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*
Sorg Elaine K.

(Last) (First) (Middle)
1 N. WAUKEGAN ROAD

(Street)
NORTH CHICAGO IL 60064

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
11/09/2020
3. Issuer Name and Ticker or Trading Symbol
AbbVie Inc. [ ABBV ]
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.
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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 17,595 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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) (1) 02/14/2028 Common Stock 7,080 114.36 D
Option(Right to buy) (2) 02/20/2029 Common Stock 10,384 79.02 D
Option(Right to buy) (3) 02/19/2030 Common Stock 45,009 93.5 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.
Steven L. Scrogham, attorney-in-fact for Elaine K. Sorg 11/19/2020
** 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.