SEC Form 4 · accession 0001179110-16-028022
ABBOTT LABORATORIES · ABT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas C Freyman
Officer — Executive Vice President
Period of report
Jul 29, 2016
Accepted (ET)
Jul 29, 2016 · 5:04 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 value | Jul 29, 2016 | M | 56,000 | $25.2461 | A | 438,682 | D | |
| Common shares without par value | Jul 29, 2016 | F | 42,863 | $44.45 | D | 395,819 | D | |
| Common shares without par valueF1 | holding | — | — | — | 1,130 | I | Profit Sharing Trust | |
| Common shares without par valueF2 | holding | — | — | — | 4,000 | I | Annette Newton-Freyman 1994 Trust | |
| Common shares without par valueF3 | holding | — | — | — | 76,000 | I | Annette Newton-Freyman 2012 Irrevocable Trust | |
| Common shares without par valueF4 | holding | — | — | — | 76,000 | I | Thomas C. Freyman 2012 Irrevocable Trust | |
| Common shares without par valueF5 | holding | — | — | — | 1,941 | I | By spouse as trustee for son | |
| Common shares without par valueF5 | holding | — | — | — | 1,941 | I | By spouse as trustee for son |
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)F6 | $25.2461 | Jul 29, 2016 | M | 56,000 | D | Feb 16, 2010 | Feb 15, 2017 | Common shares | 56,000 | 0 | D |
Explanation of responses
- F1Balance in the Abbott Laboratories Stock Retirement Trust as of July 28, 2016.
- F2Held in the Annette Newton-Freyman 1994 Trust. The reporting person's spouse is trustee of the trust. The trust is revocable by his spouse. The reporting person disclaims beneficial ownership of these securities.
- F3Held in the Annette Newton-Freyman 2012 Irrevocable Trust. The reporting person is trustee of the trust. The trust is irrevocable. The reporting person disclaims beneficial ownership of these securities.
- F4Held in the Thomas C. Freyman 2012 Irrevocable Trust. The reporting person's spouse is trustee of the trust. The trust is irrevocable.
- F5These shares are held in an irrevocable trust for the benefit of the reporting person's son. The reporting person's spouse is trustee of the trust. The reporting person disclaims beneficial ownership of these securities.
- F6Employee stock option granted pursuant to the Abbott Laboratories 1996 Incentive Stock Program, in a transaction exempt from Section 16 under Rule 16b-3.
Remarks
These transactions were made pursuant to a previously adopted plan complying with Rule 10b5-1(c).