アボット・ラボラトリーズ 外国会社臨時報告書
| 提出書類 | 外国会社臨時報告書 |
|---|---|
| 提出日 | |
| 提出者 | アボット・ラボラトリーズ |
| カテゴリ | 外国会社臨時報告書 |
EDINET提出書類
アボット・ラボラトリーズ(E27839)
外国会社臨時報告書
【表紙】
【提出書類】 外国会社臨時報告書
【提出先】 関東財務局長
【提出日】 令和2年2月25日
【会社名】 アボット・ラボラトリーズ
(Abbott Laboratories)
【代表者の役職氏名】 財務担当執行副社長兼最高財務責任者
ブライアン・バーナード・ヨア
(Brian Bernard Yoor, Executive Vice President,
Finance and Chief Financial Officer)
【本店の所在の場所】 アメリカ合衆国60064-6400イリノイ州アボットパーク、
アボット・パーク・ロード 100
(100 Abbott Park Road, Abbott Park, Illinois 60064-
6400, U.S.A.)
【代理人の氏名又は名称】 弁護士 松 添 聖 史
【代理人の住所又は所在地】 東京都港区六本木一丁目9番10号
アークヒルズ仙石山森タワー28F
ベーカー＆マッケンジー法律事務所 (外国法共同事業)
【電話番号】 (03)6271-9900
【事務連絡者氏名】 弁護士 渡 邊 大 貴
【連絡場所】 東京都港区六本木一丁目9番10号
アークヒルズ仙石山森タワー28F
ベーカー＆マッケンジー法律事務所 (外国法共同事業)
【電話番号】 (03)6271-9900
【縦覧に供する場所】 なし
注(1) 別段の記載がある場合を除き、本書に記載の「米ドル」及び「ドル」はアメリカ合衆国ドルを指す。本書におい
て便宜上記載されている日本円への換算は、１米ドル＝108.52円の換算率（令和2年2月3日現在の株式会社三菱UFJ
銀行の対顧客電信直物売買相場仲値）により換算されている。
注(2) 本書中の表で計数が四捨五入されている場合、合計は計数の総和と必ずしも一致しない。
1/8
EDINET提出書類
アボット・ラボラトリーズ(E27839)
外国会社臨時報告書
1【提出理由】
アボット・ラボラトリーズ（以下「当社」という。）は、当社が発行者である新株予約権証券の募集が本
邦以外の地域において開始されたため、金融商品取引法第 24条の5第4項並びに企業内容等の開示に関する内
閣府令第19条第2項第1号の規定に基づき、本臨時報告書を提出するものである。
別途の記載がある場合を除き、本書に定義のない大文字で始まる用語は本プランに定める意味を有する。
2【報告内容】
(1) Type ofSecurities :
Stock purchase rights of the Compan y,which represent Moving Strike Price Stock Options.
(note) This offering ismade under the Abbott Laboratories 2017 Employee Stock Purchase Plan for
Non-U.S. Employees (the "Plan"), as adopted by resolution ofthe Board ofDirectors ofthe Company on
February 17, 2017 and approved by the Company's shareholders atthe annual meeting on April 28,
2017.
Nature ofMoving Strike Price Stock Options
APurchase Cycle will usually commence on February 1and August 1each year. Using the funds
accumulated by means ofthe Participants ’authorized payroll deductions atthe rate of 1-10 %during
the applicable Purchase Cycle, the Participants may purchase the Company ’s C ommon Shares atthe
purchase price ,which shall be equal to85 %of the lower of (i) the Fair Market Value per share on the
(1) (2)
Offering Date or(ii) the Fair Market Value per share on the Purchase Date ;provided the
maximum purchase per each Purchase Cycle isUS$ 12,500 per person .
(1)The Offering Date ofthis stock purchase right isFebruary 1,2020 .
(2)The Purchase Date ofthis stock purchase right isJuly 31, 2020.
The relevant stock purchase rights represent the right topurchase the Company's C ommon Shares atthe
purchase price, which shall be equal to85 %of the lower of (i) the Fair Market Value per share on the
Offering Date or(ii) the Fair Market Value per share on the Purchase Date ,using the funds
accumulated by means ofthe Participants' authorized payroll deductions assuming the maximum rate of
10 % during the applicable Purchase Cycle (but the maximum purchase per each Purchase Cycle isUS$
12,500 per person ).The exact purchase price isunknown until the Purchase Date.
