SEC Form 3
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)
| 2. Date of Event Requiring Statement (Month/Day/Year) 06/28/2022 | 3. Issuer Name and Ticker or Trading Symbol AbbVie Inc. [ ABBV ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
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 | 809 | D |
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) | 02/16/2018(1) | 02/15/2028 | Common Stock | 14,140 | 61.36 | D | |
Option (Right to buy) | 02/15/2019(2) | 02/14/2028 | Common Stock | 11,810 | 114.36 | D | |
Option (Right to buy) | 02/21/2020(3) | 02/20/2029 | Common Stock | 19,470 | 79.02 | D | |
Option (Right to buy) | 02/20/2021(4) | 02/19/2030 | Common Stock | 28,641 | 93.5 | D | |
Option (Right to buy) | 02/18/2022(5) | 02/17/2031 | Common Stock | 15,527 | 105.92 | D | |
Option (Right to buy) | 02/17/2023(6) | 02/16/2032 | Common Stock | 11,383 | 144.54 | D |
Explanation of Responses: |
1. 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 became exercisable as to 4,714 shares on 2/16/2018, as to 4,713 shares on 2/16/2019 and as to 4,713 shares on 2/16/2020. |
2. 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 became exercisable as to 3,936 shares on 2/15/2019, as to 3,937 shares on 2/15/2020 and as to 3,937 shares on 2/15/2021. |
3. 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 became exercisable as to 6,490 shares on 2/21/2020, as to 6,490 shares on 2/21/2021 and as to 6,490 shares on 2/21/2022. |
4. 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 became exercisable as to 9,547 shares on 2/20/2021, as to 9,547 shares on 2/20/2022 and will become exercisable as to 9,547 shares on 2/20/2023. |
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 became exercisable as to 5,176 shares on 2/18/2022, and will become exercisable as to 5,176 shares on 2/18/2023 and as to 5,175 shares on 2/18/2024. |
6. 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 3,794 shares on 2/17/2023, as to 3,794 shares on 2/17/2024 and as to 3,795 shares on 2/17/2025. |
Steven L. Scrogham, attorney-in-fact for Scott T. Reents | 07/08/2022 | |
** 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. |