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AbbVie Inc. Regulatory Filings 2016

May 11, 2016

29755_cgr_2016-05-11_57a8c73f-5727-4b33-bf7c-81e9c2d985f6.pdf

Regulatory Filings

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The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.

The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
FORM D
Notice of Exempt Offering of Securities
OMB APPROVAL
OMB
3235-0076
Number:
Estimated average
burden
hours per
4.00
response:
1. Issuer's Identity
CIK (Filer ID Number) Previous
Names
Non
X
e
Entity Type
0001551152 X Corporation
Name of Issuer Limited Partnership
AbbVie Inc. Limited Liability
Company
Jurisdiction of
Incorporation/Organization
General Partnership
DELAWARE Business Trust
Year of Incorporation/Organization Other (Specify)
Over Five Years Ago
X Within Last Five Years (Specify Year)
2012
Yet to Be Formed
2. Principal Place of Business and Contact Information
Name of Issuer
AbbVie Inc.
Street Address 1 Street Address 2
1 North Waukegan Road
City State/Province/Country ZIP/PostalCode Phone Number of Issuer
North Chicago
3. Related Persons
ILLINOIS 60064-6400 847-932-7900
Last Name First Name Middle Name
Gonzalez Richard A.
Street Address 1 Street Address 2
1 North Waukegan Road
City State/Province/Country ZIP/PostalCode
North Chicago
Executive
ILLINOIS 60064-6400
X
Relationship:
Officer
X
Director
Promoter
Clarification of Response (if Necessary):
Last Name First Name Middle Name
Alpern Robert J.
Street Address 1
1 North Waukegan Road
Street Address 2
City State/Province/Country ZIP/PostalCode
North Chicago ILLINOIS 60064-6400
Relationship: Executive
X
Director
Officer
Promoter
Clarification of Response (if Necessary):
Austin Roxanne S.
Street Address 1 Street Address 2
1 North Waukegan Road
City State/Province/Country ZIP/PostalCode
North Chicago ILLINOIS 60064-6400
Relationship: Executive
X
Director
Officer
Promoter
Clarification of Response (if Necessary):
Last Name First Name Middle Name
Burnside William H.L.
Street Address 1 Street Address 2
1 North Waukegan Road
City State/Province/Country ZIP/PostalCode
North Chicago ILLINOIS 60064-6400
Relationship: Executive
X
Director
Officer
Promoter
Clarification of Response (if Necessary):
Last Name First Name Middle Name
Liddy Edward M.
Street Address 1 Street Address 2
1 North Waukegan Road
City State/Province/Country ZIP/PostalCode
North Chicago ILLINOIS 60064-6400
Relationship: Executive
X
Director
Officer
Promoter
Clarification of Response (if Necessary):
Last Name First Name Middle Name
Hart Brett J.
Street Address 1 Street Address 2
1 North Waukegan Road
City State/Province/Country ZIP/PostalCode
North Chicago ILLINOIS 60064-6400
Relationship: Executive
X
Director
Officer
Promoter
Clarification of Response (if Necessary):
Last Name
Rapp
First Name
Edward
Middle Name
J.
Street Address 1 Street Address 2
1 North Waukegan Road
City State/Province/Country ZIP/PostalCode
North Chicago ILLINOIS 60064-6400
Executive
Relationship: X
Director
Officer
Promoter
Clarification of Response (if Necessary):
Last Name First Name Middle Name
Tilton Glenn F.
Street Address 1 Street Address 2
1 North Waukegan Road
City State/Province/Country ZIP/PostalCode
North Chicago ILLINOIS 60064-6400
Relationship: Executive
X
Director
Officer
Promoter
Clarification of Response (if Necessary):
Last Name First Name Middle Name
Waddell Frederick H.
Street Address 1 Street Address 2
1 North Waukegan Road
City State/Province/Country ZIP/PostalCode
North Chicago ILLINOIS 60064-6400
Relationship: Executive
X
Director
Officer
Promoter
Clarification of Response (if Necessary):
Last Name First Name Middle Name
Schumacher Laura J.
Street Address 1 Street Address 2
1 North Waukegan Road
City State/Province/Country ZIP/PostalCode
North Chicago ILLINOIS 60064-6400
Executive
Relationship:
X
Officer
Director Promoter
Clarification of Response (if Necessary):
Last Name First Name Middle Name
Chase William J.
Street Address 1 Street Address 2
1 North Waukegan Road
City State/Province/Country ZIP/PostalCode
North Chicago ILLINOIS 60064-6400
Executive
Relationship:
X
Officer
Director Promoter
Clarification of Response (if Necessary):
Last Name First Name Middle Name
Severino Michael E.
Street Address 1 Street Address 2
1 North Waukegan Road
City State/Province/Country ZIP/PostalCode
North Chicago ILLINOIS 60064-6400
Executive
X
Relationship:
Director Promoter
Officer
Clarification of Response (if Necessary):
Last Name
Alban
First Name
Carlos
Middle Name
Street Address 1 Street Address 2
1 North Waukegan Road
City State/Province/Country ZIP/PostalCode
North Chicago ILLINOIS 60064-6400
Executive
X
Relationship:
Director Promoter
Officer
Clarification of Response (if Necessary):
Last Name First Name Middle Name
Street Address 1 Street Address 2
1 North Waukegan Road
City State/Province/Country ZIP/PostalCode
North Chicago ILLINOIS 60064-6400
Executive
X
Relationship:
Officer
Director Promoter
Clarification of Response (if Necessary):
Last Name First Name Middle Name
Richmond Timothy J.
Street Address 1 Street Address 2
1 North Waukegan Road
City State/Province/Country ZIP/PostalCode
North Chicago ILLINOIS 60064-6400
Executive
Relationship:
X
Officer
Director Promoter
Clarification of Response (if Necessary):
Last Name First Name Middle Name
Saleki-Gerhardt Azita
Street Address 1 Street Address 2
1 North Waukegan Road
City State/Province/Country ZIP/PostalCode
North Chicago ILLINOIS 60064-6400
Executive
Relationship:
X
Officer
Director Promoter
Clarification of
Response (if Necessary):
Last Name First Name Middle Name
Hurwich Thomas A.
Street Address 1 Street Address 2
1 North Waukegan Road
City State/Province/Country ZIP/PostalCode
North Chicago ILLINOIS 60064-6400
Executive
Relationship:
X
Officer
Director Promoter
Clarification of Response (if Necessary):
4. Industry Group
Agriculture Health Care Retailing
Banking & Financial Services Biotechnology Restaurants
Commercial Banking
Insurance
Health Technology
Investing Insurance Computers
Investment Banking Hospitals &
Physicians
Telecommunications
Pooled Investment Fund
Other
X
Pharmaceutical
Technology
s Travel
Other
Health
Airlines &
Airports
Care Lodging &
Is the issuer registered as Manufacturing Conventions
an investment company under Real Estate Tourism &
the Investment Company Commercial
Construction
Travel
Services
Yes No REITS Other
Other Banking & & Travel
Financial Services Finance Other
Business Services Residential
Energy Other
Coal
Mining
Real
Estate
Electric
Utilities
Energy
Conservation
Environmental
Services
Oil & Gas
Other Energy
5. Issuer Size
Revenue Range OR Aggregate Net Asset Value
Range
No Revenues No Aggregate
Net Asset
Value
\$1 -
\$1,000,000
\$1 -
\$5,000,000
\$1,000,001 -
\$5,000,000
\$5,000,001 -
\$25,000,000
\$5,000,001 -
\$25,000,000
\$25,000,001 -
\$50,000,000
\$25,000,001 -
\$100,000,000
\$50,000,001 -
\$100,000,000
X Over
\$100,000,000
Over
\$100,000,000
Decline to
Disclose
Decline to
Disclose
Not Applicable Not Applicable
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
Rule 504(b)(1) (not
(i), (ii) or (iii))
Rule 504 (b)(1)(i)
Rule 504 (b)(1)(ii)

