SEC Form 4 · accession 0001179110-16-022538
ABBOTT LABORATORIES · ABT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jaime Contreras
Officer — Senior Vice President
Period of report
Mar 31, 2016
Accepted (ET)
Apr 1, 2016 · 5:01 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 valueF3,F4 | Mar 31, 2016 | A | 1,406 | $0.00 | A | 3,100 | I | By spouse |
| Common shares without par value | Mar 31, 2016 | F | 212 | $41.65 | D | 2,888 | I | By spouse |
| Common shares without par value | Mar 31, 2016 | S | 162 | $41.7842 | D | 2,726 | I | By spouse |
| Common shares without par value | Mar 31, 2016 | S | 162 | $41.785 | D | 2,564 | I | By spouse |
| Common shares without par value | Mar 31, 2016 | S | 138 | $41.7842 | D | 2,426 | I | By spouse |
| Common shares without par value | holding | — | — | — | 47,667 | D | ||
| Common shares without par valueF1 | holding | — | — | — | 21 | I | Profit Sharing Trust | |
| Common shares without par valueF2 | holding | — | — | — | 63,903 | I | Jaime Contreras Marvan 2006 Living Trust | |
| Common shares without par valueF5 | holding | — | — | — | 12,081 | I | Living Trust (by spouse) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Balance in the Abbott Laboratories Stock Retirement Trust as of March 31, 2016.
- F2Held in the Jaime Contreras Marvan 2006 Living Trust. The reporting person is sole trustee of the trust. The trust is revocable.
- F3This grant represents a restricted stock unit award under the Abbott Laboratories 2009 Incentive Stock Program. The award has a 3-year term, with no more than 1/3 of the award vesting on each anniversary of the grant date. The award includes the right to have shares withheld for tax purposes.
- F4The reporting person disclaims beneficial ownership of all securities held by his spouse.
- F5Held in spouse's living trust. The reporting person's spouse is sole trustee of the trust. The trust is revocable. The reporting person disclaims beneficial ownership of these securities.
Remarks
The sale transactions were made pursuant to a previously adopted plan complying with Rule 10b5-1(c).