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AbbVie Inc. — Director's Dealing 2018
Feb 16, 2018
29755_dirs_2018-02-16_b2957f47-2ddf-4b59-99f4-39e9de6ca711.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: AbbVie Inc. (ABBV)
CIK: 0001551152
Period of Report: 2018-02-15
Reporting Person: GONZALEZ RICHARD A (Director, Chairman of the Board and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-02-15 | Common stock, $0.01 par value | A | 42649 | — | Acquired | 316486 | Direct |
| 2018-02-15 | Common stock, $0.01 par value | A | 45186 | — | Acquired | 361672 | Direct |
| 2018-02-15 | Common stock, $0.01 par value | A | 39111 | — | Acquired | 400783 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-02-15 | Option (right to buy) | $114.36 | A | 127610 | Acquired | 2028-02-14 | Common Stock (127610) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common stock, $0.01 par value | 4600 | Indirect |
| Common stock, $0.01 par value | 450 | Indirect |
| Common stock, $0.01 par value | 450 | Indirect |
Footnotes
F1: Represents shares of AbbVie common stock issued under a performance-vested restricted stock unit 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, 2018.
F2: Represents shares of AbbVie common stock issued under a performance share 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, 2018.
F3: Represents shares of AbbVie common stock issued under a performance-vested restricted stock unit award granted to the reporting person on February 16, 2017. 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, 2018.
F4: The reporting person disclaims beneficial ownership of these securities.
F5: Employee 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 42,537 on February 15, 2019, 42,536 on February 15, 2020, and 42,537 on February 15, 2021.