(i) Accordingly, ifthe stock price of the Company's C ommon Shares declines, the purchase price ofthe
relevant stock purchase rights declines as well, and thus the "Number ofShares subject toPurchase
Rights "will increase. However, the amount of the contributions isalready fixed and will not change
depending on the stock price.
(ii) The "Number ofShares subject toStock Purchase Rights "iscalculated by dividing the amount of
contributions during the applicable Purchase Cycle, by the purchase price which shall be equal to85%
of the lower of (i) the Fair Market Value per share on the Offering Date or(ii) the Fair Market Value
per share on the Purchase Date . Provided, however, as described above, the "Aggregate Amount of
Payment upon Exercise ofStock Purchase Rights "will not change depending on the stock price.
(iii) The purpose ofthe relevant stock purchase rights istoprovide an opportunity for eligible non-U.S.
Employees ofparticipating Subsidiaries topurchase Common Shares ofAbbott Laboratories and
thereby tohave the opportunity toshare inits growth. The participation inthe Plan isvoluntary, and
the "Aggregate Amount of Payment upon Exercise of Stock Purchase Rights "will be determined by the
funds accumulated by means ofthe Participants' authorized payroll deductions atthe maximum rate of
10 % (provided the maximum purchase per each Purchase Cycle isUS$ 12,500 per person ).
Accordingly ,the minimum amount for such Aggregate Amount of Payment isnot determined.
2/8
EDINET提出書類
アボット・ラボラトリーズ(E27839)
外国会社臨時報告書
In addition, the total number of shares which may be issued under the Plan ,as amended and restated
effective August 1,2017, inthe aggregate shall not exceed 15,000,000 shares .
(iv) The shares subject tothe stock purchase rights ofeach Participant shall be automatically purchased
on behalf of each Participant on each Purchase Date (after conversion into U.S. Dollars, ifnecessary).
However, the Board may terminate orsuspend the Plan atany time inits sole discretion.
Further, inthe following cases, the stock purchase rights shall be terminated and thus such stock
purchase rights may not be exercised.
· AParticipant terminates his/her outstanding stock purchase rights under the Plan during the
Purchase Cycle.
· AParticipant ceases toremain an Employee while his/her stock purchase rights remain
outstanding.
Ifafter the grant of purchase rights, but prior tothe purchase ofCommon Shares with respect toa
particular Purchase Cycle, there isany increase ordecrease inthe number ofoutstanding Common
Shares because of astock split, stock dividend, combination orrecapitalization, the Administrator inits
sole discretion shall make any such substitution or adjustment, ifany, as itdeems appropriate, with
respect to: (a) the maximum number ofCommon Shares; (b) the purchase price per Common Share;
and (c) any other limitations provided under the Plan.
(2) Description of Stock Purchase Rights, etc. :
(a) Estimated Number ofStock Purchase Rights Granted :10,443,412
(Estimated number. The number ofstock purchase rights issued isequivalent tothe number of the
Company’s C ommon Shares subject tothe stock purchase rights .)
(note) As ofthe filing date ofthis Report, the amount ofcontributions and the purchase price
applicable tothe six-month Purchase Cycle (February 1,2020 through July 31, 2020) has not yet been
determined, and therefore, assuming that all eligible Employees participate inthe Plan and contribute
atthe maximum amount ofUS $12,500 ,the estimated maximum amount ofcontributions during such
Purchase Cycle shall be US $772,812,500 (JPY 83,865,612,500) .The "Number ofStock Purchase
Rights Issued" shall be calculated by dividing the above estimated maximum amount ofcontributions
by 85% (US $74.00 (JPY 8,030) )ofthe closing price ofthe Company’s C ommon Shares as reported on
the New York Stock Exchange ("NYSE") on February 3,2020 (US $87.06 (JPY 9,448)).
(b) Issue Price (per Stock Purchase Right): US $0 (JPY 0).
(c) Total Issue Price : US $0 (JPY 0).
(d) Type, Description and Number of Shares subject toStock Purchase Rights :
1.Type ofShares tobe used for Stock Purchase Rights :
Registered form, no par value Common Shares of Abbott Laboratories
(note) Co mmon Shares issued hereunder will be authorized but unissued shares, treasury
shares, shares purchased on the open market, or acombination ofeach.
