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ABBOTT LABORATORIES — Director's Dealing 2011
Jan 24, 2011
29777_rns_2011-01-24_260a5e49-586e-4639-8891-d3501d9fd313.pdf
Director's Dealing
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Abbott Laboratories Forms 4, 8-K, and Schedule 13G
Copies of the above documents have been submitted via email to the UK Listing Authority, and will shortly be available for inspection at National Storage Mechanism (NSM) located at:
Hemscott Group Ltd St James House 13 Kensington Square London, W8 5HD United Kingdom
| ∟roπn | |
|---|---|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
| OMB APPROVAL | |
|---|---|
| CMB Number: | 3235-0207 |
| Expires: | February 28, 2011 |
| Estimated sverage burden | |
| hours per response: |
r.
Check this box if no longer subject to Sector
16. Form 4 or Form 5 obligations may
confinue. See Instruction 1(b). Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility
Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
| 1. Name and Address of Reporting Person NOVAKOVIC PHEBE N |
2. Issuer Name and Ticker or Trading Symbol ABBOTT LABORATORIES [ ABT ] |
x | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director |
10% Owner | |||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| (First) (Middle) (Last) C/O GENERAL DYNAMICS CORPORATION. 2941 FAIRVIEW PARK DRIVE, SUITE 100 |
12/06/2010 | 3. Date of Earliest Transaction (Month/Day/Year) | Officer (give little below) |
Other (specify below) |
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| (Street) FALLS ٧٨ 22042 CHURCH |
4. If Amendment, Date of Original Filed (Month/Day/Year) | Line) x |
6. Individual or Joint/Group Filing (Check Applicable Form filed by One Reporting Person Form filed by More than One Reporting Person |
||||||||||||||||
| (Cay) | (State) | $(Z_P)$ | Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||
| 1. Title of Security (Instr. 3) | 2. Transaction Date |
(Month/Day/Year) | 2A Deemod Execution Date. if any (Month/Day/Year) |
Transaction Code finstr. |
4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) |
5. Amount of Socurities Beneficially Owned Following Reported Transaction(s) (Instr. |
8. Ownership Form: Direct (D) or Indirect (I) finstr. 41 |
7. Nature of indirect Beneficial Ownership |
|||||||||||
| Code | v | Amount | (A) or (D) |
Price | $3$ and $4$ | $0$ nstr. 41 | |||||||||||||
| Common shares without par value | 12/06/2010 | P | 500 | A | \$46.8495 | 500 | D | ||||||||||||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) |
|||||||||||||||||||
| 1. Title of Derivative 2 3. Transaction 3A Doemed Security (Instr. 3) Conversion Date or Exercise (Month/Dav/Year) d anv Price of Derivative Security |
Execution Date. (Month/Day/Year) |
Transaction Code finatr. 81 |
5. Number of Darivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) |
8. Price of Derivative Security finstr. 51 |
9. Number e. derivative Securities Beneficially Owned |
10. Ownership Form: Oirect (O) or Indirect (1) (Instr. (1) |
11. Nature of Indirect Beneficial Ownership (0.05, 4) |
||||||||||
| Date v IA m Code Exercisable Date |
Expiration | This | Amount or Number of Sheres |
Following Reported Transaction (s) Cristr. 4) |
Explanation of Responses:
John A. Berry, by Power of Attorney for Phebe N. Novakovic
12/08/2010
Date
Signature of Reporting Person
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 4 (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.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934 (Amendment No. 1)*
Icagen, Inc.
(Name of Issuer)
Common Stock, \$0.001 par value
(Title of Class of Securities)
45104P500
(CUSIP Number)
September 23,2010
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
Rule I3d-l(b)
Rule 13d-l(c)
Rule 13d-l(d)
*The remainder of this cover page shall be filled out for 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 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).
| 36-0698440 | Names of Reporting Persons I.R.S. Identification Nos. of Above Persons (Entities Only) Abbott Laboratories |
||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Check the Appropriate Box if Member of Group (See Instructions) |
|||||||||||||
| (a) | |||||||||||||
| (b) | |||||||||||||
| SEC Use Only | |||||||||||||
| Citizenship or Place of Organization Illinois |
|||||||||||||
| Sole Voting Power | |||||||||||||
| Number of Shares Beneficially |
Shared Voting Power | ||||||||||||
| Owned by Each Reporting Person With |
Sole Dispositive Power | ||||||||||||
| Shared Dispositive Power | |||||||||||||
| Aggregate Amount Beneficially Owned by Each Reporting Person | |||||||||||||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) | ||||||||||||
| 11 | Percent of Class Represented by Amount in Row (9) 0% |
||||||||||||
| 12 | CO | Type of Reporting Person (See Instructions) | |||||||||||
Item 1.
