Alpern Robert J

SEC source: 0001415889-21-003418 · form4-07022021_020756.xml · derivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,408

Underlying: Common Shares · 67 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott shares.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott shares.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott shares.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-21-007282 · edgar.xml · derivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,914

Underlying: Common Stock · 63 shares

Expires not disclosed

F1 · derivative.exercise_date: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001595585-21-000076 · wf-form4_162344563392461.xml · derivative · entry 2

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,235

Underlying: Common Stock · 57,235 shares

Expires 2031-06-09

F2 · derivative.exercise_date: Subject to the Reporting Person's continuous service to the Issuer as a non-employee director through each vesting date, this option vests ratably on a monthly basis, on the monthly anniversary of June 10, 2021 ("Option Date"), over the one-year period following the Option Date so that the option shall be 100% vested and exercisable on the one-year anniversary of the Option Date ("Vesting Date"); provided, however, if the Next Annual Meeting occurs prior to the Vesting Date, then the option shall vest in full immediately prior to the Next Annual Meeting.

SEC source: 0001595585-21-000076 · wf-form4_162344563392461.xml · nonDerivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,463

F1 · shares: Represents restricted stock units ("RSUs") that vest on the earlier of (i) the one-year anniversary of June 10, 2021 (the "Grant Date") and (ii) the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date (the "Next Annual Meeting"), subject to the Reporting Person's continuous service as a non-employee director through such vesting date. Each RSU represents a contingent right to receive one share of Common Stock.

SEC source: 0001179110-21-005197 · edgar.xml · nonDerivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,121

F1 · shares: These are restricted stock units awarded under the AbbVie 2013 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in shares of AbbVie common stock on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).

SEC source: 0001415889-21-002154 · form4-04272021_030431.xml · nonDerivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,879

F1 · shares: These are restricted stock units awarded under the Abbott Laboratories 2017 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in Abbott common shares on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).

SEC source: 0001415889-21-001831 · form4-04022021_020445.xml · derivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,308

Underlying: Common Shares · 65 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-21-003957 · edgar.xml · derivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,764

Underlying: Common stock · 66 shares

Expires not disclosed

F1 · derivative.exercise_date: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001415889-21-000152 · form4-01052021_030112.xml · derivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,214

Underlying: Common Shares · 71 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-21-000194 · edgar.xml · derivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,602

Underlying: Common Stock · 67 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-20-010065 · edgar.xml · derivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,116

Underlying: Common Shares · 72 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-20-010196 · edgar.xml · derivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,489

Underlying: Common Stock · 82 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001104659-20-079857 · a4.xml · derivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,015

Underlying: Common Shares · 86 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-20-007837 · edgar.xml · derivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,353

Underlying: Common Stock · 71 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001595585-20-000084 · wf-form4_159226433861659.xml · derivative · entry 2

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,967

Underlying: Common Stock · 22,967 shares

Expires 2030-06-10

F2 · derivative.exercise_date: Subject to the Reporting Person's continuous service to the Issuer as a non-employee director through each vesting date, this option vests ratably on a monthly basis, on the monthly anniversary of June 11, 2020 ("Option Date"), over the one-year period following the Option Date so that the option shall be 100% vested and exercisable on the one-year anniversary of the Option Date ("Vesting Date"); provided, however, if the Next Annual Meeting occurs prior to the Vesting Date, then the option shall vest in full immediately prior to the Next Annual Meeting.

SEC source: 0001595585-20-000084 · wf-form4_159226433861659.xml · nonDerivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,060

F1 · shares: Represents restricted stock units ("RSUs") that vest on the earlier of (i) the one-year anniversary of June 11, 2020 (the "Grant Date") and (ii) the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date (the "Next Annual Meeting"), subject to the Reporting Person's continuous service as a non-employee director through such vesting date. Each RSU represents a contingent right to receive one share of Common Stock.