(note) Inthe event the Company effects one or more reorganizations, recapitalizations, spinoffs,
split-ups, rights offerings or reductions ofits outstanding Common Shares, or ifthere isany
increase or decrease inthe number ofoutstanding Common Shares because ofastock split, stock
dividend, combination or recapitalization, the Administrator inits sole discretion may make any
such substitution or adjustment, ifany, as itdeems appropriate, with respect to: (a) the number
and kind ofshares (b) the purchase price per Common Share covered by each outstanding
purchase right, and (c) any other limitations provided under thePlan.
2.Description of Shares :
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EDINET提出書類
アボット・ラボラトリーズ(E27839)
外国会社臨時報告書
i.Dividend Rights .Subject toany preferential dividend rights applicable tothe
preferred shares, the holders ofthe Common Shares shall be entitled todividends if, when and
asthe same shall be declared by the Board of Directors out offunds of the Company legally
available.
ii.Liquidation Rights .Inthe event of any voluntary or involuntary dissolution,
liquidation and winding up ofthe Company, and provided that all debts of the Company have
been paid, the remaining assets will be distributed among the shareholders according totheir
respective interests. Before any distribution of the assets of the Company shall be made toorset
apart for the holders of the Common Shares orofany other class of shares ofthe Company
ranking junior tothe preferred shares with respect topayment of dividends orupon dissolution,
liquidation and winding up ofthe Company, the holders of the shares ofeach series of the
preferred shares then outstanding shall be entitled toreceive payment ofsuch amount asshall be
stated and expressed inthe resolution orresolutions adopted by the Board ofDirectors
providing for the issue of such series. Upon receipt of such payment, such holders shall be
entitled tono further payment.
iii. Redemption .The Common Shares are not redeemable.
iv. Voting Rights .The holders of Common Shares shall be entitled tovote as
provided by law .
3.Number ofShares tobe used for Stock Purchase Rights :
The number ofshares tobe issued upon exercise of outstanding stock purchase rights will be the
number ofwhole shares obtained by dividing the amount collected from the Participant through
payroll deductions during each Purchase Cycle by the purchase price ineffect for that Purchase
Cycle.
10,443,412 shares intotal, ifall ofthe stock purchase rights are exercised (estimated number).
(note) In the event the Company effects one or more reorganizations, recapitalizations, spinoffs, split-
ups, rights offerings or reductions ofits outstanding Common Shares, or ifthere isany increase or
decrease in the number of outstanding Common Shares because of astock split, stock dividend,
combination or recapitalization, the Administrator in its sole discretion may make any such
substitution or adjustment, ifany, as itdeems appropriate, with respect to: (a) the number and
kind of shares (b) the purchase price per Common Share covered by each outstanding purchase
right, and (c) any other limitations provided under thePlan.
(note) On the exercise date of the stock purchase rights using the funds accumulated by means of the
Participants’ authorized payroll deductions during the applicable Purchase Cycle, the
Participants may purchase the Company’s C ommon Shares atthe purchase price, which shall be
equal to85% ofthe lower of(i) the Fair Market Value per share on the Offering Date and (ii) the
Fair Market Value per share on the Purchase Date. Accordingly, as of the filing day of this
Report, the "Number of Shares subject to Stock Purchase Rights" has not yet been determined.
Therefore, for convenience, the above "Number of Shares subject to Stock Purchase Rights" is
calculated by dividing the estimated maximum amount of contributions during the applicable
Purchase Cycle (assuming that all Participants participate in the Plan and contribute the
maximum amount of US $12,500 per each Purchase Cycle) (i.e., US $772,812,500 (JPY
83,865,612,500 ))by 85% (US $74.00 (JPY 8,030) )ofthe closing price ofthe Company’s Common
Shares as reported on the NYSE on February 3, 2020 (US $87.06 (JPY 9,448) )(See above note
under (2)(a)).
(e) Amount ofPayment upon Exercise ofStock Purchase Rights:
US $74.00 (JPY 8,030) perone purchase right.