Item 2.
| (a) | Name of Issuer: Icagen, Inc. |
|---|---|
| (b) | Address of Issuer's Principal Executive Offices: 4222 Emperor Boulevard, Suite 350 Durham, North Carolina 27703 |
| (a) | Name of Person Filing: Abbott Laboratories |
| (b) | Address of Principal Business Office, or if none, Residence: 100 Abbott Park Road Abbott Park, Illinois 60064-6400 |
| (c) | Citizenship: Illinois |
| (d) | Title of Class of Securities: Common Stock, \$0,001 par value |
| (e) | CUSIP Number: 45104P500 |
Item 3. If this statement is filed pursuant to Rule 13d-l(b), or 13d-2(b) or (c), check whether the person filing is a:
- (a) Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
- (b) Bank as defined in section 3(a)(6)ofthe Act (15 U.S.C. 78c);
- (c) Insurance company as defined in section 3(a)(l9) of the Act (15 U.S.C. 78c);
- (d) Investment company registered under section of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
- (e) An investment adviser in accordance with Rule 13d-1 (b)( )(ii)(E);
- (0 An employee benefit plan or endowment fund in accordance with Rule 13d-l(b)(l)(ii)(F);
- (g) parent holding company or control person in accordance with Rule 13d-l(b)(l)(ii)(G);
- (li) savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
- (i) church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); or
- (j) Group, in accordance with Rule 13d-l(b)(l)(ii)(J).
Item 4. Ownership.
- (a) Amount beneficially owned: shares
- (b) Percent of class: 0%
- (c) Number of Shares as to which the reporting person has:
- (i) Sole power to direct the vote:
- (ii) Shared power to vote or direct the vote:
- (iii) Sole power to dispose or direct the disposition of:
- (iv) Shared power to dispose or direct the disposition of:
Item 5. Ownership of Five Percent or Less of Class.
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: 13
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
N/A
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.
N/A
Item 8. Identification and Classification of Members of the Group.
N/A
- Item 9. Notice of Dissolution of Group. N/A
- Item 10. Certifications. N/A
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, certify that the information set forth in this statement is true, complete and correct.
Date: December 10,2010
ABBOTT LABORATORIES
By: /s/ Thomas C. Freyman
Name: Thomas C. Freyman Its: Executive Vice President, Finance and Chief Financial Officer
3235-0287 February 28, 2011
$05$
OMB APPROVAL
Maga tours per resp
CMB Number
Expires
Estrus
| SEC Form 4 |
|---|
| ------------------- |
FORM4
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
| ⊠ | Check this box if no longer subject to Section 16. Form 4 or Form 5 obtigations may continue. See instruction 1(b) |
|---|---|
$\overline{a}$
Filed pursuant to Section 16(a) of the Secunties Exchange Act of 1934, Section 17(a) of the Public Utility
Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
| Name and Address of Reporting Person ABBOTT LABORATORIES |
2. Issuer Name and Ticker or Trading Symbol Trubion Pharmaceuticals, Inc [ TRBN ] |
5. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director |
x | 10% Owner | |||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| (Last) 100 ABBOTT PARK ROAD |
(First) | (Middle) | 10/28/2010 | 3. Date of Earliest Transaction (Month/Day/Year) | Officer (give title below) |
Other (specify below) |
|||||||||||||||
| Street) ABBOTT PARK IL (City) |
(State) | 60064 (Zip) |
4. If Amendment, Date of Original Filed (Month/Day/Year) | Linoi x |
6. Individual or Joint/Group Filing (Check Applicable Form filed by One Reporting Person Form filed by More than One Reporting Person |
||||||||||||||||
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||||||||
| Title of Security (Instr. 3) | 2. Transaction Date [Month/Day/Year] |
