# EDGAR Filing Document

**Accession Number:** 0001239127
**File Stem:** 0001415889-23-002939
**Filing Date:** 2023-2
**Character Count:** 8844
**Document Hash:** 282d3d47eb880ba04b8f95d13e1fae4f
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001415889-23-002939.hdr.sgml**: 20230221

**ACCESSION NUMBER**: 0001415889-23-002939

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230216

**FILED AS OF DATE**: 20230221

**DATE AS OF CHANGE**: 20230221

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** GONZALEZ RICHARD A
- **CENTRAL INDEX KEY:** 0001239127

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-35565
- **FILM NUMBER:** 23649842

**MAIL ADDRESS:**
- **STREET 1:** 1 N. WAUKEGAN ROAD
- **CITY:** NORTH CHICAGO
- **STATE:** IL
- **ZIP:** 60064
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** AbbVie Inc.
- **CENTRAL INDEX KEY:** 0001551152
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 320375147
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 1 NORTH WAUKEGAN ROAD
- **CITY:** NORTH CHICAGO
- **STATE:** IL
- **ZIP:** 60064
- **BUSINESS PHONE:** (847) 932-7900

**MAIL ADDRESS:**
- **STREET 1:** 1 NORTH WAUKEGAN ROAD
- **CITY:** NORTH CHICAGO
- **STATE:** IL
- **ZIP:** 60064

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>GONZALEZ RICHARD A<br><sub>(Last) (First) (Middle)</sub><br>1 N. WAUKEGAN ROAD<br><sub>(Street)</sub><br>NORTH CHICAGO, IL 60064<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-16 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_CHAIRMAN OF THE BOARD AND CEO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>AbbVie Inc. [ ABBV ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock, $0.01 par value | 2023-02-16 |  | A |  | 149732<sup>(1)</sup> | A | $0 | 652985 | D |  |
| Common Stock, $0.01 par value | 2023-02-16 |  | A |  | 34937<sup>(2)</sup> | A | $0 | 687922 | D |  |
| Common Stock, $0.01 par value | 2023-02-16 |  | A |  | 39022<sup>(3)</sup> | A | $0 | 726944 | D |  |
| Common Stock, $0.01 par value | 2023-02-16 |  | A |  | 33210<sup>(4)</sup> | A | $0 | 760154 | D |  |
| Common Stock, $0.01 par value |  |  |  |  |  |  |  | 17615<sup>(5)</sup> | I | By Spouse |
| Common Stock, $0.01 par value |  |  |  |  |  |  |  | 5900<sup>(5)</sup> | I | By Step-daughter |
| Common Stock, $0.01 par value |  |  |  |  |  |  |  | 5900<sup>(5)</sup> | I | By Step-son |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Option (Right to Buy)<sup>(6)</sup> | $149.62 | 2023-02-16 |  | A |  | 114787 |  | 2024-02-16 | 2033-02-15 | Common Stock | 114787 | $0 | 114787 | D |  |

---

### Footnotes:

(1) Represents shares of AbbVie common stock issued under a performance share award granted to the reporting person on February 20, 2020. The award is subject to performance-vesting restrictions based on earnings per share and relative total shareholder return. The performance-vesting restrictions with respect to these shares were released on the date reported in Column 2 above upon certification of performance goal attainment by the Compensation Committee of AbbVie's Board of Directors. The shares will be issued to the reporting person on February 28, 2023.

(2) Represents shares of AbbVie common stock issued under a performance-vesting restricted stock unit award granted to the reporting person on February 20, 2020. The award is subject to performance-vesting restrictions based on a relative return on equity measure. The performance-vesting restrictions with respect to these shares were released on the date reported in Column 2 above upon certification of performance goal attainment by the Compensation Committee of AbbVie's Board of Directors. The shares will be issued to the reporting person on February 28, 2023.

(3) Represents shares of AbbVie common stock issued under a performance vesting restricted stock unit award granted to the reporting person on February 18, 2021. The award is subject to performance-vesting restrictions based on a relative return on equity measure. The performance-vesting restrictions with respect to these shares were released on the date reported in Column 2 above upon certification of performance goal attainment by the Compensation Committee of AbbVie's Board of Directors. The shares will be issued to the reporting person on February 28, 2023.

(4) Represents shares of AbbVie common stock issued under a performance vesting restricted stock unit award granted to the reporting person on February 17, 2022. The award is subject to performance-vesting restrictions based on a relative return on equity measure. The performance-vesting restrictions with respect to these shares were released on the date reported in Column 2 above upon certification of performance goal attainment by the Compensation Committee of AbbVie's Board of Directors. The shares will be issued to the reporting person on February 28, 2023.

(5) The reporting person disclaims beneficial ownership of these securities.

(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 becomes exercisable in annual increments of 38,263 on February 16, 2024, 38,262 on February 16, 2025, and 38,262 on February 16, 2026.

**Signature:** Steven L. Scrogham, attorney-in-fact for Richard A. Gonzalez  
**Date:** 2023-02-21

### Remarks:

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 4 (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.**