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ABBOTT LABORATORIES — Major Shareholding Notification 2001
Feb 8, 2001
29777_mrq_2001-02-08_b72c5d9c-07cd-4ac4-9750-403330bc1608.zip
Major Shareholding Notification
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SC 13G/A 1 a2036823zsc13ga.htm SC 13G/A Prepared by MERRILL CORPORATION www.edgaradvantage.com
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 22)*
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Abbott Laboratories (Name of Issuer)
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Common Stock without par value (Title of Class of Securities)
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002824 10 0 (CUSIP Number)
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*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
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ZEQ.=1,SEQ=1,EFW="2036823",CP="ABBOTT STOCK RETIREMENT TRUST",DN="1",CHK=213700,FOLIO='blank',FILE='DISK023:[01CHI4.01CHI1324]MA1324A.;48',USER='KLIND',CD=';8-FEB-2001;00:42' User-specified TAGGED TABLE
CUSIP No. 002824 10 0 13G Page 2 of 11 Pages
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| (1) — (2) | Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Abbott Laboratories Stock Retirement Trust I.R.S. Identification No. 36-6047554 — Check the Appropriate Box if a Member | (a) | / / |
|---|---|---|---|
| of a Group* | (b) | /x/ | |
| (3) | SEC Use Only | ||
| (4) | Citizenship or Place of Organization Illinois | ||
| Number of Shares Beneficially Owned by Each Reporting Person With | (5) | Sole Voting Power 0 | |
| (6) | Shared Voting Power 94,997,026 | ||
| (7) | Sole Dispositive Power 0 | ||
| (8) | Shared Dispositive Power 94,997,026 | ||
| (9) | Aggregate Amount Beneficially Owned by Each Reporting Person 94,997,026 | ||
| (10) | Check if the Aggregate Amount in Row (9) Excludes Certain Shares* | ||
| (11) | Percent of Class Represented by Amount in Row 9 6.1% | ||
| (12) | Type of Reporting Person* EP | ||
| *SEE INSTRUCTIONS |
end of user-specified TAGGED TABLE ZEQ.=2,SEQ=2,EFW="2036823",CP="ABBOTT STOCK RETIREMENT TRUST",DN="1",CHK=631573,FOLIO='blank',FILE='DISK023:[01CHI4.01CHI1324]MA1324A.;48',USER='KLIND',CD=';8-FEB-2001;00:42' User-specified TAGGED TABLE
CUSIP No. 002824 10 0 13G Page 3 of 11 Pages
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| (1) — (2) | Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Gary P. Coughlan ###-##-#### — Check the Appropriate Box if a Member | (a) | / / | |
|---|---|---|---|---|
| of a Group* | (b) | /x/ | ||
| (3) | SEC Use Only | |||
| (4) | Citizenship or Place of Organization United States | |||
| Number of Shares Beneficially Owned by Each | (5) | Sole Voting Power | ||
| Reporting Person With | 224,601 shares direct | (Does not include shares held in the Abbott Laboratories Stock Retirement Trust for the benefit of the reporting person.) | ||
| (6) | Shared Voting Power 98,089,648 See Attached Exhibit 1 | |||
| (7) | Sole Dispositive Power 224,601 shares (see note in 5 above) direct | |||
| (8) | Shared Dispositive Power 98,089,648 See Attached Exhibit 1 | |||
| (9) | Aggregate Amount Beneficially Owned by Each Reporting Person 98,753,678 (Total of 5 + 6 + 439,429 shares right to acquire by exercise of stock options.) | |||
| (10) | Check if the Aggregate Amount in Row (9) Excludes Certain Shares* | |||
| (11) | Percent of Class Represented by Amount in Row 9 6.4% | |||
| (12) | Type of Reporting Person* IN | |||
| *SEE INSTRUCTIONS |
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CUSIP No. 002824 10 0 13G Page 4 of 11 Pages
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| (1) — (2) | Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Greg W. Linder ###-##-#### — Check the Appropriate Box if a Member | (a) | / / | |
|---|---|---|---|---|
| of a Group* | (b) | /x/ | ||
| (3) | SEC Use Only | |||
| (4) | Citizenship or Place of Organization United States | |||
| Number of Shares Beneficially Owned by Each | (5) | Sole Voting Power | ||
