SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
DALE MICHAEL D

(Last) (First) (Middle)
100 ABBOTT PARK ROAD

(Street)
ABBOTT PARK IL 60064

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
11/11/2019
3. Issuer Name and Ticker or Trading Symbol
ABBOTT LABORATORIES [ ABT ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Senior Vice President
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common shares without par value 25,294 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Option (right to buy)(1) 07/21/2018 07/20/2027 Common shares 17,600 $50.72 D
Option (right to buy)(2) 02/16/2019 02/15/2028 Common shares 46,403 $59.94 D
Option (right to buy)(3) 02/22/2020 02/21/2029 Common shares 38,190 $75.9 D
Explanation of Responses:
1. Employee stock option granted pursuant to the Abbott Laboratories 2017 Incentive Stock Program, in a transaction exempt from Section 16 under Rule 16b-3. The option became exercisable in annual increments of 5,867 and 5,866 on July 21, 2018 and July 21, 2019, respectively, and 5,867 becomes exercisable on July 21, 2020.
2. Employee stock option granted pursuant to the Abbott Laboratories 2017 Incentive Stock Program, in a transaction exempt from Section 16 under Rule 16b-3. The option becomes exercisable in annual increments, of which 15,468 became exercisable on February 16, 2019 and 15,467 and 15,468 become exercisable on February 16, 2020 and February 16, 2021, respectively.
3. Employee stock option granted pursuant to the Abbott Laboratories 2017 Incentive Stock Program, in a transaction exempt from Section 16 under Rule 16b-3. The option becomes exercisable in annual increments of 12,730 on February 22, 2020, 12,730 on February 22, 2021, and 12,730 on February 22, 2022.
Jessica H. Paik, by power of attorney for Michael D. Dale 11/19/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.