2A Decreed Execution Date , B any (Month/Day/Year) |
Transaction Code Cruiz. |
4. Securities Acquired (A) or Disposed 01 (0) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Fallowing Reported Transaction(s) Gnstr. |
(Instr. 4) | 1. Ownership Form: Direct (D) or indirect (I) |
7. Nature c tndirect Beneficial Ownershiz finate, 41 |
|||||||||||||
| Code | M | Amount | (A) or (D) |
Price | 3 and 41 | ||||||||||||||||
| Common Stock | 10/28/2010 | 1 11 is e |
2,243,649 (1) (2) |
D | (1)(2) | $\bf{0}$ | D | ||||||||||||||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) |
|||||||||||||||||||||
| Title of Derivative ecurity (instr. 3) |
ı Conversion or Exercise Price of Derivative Security |
3. Transaction Date (Month/Day/Year) |
3A Deemed Execution Date . ti env (Month/Day/Year) |
Transaction Code (Instr. |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) Gnatr. 3, 4 and 5) |
5. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security Cruix, 3 and 41 |
8. Price of Derivative Security Crab. St |
œf Owned |
9. Number derivative Securities Beneficially Following |
10. Ownership Form: Direct (D) or Indiract $(1)$ (instr. $4)$ |
11. Nature al Indirect Beneficia Ownershi Castr. 40 |
|||||||||
| Code | v | w | m | Data | Exercisable | Expiration Date |
Title | Amount or Number of Shares |
Reported | Transaction (s) Gristr. 43 |
Explanation of Rosponses:
$\mathbf{I}$
-
This Form 4 relates to shares of common stock, par value 50.001 of Trubion Pharmaceuticals, Inc. ("Trubion Common Stock"). On October 28, 2010, pursuant to an Agreement and Plan of Merger dated August 12,
2010, as amend -
(Continued from Feotuste 1) As a result of the Merger each of the 2,243,649 shares of Trubion Common Stock owned by Abbott Laboratories outstanding immediately prior to the effective time of the Merger was canceled and rata portion of certain contingent payments following the achievement of future development milestones under certain of Trubien's collaboration agreements
/s/ Thomas C. Freyman Executive Vice President. 12/10/2010 Finance and Chief Financial Officer of Abbott Laboratories ** 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 4 (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.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934 (Amendment No. $1$ )*
Trubion Pharmaceuticals, Inc.
(Name of Issuer)
Common Stock, par value \$0.001 per share
(Title of Class of Securities)
89778N102
(CUSIP Number)
October 28, 2010
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
- $\Box$ Rule 13d-1(b)
- $\boxtimes$ Rule 13d-1(c)
- $\Box$ Rule 13d-1(d)
*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).
http://www.sec.gov/Archives/edgar/data/1800/000110465910062173/a10-22345 2sc13ga.htm
| $\mathbf{1}$ | Names of Reporting Persons I.R.S. Identification Nos. of Above Persons (Entities Only) Abbott Laboratories (36-0698440) |
|||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 2 | Check the Appropriate Box if a Member of a Group (See Instructions) | |||||||||||
| (a) | $\Box$ | |||||||||||
| (b) | $\Box$ | 1989 - Andrea Stadt Britain, amerikansk politiker ( | ||||||||||
| 3 | SEC Use Only | |||||||||||
| 4 | Illinois | Citizenship or Place of Organization | ||||||||||
| 5 | Sole Voting Power 0 |
|||||||||||
| Number of Shares Beneficially |
6 | Shared Voting Power 0 |
||||||||||
| Owned by Each Reporting Person With |
7 | Sole Dispositive Power 0 |
||||||||||
| 8 | Shared Dispositive Power $\pmb{0}$ |
|||||||||||
| 9 | 0 | Aggregate Amount Beneficially Owned by Each Reporting Person | ||||||||||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) $\Box$ | |||||||||||
| 11 | $0.0\%$ | Percent of Class Represented by Amount in Row (9) | ||||||||||
| 12 | $\mathbf{C}$ | Type of Reporting Person (See Instructions) | ||||||||||
| $\overline{\mathbf{2}}$ |
Item 1.
