SEC Form 4 · accession 0001179110-18-003335
AbbVie Inc. · ABBV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carlos Alban
Officer — EVP, Commercial Operations
Period of report
Feb 28, 2018
Accepted (ET)
Mar 2, 2018 · 5:29 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 | 25,976 | $118.26 | D | 133,026 | D | |
| Common stock, $0.01 par valueF1 | Feb 28, 2018 | S | 2,579 | $117.8474 | D | 130,447 | D | |
| Common stock, $0.01 par value | Mar 1, 2018 | M | 48,100 | $29.2265 | A | 178,547 | D | |
| Common stock, $0.01 par valueF2 | Mar 1, 2018 | S | 19,169 | $113.7511 | D | 159,378 | D | |
| Common stock, $0.01 par valueF3 | Mar 1, 2018 | S | 46,997 | $114.6342 | D | 112,381 | D | |
| Common stock, $0.01 par valueF4 | Mar 1, 2018 | S | 14,829 | $114.4278 | D | 97,552 | D | |
| Common stock, $0.01 par valueF5 | holding | — | — | — | 40,442 | I | Maria Cristina Alban 2007 Declaration of Trust |
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)F6 | $29.2265 | Mar 1, 2018 | M | 48,100 | D | Feb 17, 2015 | Feb 16, 2022 | Common Stock | 48,100 | 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 $117.847 to $117.861, 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 $113.53 to $113.97, 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 price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $114.00 to $114.965, 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.
- F4The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $115.00 to $115.965, 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.
- F5Held in the Maria Cristina Alban 2007 Declaration of Trust. The reporting person's spouse is trustee of the trust. The trust is revocable by his spouse. The reporting person disclaims beneficial ownership of these securities.
- F6Employee 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).