| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 12/14/2023 |
3. Issuer Name and Ticker or Trading Symbol
AbbVie Inc. [ ABBV ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock, $0.01 par value | 30,225(1) | D | |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Option (Right to buy)(2) | 02/20/2021 | 02/19/2030 | Common Stock | 18,003 | 93.5 | D | |
| Option (Right to buy)(3) | 02/18/2022 | 02/17/2031 | Common Stock | 7,763 | 105.92 | D | |
| Option (Right to buy)(4) | 02/17/2023 | 02/16/2032 | Common Stock | 7,005 | 144.54 | D | |
| Option (Right to buy)(5) | 02/16/2024 | 02/15/2033 | Common Stock | 8,102 | 149.62 | D | |
| Explanation of Responses: |
| 1. Includes 6,918 restricted stock units granted under the AbbVie Amended and Restated 2013 Incentive Stock Program. These restricted stock units vest in full on February 17, 2025, and include the right to have stock withheld for tax purposes. |
| 2. Employee stock option granted pursuant to the AbbVie Amended and Restated 2013 Incentive Stock Program in a transaction exempt from Section 16 under Rule 16b-3. The option became exercisable as to 6,001 shares on 02/20/2021, as to 6,001 shares on 02/20/2022, and as to 6,001 shares on 02/20/2023. |
| 3. Employee stock option granted pursuant to the AbbVie Amended and Restated 2013 Incentive Stock Program in a transaction exempt from Section 16 under Rule 16b-3. The option became exercisable as to 2,588 shares on 02/18/2022 and as to 2,588 shares on 02/18/2023, and will become exercisable as to as to 2,587 shares on 02/18/2024. |
| 4. Employee stock option granted pursuant to the AbbVie Amended and Restated 2013 Incentive Stock Program in a transaction exempt from Section 16 under Rule 16b-3. The option became exercisable as to 2,335 shares on 02/17/2023, and will become exercisable as to 2,335 shares on 02/17/2024 and as to 2,335 shares on 02/17/2025. |
| 5. Employee stock option granted pursuant to the AbbVie Amended and Restated 2013 Incentive Stock Program in a transaction exempt from Section 16 under Rule 16b-3. The option will become exercisable as to 2,701 shares on 02/16/2024, as to 2,701 shares on 02/16/2025 and as to 2,700 shares on 02/16/2026. |
| T.O. Odutayo, Attorney-in-Fact for Roopal Thakkar | 12/22/2023 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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. | ||
POWER OF ATTORNEY
The undersigned constitutes and appoints PERRY C. SIATIS, EMILY A. WEITH, and T.O. ODUTAYO, and each of them individually, as the undersigned's true and lawful attorney-in-fact and agent, with full power of substitution and re-substitution, for the undersigned and in the undersigned's name, place and stead, to prepare and sign any and all Securities and Exchange Commission ("SEC") Notices of Proposed Sales of Securities pursuant to Rule 144 under the Securities Act of 1933, as amended (the “Securities Act”), on Form 144, any and all SEC statements on Forms 3, 4 and 5 as required under Section 16(a) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and any and all other forms and reports required or permitted to be filed or signed by the undersigned under the Securities Act or the Exchange Act, to the extent permitted by law, as well as a Form ID and any other documents necessary to obtain codes and passwords necessary to make electronic filings, and any amendments or successors to such forms or reports, and to file the same with all exhibits thereto, and other documents in connection therewith, with the SEC, granting unto said attorney-in-fact and agent full power and authority to do and perform each act and thing requisite, necessary or desirable to be done under said Rule 144 and Section 16(a), as fully for all intents and purposes as the undersigned might or could do in person, hereby ratifying and confirming all that said attorney-in-fact and agent may lawfully do or cause to be done by virtue hereof.
A copy of this power of attorney shall be filed with the SEC. The authorization set forth above shall continue in full force and effect until the undersigned is no longer required to file Forms 144, 3, 4, or 5 or if earlier, until the undersigned revokes such authorization by written instructions to the attorney-in-fact.
Date: December 15, 2023
/s/ Roopal Thakkar
Roopal Thakkar
AbbVie Inc.
1 N. Waukegan Road
North Chicago, IL 60064