Rule 504 (b)(1)(iii) Rule 505 X Rule 506(b) Rule 506(c) Securities Act Section 4(a)(5)

Investment Company Act Section 3(c)

Section 3(c)(1) Section 3(c)(9)
Section 3(c)(2) Section 3(c)(10)
Section 3(c)(3) Section 3(c)(11)
Section 3(c)(4) Section 3(c)(12)
Section 3(c)(5) Section 3(c)(13)
Section 3(c)(6) Section 3(c)(14)
Section
3(c)(7)
7. Type of Filing First Sale Yet to
X New Notice Date of First Sale2016-04-25 Occur
Amendment
8. Duration of Offering
Does the Issuer intend this
year? offering to last more than one Yes
X
No
9. Type(s) of Securities Offered (select all that apply)
X Equity Pooled Investment Fund Interests
Debt Tenant-in-Common Securities
Option, Warrant or Other Right to Acquire Another Security Mineral Property Securities
Right to Acquire Security Security to be Acquired Upon Exercise of Option, Warrant or Other Other (describe)
10. Business Combination Transaction
Is this offering being made in connection with a business combination
transaction, such as a merger, acquisition or exchange offer?
X
Yes
No
Clarification of Response (if Necessary): This offering is made in connection with the acqusition of Stemcentrx, Inc.
11. Minimum Investment
12. Sales Compensation Minimum investment accepted from any outside investor \$0USD
Recipient Recipient CRD X
None
Number
Dealer (Associated) Broker or X
None
Number (Associated) Broker or Dealer CRD X
None
Street Address 1 Street Address 2
City State/Province/Country ZIP/Postal Code
State(s) of Solicitation (select all that apply)
individual States Check "All States" or check All States Foreign/non-US
13. Offering and Sales Amounts
Total Offering Amount \$3,800,000,000USD or Indefinite
Total Amount Sold \$3,800,000,000USD
Total Remaining to be
Sold
\$0USD or Indefinite

Clarification of Response (if Necessary): AbbVie Inc. will issue 62.5 million shares of AbbVie common stock in the transaction. The total offering amount is calculated based on a fixed value of \$60.664 per share.

  1. Investors

Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering.

Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:

15. Sales Commissions & Finder's Fees Expenses

Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.

Sales Commissions \$0USD Estimate
Finders' Fees \$0USD Estimate

Clarification of Response (if Necessary):

  1. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.

\$0USD Estimate

Clarification of Response (if Necessary):

Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.

Terms of Submission

In submitting this notice, each issuer named above is:

  • . Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, in the accordance with applicable law, the information furnished to offerees.*
  • . Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against it in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.
  • . Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Regulation D for one of the reasons stated in Rule 505(b)(2)(iii) or Rule 506(d).

Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.

For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

Issuer Signature Name of Signer Title Date
AbbVie Inc. /s/ William J. Chase William J. Chase EVP, Chief Financial Officer 2016-05-09

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.

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