SEC Form 4 · accession 0001179110-17-002921
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
Feb 17, 2017
Accepted (ET)
Feb 22, 2017 · 5:20 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 17, 2017 | A | 19,961 | $0.00 | A | 67,628 | D | |
| Common shares without par valueF2 | holding | — | — | — | 21 | I | Profit Sharing Trust | |
| Common shares without par valueF3 | holding | — | — | — | 63,903 | I | Jaime Contreras Marvan 2006 Living Trust | |
| Common shares without par valueF4 | holding | — | — | — | 2,426 | I | By spouse | |
| Common shares without par valueF5 | holding | — | — | — | 12,081 | I | Living Trust (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)F6 | $44.40 | Feb 17, 2017 | A | 138,049 | A | Feb 17, 2018 | Feb 16, 2027 | Common shares | 138,049 | 138,049 | 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 17, 2017.
- F3Held in the Jaime Contreras Marvan 2006 Living Trust. The reporting person is sole trustee of the trust. The trust is revocable.
- 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.
- F6Employee 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 46,017 on 02/17/2018, 46,016 on 02/17/2019, and 46,016 on 02/17/2020.