SEC source: 0001179110-20-005775 · edgar.xml · nonDerivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,440

F1 · kind: These are restricted stock units awarded under the AbbVie 2013 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in shares of AbbVie common stock on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).

F1 · price: These are restricted stock units awarded under the AbbVie 2013 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in shares of AbbVie common stock on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).

SEC source: 0001179110-20-005178 · edgar.xml · nonDerivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,380

F1 · shares: These are restricted stock units awarded under the Abbott Laboratories 2017 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in Abbott common shares on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).

SEC source: 0001179110-20-004562 · edgar.xml · derivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,897

Underlying: Common Shares · 99 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-20-004513 · edgar.xml · derivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,110

Underlying: Common Stock · 90 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-20-000214 · edgar.xml · derivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,766

Underlying: Common shares · 90 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-20-000105 · edgar.xml · derivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,933

Underlying: Common Stock · 77 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001595585-19-000267 · wf-form4_157489000070694.xml · nonDerivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,390

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.20 to $39.99, inclusive. The reporting person undertakes to provide to Tricida, Inc., any security holder of Tricida, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001595585-19-000263 · wf-form4_157438137971772.xml · nonDerivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,390

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.21 to $40.80, inclusive. The reporting person undertakes to provide to Tricida, Inc., any security holder of Tricida, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001595585-19-000261 · wf-form4_157377568336808.xml · nonDerivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,829

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.78 to $40.29, inclusive. The reporting person undertakes to provide to Tricida, Inc., any security holder of Tricida, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001595585-19-000252 · wf-form4_157360281269501.xml · nonDerivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,988

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.75 to $40.23, inclusive. The reporting person undertakes to provide to Tricida, Inc., any security holder of Tricida, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001595585-19-000250 · wf-form4_157317263109524.xml · nonDerivative · entry 2

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,941

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2018.

SEC source: 0001595585-19-000250 · wf-form4_157317263109524.xml · nonDerivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,168

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.75 to $40.27, inclusive. The reporting person undertakes to provide to Tricida, Inc., any security holder of Tricida, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001595585-19-000247 · wf-form4_157308640416906.xml · nonDerivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,773

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.75 to $40.31, inclusive. The reporting person undertakes to provide to Tricida, Inc., any security holder of Tricida, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001595585-19-000239 · wf-form4_157239815609396.xml · nonDerivative · entry 3

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,390

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2018.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.92 to $36.74, inclusive.

SEC source: 0001595585-19-000239 · wf-form4_157239815609396.xml · nonDerivative · entry 2

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,390

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2018.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.20 to $37.49, inclusive.

SEC source: 0001595585-19-000239 · wf-form4_157239815609396.xml · nonDerivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,736

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.12 to $37.00, inclusive. The reporting person undertakes to provide to Tricida, Inc., any security holder of Tricida, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2), (3) and (4) to this Form 4.

SEC source: 0001104659-19-052641 · a4.xml · derivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,647

Underlying: Common shares · 94 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001104659-19-052307 · a4.xml · derivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,773

Underlying: Common Stock · 90 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001595585-19-000215 · wf-form4_156989087300481.xml · nonDerivative · entry 3

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,390

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2018.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.62 to $32.63, inclusive.

SEC source: 0001595585-19-000215 · wf-form4_156989087300481.xml · nonDerivative · entry 2

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,411

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2018.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.47 to $32.44, inclusive.

SEC source: 0001595585-19-000215 · wf-form4_156989087300481.xml · nonDerivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,872

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.28 to $31.15, inclusive. The reporting person undertakes to provide to Tricida, Inc., any security holder of Tricida, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2), (3) and (4) to this Form 4.