| Reporting Person With | 23,125 shares direct | (Does not include shares held in the Abbott Laboratories Stock Retirement Trust for the benefit of the reporting person.) | ||
| (6) | Shared Voting Power 98,089,648 See Attached Exhibit 1 | |||
| (7) | Sole Dispositive Power 23,125 shares (see note in 5 above) direct | |||
| (8) | Shared Dispositive Power 98,089,648 See Attached Exhibit 1 | |||
| (9) | Aggregate Amount Beneficially Owned by Each Reporting Person 98,190,013 (Total of 5 + 6 + 77,240 shares right to acquire by exercise of stock options.) | |||
| (10) | Check if the Aggregate Amount in Row (9) Excludes Certain Shares* | |||
| (11) | Percent of Class Represented by Amount in Row 9 6.4% | |||
| (12) | Type of Reporting Person* IN | |||
| *SEE INSTRUCTIONS |
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CUSIP No. 002824 10 0 13G Page 5 of 11 Pages
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| (1) — (2) | Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Thomas M. Wascoe ###-##-#### — Check the Appropriate Box if a Member | (a) | / / | |
|---|---|---|---|---|
| of a Group* | (b) | /x/ | ||
| (3) | SEC Use Only | |||
| (4) | Citizenship or Place of Organization United States | |||
| Number of Shares Beneficially Owned by Each | (5) | Sole Voting Power | ||
| Reporting Person With | 27,344 shares direct | (Does not include shares held in the Abbot Laboratories Stock Retirement Trust for the benefit of the reporting person.) | ||
| (6) | Shared Voting Power 98,089,648 See Attached Exhibit 1 | |||
| (7) | Sole Dispositive Power 27,344 shares (see note in 5 above) direct | |||
| (8) | Shared Dispositive Power 98,089,648 See Attached Exhibit 1 | |||
| (9) | Aggregate Amount Beneficially Owned by Each Reporting Person 98,223,381 (Total of 5 + 6 + 106,389 shares right to acquire by exercise of stock options.) | |||
| (10) | Check if the Aggregate Amount in Row (9) Excludes Certain Shares* | |||
| (11) | Percent of Class Represented by Amount in Row 9 6.4% | |||
| (12) | Type of Reporting Person* IN | |||
| *SEE INSTRUCTIONS |
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| Item 1(a) | Name of Issuer: Abbott Laboratories |
|---|---|
| Item 1(b) | Address of Issuer's Principal Executive Offices: 100 Abbott Park Road Abbott Park, Illinois 60064-6400 |
| Item 2(a) | Name of Persons Filing: Abbott Laboratories Stock Retirement Trust Gary P. Coughlan Greg W. Linder Thomas M. Wascoe |
| Item 2(b) | Address of Principal Business Office: 100 Abbott Park Road Abbott Park, Illinois 60064-6400 |
| Item 2(c) | Citizenship: Abbott Laboratories Stock Retirement TrustIllinois. Gary P. Coughlan, Greg W. Linder, and Thomas M. WascoeUnited States |
| Item 2(d) | Title of Class of Securities: Common shares without par value |
| Item 2(e) | CUSIP Number: 002824 10 0 |
| Item 3. | If this statement is filed pursuant to §240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is an: [X] An employee benefit plan or endowment fund in accordance with Rule 13d-1 (b)(1)(ii)(F). |
| Item 4. | Ownership (a) (See cover pages 2, 3, (b) 4 and 5, Items 5 through (c) 9 and 11.) |
| Item 5. | Ownership of Five Percent or Less of a Class Not applicable. |
| Item 6. | Ownership of More than Five Percent on Behalf of Another Person. The shares owned by the Abbott Laboratories Stock Retirement Trust and the dividends thereon are held for the benefit of participants of the Abbott Laboratories Stock Retirement Plan pursuant to terms of that Plan and the Trust. The Abbott |
| Laboratories Stock Retirement Plan is a qualified profit sharing plan. As of December 31, 2000, there were 37,315 participants with share balances in the Plan. | |
| Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. Not applicable. |
| Item 8. | Identification and Classification of Members of the Group. Not applicable. |
| Item 9. | Notice of Dissolution of Group. Not applicable. |
| Item 10. | Certification. Not applicable. |
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Signature
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. This statement is filed on behalf of each individual listed below pursuant to their agreement.
