SEC Form 4 · accession 0001179110-18-011220
ABBOTT LABORATORIES · ABT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert E Funck
Officer — Senior Vice President
Period of report
Sep 5, 2018
Accepted (ET)
Sep 7, 2018 · 5:15 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 | Sep 5, 2018 | M | 9,700 | $26.1879 | A | 118,380 | D | |
| Common shares without par value | Sep 5, 2018 | M | 12,300 | $22.3919 | A | 130,680 | D | |
| Common shares without par value | Sep 5, 2018 | M | 14,400 | $27.0336 | A | 145,080 | D | |
| Common shares without par value | Sep 5, 2018 | F | 23,751 | $67.11 | D | 121,329 | D | |
| Common shares without par valueF1 | holding | — | — | — | 17,157 | I | Profit Sharing Trust | |
| Common shares without par valueF2 | holding | — | — | — | 500 | I | By Daughter | |
| Common shares without par valueF2 | holding | — | — | — | 500 | I | By Daughter |
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 | $26.1879 | Sep 5, 2018 | M | 9,700 | D | Feb 19, 2013 | Feb 18, 2020 | Common shares | 9,700 | 0 | D |
| Option (right to buy)F3 | $22.3919 | Sep 5, 2018 | M | 12,300 | D | Feb 18, 2014 | Feb 17, 2021 | Common shares | 12,300 | 0 | D |
| Option (right to buy)F3 | $27.0336 | Sep 5, 2018 | M | 14,400 | D | Feb 17, 2015 | Feb 16, 2022 | Common shares | 14,400 | 0 | D |
Explanation of responses
- F1Balance in the Abbott Laboratories Stock Retirement Trust as of September 5, 2018.
- F2The reporting person disclaims beneficial ownership of all securities held by his daughter.
- F3Employee stock option granted pursuant to the Abbott Laboratories 2009 Incentive Stock Program, in a transaction exempt from Section 16 under Rule 16b-3.