Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ABBOTT LABORATORIESABT · Entity 2314 | Executive Vice President | February 28, 2017 | March 02, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ABBOTT LABORATORIES
Report date February 28, 2017 · Filed March 02, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common shares without par valueSEC Table I · non-derivative | Direct | 69,240 |
Reported balance
After 2017-02-28 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2017-02-28 · Grant · Acquired 26,367 · Balance 69,240 F1: Settlement of a performance-based restricted stock unit in shares in a transaction exempt from Section 16(b) under Rule 16b-3. F2: Due to administrative error, the Form 4 previously filed on January 6, 2017 over-reported the shares acquired by 1 share. This Form 4 reflects the corrected total beneficial ownership for this reporting person. |
| Common shares without par valueSEC Table I · non-derivative | Direct | 60,359 |
Reported balance
After 2017-02-28 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2017-02-28 · Tax withholding · Disposed 8,881 · Balance 60,359 |
| Common shares without par valueSEC Table I · non-derivative | Direct | 56,508 |
Reported balance
After 2017-03-01 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2017-03-01 · Sale · Disposed 3,851 · Balance 56,508 |
| Common shares without par valueSEC Table I · non-derivative | IndirectBy Trust | 39,413 |
Reported balance
Holding disclosure · report date 2017-02-28 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 39,413 F3: Held in the Stefanie M. Warmuth Revocable Trust. The reporting person and his spouse are trustees of the trust. The trust is revocable by the reporting person's spouse. The reporting person disclaims beneficial ownership of these securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Settlement of a performance-based restricted stock unit in shares in a transaction exempt from Section 16(b) under Rule 16b-3.
F2: Due to administrative error, the Form 4 previously filed on January 6, 2017 over-reported the shares acquired by 1 share. This Form 4 reflects the corrected total beneficial ownership for this reporting person.
F3: Held in the Stefanie M. Warmuth Revocable Trust. The reporting person and his spouse are trustees of the trust. The trust is revocable by the reporting person's spouse. The reporting person disclaims beneficial ownership of these securities.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 27, 2009 Filed Jan 30, 2009 01:01 UTC | ABBOTT LABORATORIES ABT · Entity 2314 | Exercise / conversionOption (right to buy) · Derivative | 3,197 | $0.00 Strike: $42.50 | $0.00 |
DisclosureSEC source: 0001104659-09-005106 · a4.xml · derivative · entry 10 Warmuth Michael J · CIK 0001452290 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common shares · 3,197 shares Expires 2009-02-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · security: Employee stock option granted pursuant to the Abbott Laboratories 1996 Incentive Stock Program, including a replacement option feature, in a transaction exempt from Section 16(b) under Rule 16b-3. Read SEC document |
| January 27, 2009 Filed Jan 30, 2009 01:01 UTC | ABBOTT LABORATORIES ABT · Entity 2314 | Tax withholdingCommon shares without par value | 11,363 | $54.05 | $614,170.15 |
DisclosureSEC source: 0001104659-09-005106 · a4.xml · nonDerivative · entry 7 Warmuth Michael J · CIK 0001452290 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,761 Read SEC document |
| January 27, 2009 Filed Jan 30, 2009 01:01 UTC | ABBOTT LABORATORIES ABT · Entity 2314 | Exercise / conversionCommon shares without par value | 4,269 | $41.03 | $175,164.33 |
DisclosureSEC source: 0001104659-09-005106 · a4.xml · nonDerivative · entry 6 Warmuth Michael J · CIK 0001452290 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,124 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 27, 2009 Filed Jan 30, 2009 01:01 UTC | ABBOTT LABORATORIES ABT · Entity 2314 | Exercise / conversionCommon shares without par value | 8,811 | $33.23 | $292,801.87 |
DisclosureSEC source: 0001104659-09-005106 · a4.xml · nonDerivative · entry 5 Warmuth Michael J · CIK 0001452290 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,855 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 27, 2009 Filed Jan 30, 2009 01:01 UTC | ABBOTT LABORATORIES ABT · Entity 2314 | Exercise / conversionCommon shares without par value | 3,065 | $32.61 | $99,953.02 |
DisclosureSEC source: 0001104659-09-005106 · a4.xml · nonDerivative · entry 4 Warmuth Michael J · CIK 0001452290 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,044 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 27, 2009 Filed Jan 30, 2009 01:01 UTC | ABBOTT LABORATORIES ABT · Entity 2314 | SaleCommon shares without par value | 7,711 | $54.41 | $419,555.51 |
DisclosureSEC source: 0001104659-09-005106 · a4.xml · nonDerivative · entry 3 Warmuth Michael J · CIK 0001452290 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,979 Read SEC document |
| January 27, 2009 Filed Jan 30, 2009 01:01 UTC | ABBOTT LABORATORIES ABT · Entity 2314 | Exercise / conversionCommon shares without par value | 4,514 | $54.03 | $243,891.42 |
DisclosureSEC source: 0001104659-09-005106 · a4.xml · nonDerivative · entry 2 Warmuth Michael J · CIK 0001452290 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,690 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 27, 2009 Filed Jan 30, 2009 01:01 UTC | ABBOTT LABORATORIES ABT · Entity 2314 | Exercise / conversionCommon shares without par value | 3,197 | $42.50 | $135,865.47 |
DisclosureSEC source: 0001104659-09-005106 · a4.xml · nonDerivative · entry 1 Warmuth Michael J · CIK 0001452290 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,176 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 15, 2008 Filed Dec 17, 2008 22:01 UTC | ABBOTT LABORATORIES ABT · Entity 2314 | GrantCommon shares without par value | 3,000 | $51.30 | $153,900.00 |
DisclosureSEC source: 0001104659-08-077077 · a4.xml · nonDerivative · entry 1 Warmuth Michael J · CIK 0001452290 · Senior Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,979 F1 · kind: These shares represent performance vested restricted stock awards under the Abbott Laboratories 1996 Retention Restricted Stock Award Plan. The award has a 3-year term, with no more than 1/3 of the award vesting in any one year upon reaching a minimum return on equity target. The award includes the right to have stock withheld for tax purposes. F2 · balance_after: Includes shares acquired under the Abbott Laboratories Dividend Reinvestment and Stock Purchase Plan. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.