SEC source: 0001595585-19-000186 · wf-form4_156702292610116.xml · nonDerivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,390

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.89 to $33.50, inclusive. The reporting person undertakes to provide to Tricida, Inc., any security holder of Tricida, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001595585-19-000142 · wf-form4_156444099519993.xml · nonDerivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,390

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.01 to $32.42, inclusive. The reporting person undertakes to provide to Tricida, Inc., any security holder of Tricida, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001595585-19-000122 · wf-form4_156236015351095.xml · nonDerivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,390

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.03 to $38.53, inclusive. The reporting person undertakes to provide to Tricida, Inc., any security holder of Tricida, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

F3 · balance_after: Includes 1,879 restricted stock units ("RSUs") that vest on the earlier of (i) the one-year anniversary of May 31, 2019 (the "Grant Date") and (ii) the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date (the "Next Annual Meeting"), subject to the Reporting Person's continuous service as a non-employee director through such vesting date. Each RSU represents a contingent right to receive one share of Common Stock.

SEC source: 0001179110-19-008246 · edgar.xml · derivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,524

Underlying: Common shares · 93 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-19-008308 · edgar.xml · derivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,571

Underlying: Common Stock · 94 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001595585-19-000102 · wf-form4_155969437584754.xml · derivative · entry 2

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,068

Underlying: Common Stock · 7,068 shares

Expires 2029-05-31

F2 · derivative.exercise_date: Subject to the Reporting Person's continuous service to the Issuer as a non-employee director through each vesting date, this option vests ratably on a monthly basis, on the monthly anniversary of May 31, 2019 ("Option Date"), over the one-year period following the Option Date so that the option shall be 100% vested and exercisable on the one-year anniversary of the Option Date ("Vesting Date"); provided, however, if the Next Annual Meeting occurs prior to the Vesting Date, then the option shall vest in full immediately prior to the Next Annual Meeting.

SEC source: 0001595585-19-000102 · wf-form4_155969437584754.xml · nonDerivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,390

F1 · shares: Represents restricted stock units ("RSUs") that vest on the earlier of (i) the one-year anniversary of May 31, 2019 (the "Grant Date") and (ii) the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date (the "Next Annual Meeting"), subject to the Reporting Person's continuous service as a non-employee director through such vesting date. Each RSU represents a contingent right to receive one share of Common Stock.

SEC source: 0001179110-19-005666 · edgar.xml · nonDerivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,107

F1 · kind: These are restricted stock units awarded under the AbbVie 2013 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in shares of AbbVie common stock on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).

F1 · price: These are restricted stock units awarded under the AbbVie 2013 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in shares of AbbVie common stock on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).

SEC source: 0001179110-19-005307 · edgar.xml · nonDerivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,406

F1 · shares: These are restricted stock units awarded under the Abbott Laboratories 2017 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in Abbott common shares on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).

SEC source: 0001179110-19-004612 · edgar.xml · derivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,400

Underlying: Common shares · 98 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-19-004524 · edgar.xml · derivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,389

Underlying: Common Stock · 85 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to stock equivalent unit accounts under grantor trusts established by the director at Abbott Laboratories and AbbVie. The stock equivalent units in the Abbott account will be paid, in cash, generally at age 65 or upon retirement from Abbott's board, and the stock equivalent units in the AbbVie account will be paid, in cash, generally at age 65 or upon retirement from AbbVie's board. The stock equivalent units in each account earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001595585-19-000065 · wf-form4_155389473471127.xml · nonDerivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,511

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 19, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $36.00, inclusive. The reporting person undertakes to provide to Tricida, Inc., any security holder of Tricida, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

F3 · balance_after: Includes 3,632 shares of restricted stock units ("RSUs") that vest on the earlier of (i) the one-year anniversary of June 27, 2018 (the "Grant Date") and (ii) the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date (the "Next Annual Meeting"), subject to the Reporting Person's continuous service as a non-employee director through such vesting date. Each RSU represents a contingent right to receive one share of Common Stock.

SEC source: 0001179110-19-000293 · edgar.xml · derivative · entry 1

Alpern Robert J · CIK 0001448074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,270

Underlying: Common shares · 108 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.