SEC Form 4 · accession 0001179110-15-009074
ABBOTT LABORATORIES · ABT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian B Yoor
Officer — Senior Vice President and CFO
Period of report
Jun 1, 2015
Accepted (ET)
Jun 3, 2015 · 5:38 pm EDT
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 | Jun 1, 2015 | A | 11,596 | $0.00 | A | 29,742 | D | |
| Common shares without par valueF2 | holding | — | — | — | 2,043 | I | Profit Sharing Trust |
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)F3 | $48.90 | Jun 1, 2015 | A | 81,709 | A | Jun 1, 2016 | May 31, 2025 | Common shares | 81,709 | 81,709 | 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 June 1, 2015.
- F3Employee 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 27,237 on 6/1/2016, 27,236 on 6/1/2017, and 27,236 on 6/1/2018.