SEC Form 4 · accession 0001179110-15-003339
ABBOTT LABORATORIES · ABT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen R Fussell
Officer — Executive Vice President
Period of report
Feb 20, 2015
Accepted (ET)
Feb 24, 2015 · 6:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000001800
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common shares without par valueF1 | Feb 20, 2015 | A | 24,015 | $0.00 | A | 142,060 | D | |
| Common shares without par valueF2 | holding | — | — | — | 1,288 | I | Profit Sharing Trust | |
| Common shares without par valueF3 | holding | — | — | — | 53 | I | By spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (right to buy)F4 | $47.00 | Feb 20, 2015 | A | 169,227 | A | Feb 20, 2016 | Feb 19, 2025 | Common shares | 169,227 | 169,227 | D |
Explanation of responses
- F1These shares represent performance vested restricted stock awards under the Abbott Laboratories 2009 Incentive Stock Program. The awards have a 5-year term, with no more than 1/3 of the award vesting in any one year upon Abbott reaching a minimum return on equity target. The awards include the right to have stock withheld for tax purposes.
- F2Balance in the Abbott Laboratories Stock Retirement Trust as of February 20, 2015.
- F3The reporting person disclaims beneficial ownership of all securities held by his spouse.
- F4Employee stock option granted pursuant to the Abbott Laboratories 2009 Incentive Stock Program in a transaction exempt from Section 16 under Rule 16b-3. The option becomes exercisable in annual increments of 56,409 on 2/20/16, 56,409 on 2/20/17, and 56,409 on 2/20/18.