Initial Statement of Beneficial Ownership (3)
November 19 2020 - 4:49PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
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3235-0104
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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
*
Sorg Elaine K. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/9/2020
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3. Issuer Name and Ticker or Trading Symbol
AbbVie Inc. [ABBV]
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(Last)
(First)
(Middle)
1 N. WAUKEGAN ROAD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Sr. V.P., U.S. Commercial Ops. / |
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(Street)
NORTH CHICAGO, IL 60064
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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 | 17595 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: 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) | (1) | 2/14/2028 | Common Stock | 7080 | $114.36 | D | |
| Option(Right to buy) | (2) | 2/20/2029 | Common Stock | 10384 | $79.02 | D | |
| Option(Right to buy) | (3) | 2/19/2030 | Common Stock | 45009 | $93.50 | 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 2,360 shares on 2/15/2019, as to 2,360 shares on 2/15/2020 and becomes exercisable as to 2,360 shares on 2/15/2021. |
| (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 5,192 shares on 2/21/2020 and becomes exercisable as to 5,192 shares on 2/21/2021, and as to 5192 shares on 2/21/2022. |
| (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 becomes exercisable as to 15,003 shares on 02/20/2021, as to 15,003 shares on 2/21/2022, and as to 15,003 shares on 2/21/2023. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Sorg Elaine K.
1 N. WAUKEGAN ROAD
NORTH CHICAGO, IL 60064 |
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| Sr. V.P., U.S. Commercial Ops. |
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Signatures
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| Steven L. Scrogham, attorney-in-fact for Elaine K. Sorg | | 11/19/2020 |
| **Signature of Reporting Person | Date |
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