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| Date: February 7, 2001 |
|---|
| /s/ GARY P. COUGHLAN Gary P. Coughlan, Co-Trustee |
| /s/ GREG W. LINDER Greg W. Linder, Co-Trustee |
| /s/ THOMAS M. WASCOE Thomas M. Wascoe, Co-Trustee |
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EXHIBIT 1
Schedule 13G Amendment No. 22 Abbott Laboratories Common shares without par value CUSIP Number 002824 10 0
Messrs. Coughlan, Linder, and Wascoe are Co-trustees of the Abbott Laboratories Stock Retirement Trust, committee members of a committee established under the Abbott Laboratories Stock Retirement Trust (Puerto Rico), Trustees of the Abbott Laboratories Employee Benefit Trust, and members of the Abbott Stock Committee for the Abbott Laboratories Ashland Union 401(k) Trust. As such, each of them has shared voting power over the 98,089,648 shares held by those trusts. This total is comprised of the following components:
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| Number of Shares | Name of Trust |
|---|---|
| 94,997,026 | Abbott Laboratories Stock Retirement Trust |
| 2,996,944 | Abbott Laboratories Stock Retirement Trust (Puerto Rico) |
| 52,000 | Abbott Laboratories Employee Benefit Trust |
| 43,678 | Abbott Laboratories Ashland Union 401(k) Trust |
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Disclaimer of Beneficial Ownership under Rule 13d-4
The filing of Schedule 13G Amendment 22 on behalf of the Abbott Laboratories Stock Retirement Trust does not constitute an admission that the undersigned is, for purposes of Section 13(d) of the Securities and Exchange Act of 1934, the beneficial owner of any securities covered by the Schedule. Pursuant to Rule 13d-4 of the Act, the undersigned disclaims such ownership with respect to any shares listed therein of which he would not otherwise be deemed to be beneficial owner.
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| /s/ GARY P. COUGHLAN Gary P. Coughlan |
|---|
| Date: February 7, 2001 |
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Disclaimer of Beneficial Ownership under Rule 13d-4
The filing of Schedule 13G Amendment 22 on behalf of the Abbott Laboratories Stock Retirement Trust does not constitute an admission that the undersigned is, for purposes of Section 13(d) of the Securities and Exchange Act of 1934, the beneficial owner of any securities covered by the Schedule. Pursuant to Rule 13d-4 of the Act, the undersigned disclaims such ownership with respect to any shares listed therein of which he would not otherwise be deemed to be beneficial owner.
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| /s/ GREG W. LINDER Greg W. Linder |
|---|
| Date: February 7, 2001 |
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Disclaimer of Beneficial Ownership under Rule 13d-4
The filing of Schedule 13G Amendment 22 on behalf of the Abbott Laboratories Stock Retirement Trust does not constitute an admission that the undersigned is, for purposes of Section 13(d) of the Securities and Exchange Act of 1934, the beneficial owner of any securities covered by the Schedule. Pursuant to Rule 13d-4 of the Act, the undersigned disclaims such ownership with respect to any shares listed therein of which she would not otherwise be deemed to be beneficial owner.
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| /s/ THOMAS M. WASCOE Thomas M. Wascoe |
|---|
| Date: February 7, 2001 |
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