 1, 2018 | S | 32,400 | $114.4965 | D | 164,863 | D | |
| Common stock, $0.01 par valueF3 | holding | — | — | — | 501 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (right to buy)F4 | $28.3122 | Mar 1, 2018 | M | 13,400 | D | Feb 19, 2013 | Feb 18, 2020 | Common Stock | 13,400 | 0 | D |
| Option (right to buy)F4 | $24.2082 | Mar 1, 2018 | M | 19,000 | D | Feb 17, 2014 | Feb 17, 2021 | Common Stock | 19,000 | 0 | D |
Explanation of responses
- F1The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $119.32 to $119.54, inclusive. The reporting person undertakes to provide AbbVie Inc., any security holder of AbbVie Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F2The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $114.27 to $114.67, inclusive. The reporting person undertakes to provide AbbVie Inc., any security holder of AbbVie Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3The reporting person disclaims beneficial ownership of all securities held by his spouse.
- F4Employee stock option granted pursuant to the AbbVie 2013 Incentive Stock Program in a transaction exempt from Section 16 under Rule 16b-3.
Remarks
The sale transactions were made pursuant to a previously adopted plan complying with Rule 10b5-1(c).