SEC Form 4 · accession 0001179110-19-002374

AbbVie Inc. · ABBV

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Richard A Gonzalez

Officer — Chairman of the Board and CEO · Director

Period of report

Feb 21, 2019

Accepted (ET)

Feb 22, 2019 · 5:24 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^F1	Feb 21, 2019	A	59,246	$0.00	A	345,449	D
Common stock, $0.01 par value^F2	Feb 21, 2019	A	42,649	$0.00	A	388,098	D
Common stock, $0.01 par value^F3	Feb 21, 2019	A	39,109	$0.00	A	427,207	D
Common stock, $0.01 par value^F4	Feb 21, 2019	A	23,605	$0.00	A	450,812	D
Common stock, $0.01 par value	Jan 9, 2019	G	2,964	$0.00	D	447,848	D
Common stock, $0.01 par value^F5	holding	—	—		—	6,715	I	By Spouse
Common stock, $0.01 par value^F5	holding	—	—		—	450	I	By Step-daughter
Common stock, $0.01 par value^F5	holding	—	—		—	450	I	By Step-son

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	$79.02	Feb 21, 2019	A	179,127	A	Feb 21, 2020	Feb 20, 2029	Common Stock	179,127	179,127	D

Explanation of responses

F1Represents shares of AbbVie common stock issued under a performance share award granted to the reporting person on February 18, 2016. The award is subject to performance-vesting restrictions based on a relative return on equity measure. The performance-vesting restrictions with respect to these shares were released on the date reported in Column 2 above upon certification of performance goal attainment by the Compensation Committee of AbbVie's Board of Directors. The shares will be issued to the reporting person on February 28, 2019.
F2Represents shares of AbbVie common stock issued under a performance vesting restricted stock unit award granted to the reporting person on February 18, 2016. The award is subject to performance-vesting restrictions based on adjusted earnings per share and relative total shareholder return measures. The performance-vesting restrictions with respect to these shares were released on the date reported in Column 2 above upon certification of performance goal attainment by the Compensation Committee of AbbVie's Board of Directors. The shares will be issued to the reporting person on February 28, 2019.
F3Represents shares of AbbVie common stock issued under a performance vesting restricted stock unit award granted to the reporting person on February 16, 2017. The award is subject to performance-vesting restrictions based on adjusted earnings per share and relative total shareholder return measures. The performance-vesting restrictions with respect to these shares were released on the date reported in Column 2 above upon certification of performance goal attainment by the Compensation Committee of AbbVie's Board of Directors. The shares will be issued to the reporting person on February 28, 2019.
F4Represents shares of AbbVie common stock issued under a performance vesting restricted stock unit award granted to the reporting person on February 15, 2018. The award is subject to performance-vesting restrictions based on adjusted earnings per share and relative total shareholder return measures. The performance-vesting restrictions with respect to these shares were released on the date reported in Column 2 above upon certification of performance goal attainment by the Compensation Committee of AbbVie's Board of Directors. The shares will be issued to the reporting person on February 28, 2019.
F5The 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. The option becomes exercisable in annual increments of 59,709 on February 21, 2020, 59,709 on February 21, 2021, and 59,709 on February 21, 2022.