Total Amount of Payment upon Exercise of Stock Purchase Rights :
US $772,812,500 (JPY 83,865,612,500 )
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EDINET提出書類
アボット・ラボラトリーズ(E27839)
外国会社臨時報告書
(note) In the event the Company effects one or more reorganizations, recapitalizations, spinoffs, split-
ups, rights offerings or reductions of its outstanding Common Shares, the Administrator in its sole
discretion may make any such substitution or adjustment, ifany, as itdeems appropriate, with respect
to: (a) the number and kind of shares, (b) the purchase price per Common Share covered by each
outstanding purchase right, and (c) any other limitations provided under this Plan.
(note) As stated above, since the "Amount ofPayment upon Exercise ofStock Purchase Rights" has not
yet been determined (See above Note 3), 85% (US $74.00 (JPY 8,030) )of the closing price of the
Company’s C ommon Shares as reported on the NYSE on February 3,2020 (US $87.06 (JPY 9,448 )is
inserted for convenience. The actual purchase price shall be equal to 85% of the lower of (i) the Fair
Market Value per share on the Offering Date and (ii) the Fair Market Value per share on the Purchase
Date. For this offering, the Offering Date shall be February 3,2020 and the Purchase Date shall be
July 31, 2020 .(See above note under (2)(d)-3) .
(note) As stated above, since the amount of the contributions has not yet been determined, the total
"Amount of Payment upon Exercise of Stock Purchase Rights" shall be determined, for convenience,
based on the estimate ofthe maximum contributions by the Participants during the Purchase Cycle (See
above note under (2)(d)-3).
(f) Exercise Period of Stock Purchase Rights :
July 31,2020
(note) The stock purchase rights shall be automatically exercised on this day.
(g) Terms and Conditions of Stock Purchase Rights :
The terms and conditions of the stock purchase rights are set forth inthe Plan. Such terms include that:
1. Notwithstanding any other provision ofthe Plan tothe contrary, no Participant may
contribute more than the equivalent inlocal currency of US$ 12,500 during each Purchase
Cycle towards the purchase ofCommon Shares under the Plan .
2. Upon the Participant's discontinuation ofparticipation during aPurchase Cycle, the amount
credited tothe Participant's account shall be refunded as soon asadministratively practicable
without interest (unless otherwise required by local law). Such Participant shall be ineligible to
participate inthe Plan until he re-enrolls inthe Plan for asubsequent Purchase Cycle in
accordance with the enrollment procedures set forth inSection 4.1 of the Plan. See further
terms and conditions set forth inSection 4.3 ofthe Plan.
3. IfaParticipant terminates employment with his Employer for any reason (including death,
disability or retirement) prior tothe expiration ofaPurchase Cycle, the Participant's
participation inthe Plan shall immediately terminate, and the amount credited tothe
Participant's account shall be refunded tothe Participant orthe Participant's estate without
interest (unless otherwise required by local law) as soon asadministratively practicable. Each
Employer inits discretion shall determine whether its Employees have terminated employment
for purposes ofthe Plan, and such determinations shall be final and binding on all parties. Each
Employer also may establish rules regarding when aleave ofabsence orother changes of
employment status will be considered tobe atermination of employment with respect toits
Employees for purposes of the Plan.
4. Inthe event ofaproposed sale of all or substantially all ofthe assets ofthe Company, orthe
merger or consolidation of the Company with orinto another entity, then inthe sole discretion
ofthe Administrator: (a) each purchase right shall be assumed, or an equivalent purchase right
shall be substituted, by the successor corporation or parent orsubsidiary of such successor
corporation; or (b) a new Purchase Date shall be established by the Administrator on or before
the date ofconsummation of such merger, consolidation orsale, and all outstanding purchase
rights shall be automatically exercised on such new date. See further terms and conditions set
forth inSection 9.2 of the Plan.
5/8
EDINET提出書類
アボット・ラボラトリーズ(E27839)
外国会社臨時報告書
5. The Administrator shall have the power, authority and responsibility for the day-to-day
administration of the Plan, the power, authority and responsibility specifically provided inthis
Plan, and any additional duties and responsibilities approved by the Board. See further terms
and conditions set forth inSections 12 and 13 ofthe Plan.
(h) Amount tobe Transferred into Capital (the Issue Price of Shares ifIssued upon Exercise ofStock
Purchase Rights) :
US $74.00 (JPY 8,030 )per share
(i) Matters Relating toTransfer of Stock Purchase Rights :
Purchase rights granted toParticipants may not be voluntarily orinvoluntarily assigned, transferred,
pledged, or otherwise disposed of inany way, and are exercisable during the Participant's lifetime only
by the Participant. Any attempted assignment, transfer, pledge, or other disposition of apurchase right
hereunder shall be null and void and without effect. IfaParticipant inany manner attempts totransfer,
assign or otherwise encumber his or her rights or interest under the Plan, such act shall be treated asan
election by the Participant todiscontinue participation inthe Plan pursuant toSection 4.3 ofthe Plan.
(3) Method of Issuance ofStock Purchase Rights :
The stock purchase rights are tobe offered to61,825 eligible Employees under the Plan who are
employed by the Company's participating Subsidiaries (outside Japan).
(4) Name of Underwriter or Person/Agent Making Secondary Offering :
Not applicable.
(5) Areas Where Offering or Secondary Offering IsMade (Outside Japan) :
Argentina
Australia
Austria
Bahrain
Belgium
Brazil
Canada
Chile
China
Colombia
Costa Rica
Croatia
Czech Republic
Denmark
Dominican Republic
Ecuador
Egypt
El Salvador
Finland
France
Germany
Greece
Guatemala
Hong Kong
India
Ireland
Israel
Italy
Jamaica
Korea
Kuwait
Latvia
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EDINET提出書類
アボット・ラボラトリーズ(E27839)
外国会社臨時報告書
Lebanon
Malaysia
Mexico
Netherlands
New Zealand
Norway
Oman
Pakistan
Panama
Peru
Philippines
Poland
Portugal
Qatar
Romania
Singapore
Spain
Sweden
Switzerland
Taiwan
Thailand
Trinidad
Turkey
United Arab Emirates
Uruguay
(6) Use ofProceeds from the New Issuance of Shares :
Amount ofProceeds :
US $772,812,500 (JPY 83,865,612,500)
(note) The amount ofproceeds isthe sum ofthe total issue price ofthe stock purchase rights and the
amount ofpayment upon exercise ofthe stock purchase rights US $772,812,500 (JPY
83,865,612,500), net ofUS $0(JPY 0) which isthe approximate amount ofvarious related expenses for
the new issuance ofshares.
Use ofProceeds: The net proceeds realized from the exercise ofstock purchase rights (US $772,812,500
(JPY 83,865,612,500 ))will be used asgeneral working capital of the Company, including for capital
expenditure and payme ntofoperational costs, but details ofspecific items, the breakdown ofthe
amount, and the timing ofpayment has not been determined and will be determined according tothe
Company’s business needs.
(7) Date ofIssuance :
February 1,2020.
(8) Name ofSecurities Market toList on inCase ofListing the Securities :
Not applicable.
(9) Matters Relating toMoving Strike Price Stock Options (MSPSO):
(i) Reason for the Decision toUse MSPSO as aMethod of Funding
The Plan isintended toprovide an opportunity for eligible non-U.S. Employees ofparticipating
Subsidiaries topurchase Common Shares of Abbott Laboratories and thereby tohave the
opportunity toshare inits growth.
(ii) Content ofAgreement tobe Made Between the Offerees and the Company Concerning the
Exercise of MSPSO
7/8
EDINET提出書類
アボット・ラボラトリーズ(E27839)
外国会社臨時報告書
The terms and conditions are prescribed inthe Plan and the enrollment form prescribed by the Board
of Directors orthe Compensation Committee or the relevant delegate.
(iii)Content ofAgreement tobe Made Between the Offerees and the Company Concerning the
Trade of the Company’s Common Stock
Not applicable.
(iv) Content ofAgreement tobe Made Between the Offerees and the Company’s Special Interested
Parties, among Others, Concerning Stock Lending, ifAny
Not applicable.
(v) Other Matters Essential for Investor Protection
Not applicable.
(10) Matters tobe Noted inCase ofAllocation toThird Party:
Not applicable .
(11) Amount ofCapital and Outstanding Shares ofthe Company :
(a) Amount ofCapital :
Common Shares: US $23,771 million (JPY 2,579,629 million )as ofSeptember 30, 2019.
(b) Number ofOutstanding Shares :
Common shares :1,976,705,285 shares asofSeptember 30, 2019.
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