Item 2.
| (a) | Name of Issuer: Trubion Pharmaceuticals, Inc. |
|
|---|---|---|
| (b) | Address of Issuer's Principal Executive Offices: 2401 Fourth Avenue, Suite 1050 Seattle, WA 98121 |
|
| (a) | Name of Person Filing: |
(b) Address of Principal Business Office, or if none, Residence: 100 Abbott Park Road Abbott Park, Illinois 60064-6400
(c) Citizenship: Illinois
Abbott Laboratories
- (d) Title of Class of Securities: Common Stock, par value \$0.001 per share
- (e) CUSIP Number: 89778N102
If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: Item 3.
- (a) $\Box$ Broker or dealer registered under section 15 of the Act (15 U.S.C. 780);
- $(b)$ $\Box$ Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
- Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); $\Box$ $(c)$
- $(d)$ $\Box$ Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
- An investment adviser in accordance with Rule $13d-1(b)(1)(ii)(E)$ ; $(e)$ $\Box$
- An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); $\Box$ (f)
- A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); $(g)$ $\Box$
- A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); $\Box$ (h)
- A church plan that is excluded from the definition of an investment company under section $3(c)(14)$ of the $\Box$ $(i)$ Investment Company Act of 1940 (15 U.S.C. 80a-3); or
- Group, in accordance with Rule 13d-1(b)(1)(ii)(J). $(i)$ $\Box$
$\mathbf{3}$
Item 4. Ownership.
- (a) Amount beneficially owned: 0 shares
- (b) Percent of class: $0.0%$
- (c) Number of shares as to which the reporting person has:
- (i) Sole power to direct the vote: $\mathbf 0$
- (ii) Shared power to vote or direct the vote: $\bf{0}$
- (iii) Sole power to dispose or direct the disposition of: $\pmb{0}$
- (iv) Shared power to dispose or direct the disposition of: $\mathbf{0}$
Item 5. Ownership of Five Percent or Less of a Class.
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: [X]
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
Not applicable.
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.
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. Certifications.
Not applicable.
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.
Date: December 10, 2010
ABBOTT LABORATORIES
By: /s/ Thomas C. Freyman
Name: Thomas C. Freyman Executive Vice President, Finance Its: and Chief Financial Officer
$\mathsf{S}$
| SEC Form 4 | |||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| FORM4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION | Washington, D.C. 20549 | OMB APPROVAL | ||||||||||||||||
| STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP | OMB Number. Expres: |
3235-0287 February 28, 2011 |
|||||||||||||||||
| Check this box if no longer subject to Section 16 Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility | hours per response | Estimated everage burden | 05 | |||||||||||||||
| Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 | |||||||||||||||||||
| 1. Name and Address of Reporting Person * Fussell Stephen R |
2. Issuer Name and Ticker or Trading Symbol ABBOTT LABORATORIES [ ABT ] |
(Check all applicable) | 5. Relationship of Reporting Person(s) to Issuer | ||||||||||||||||
| x | Director Officer (give litle |
10% Owner Other (specify |
|||||||||||||||||
| (Middle) (Last) (First) 100 ABBOTT PARK ROAD |
3. Date of Earliest Transaction (Month/Day/Year) below) 12/13/2010 |
balow) Senior Vice President |
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| 4. If Amendment, Date of Original Filed (Mcnth/Day/Year) 6. Individual or Joint/Group Filing (Check Applicable Lino) |
|||||||||||||||||||
| (Street) ABBOTT PARK IL 60064-6400 |
x Form filed by One Reporting Person Form filed by More than One Reporting Person |
||||||||||||||||||
| (Cay) | (State) | (Zip) | |||||||||||||||||
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||||||
| 1. Title of Security (Instr. 3) | 2. Transaction Data |
(Month/Day/Year) | 2A Doemed Execution Date, if any (Month/Day/Year) |
83 | Transaction Code (Instr. |
Of (D) (Instr. 3, 4 and 5) | 4. Securities Acquired (A) or Disposed | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. |
6. Ownership Form: Direct (D) or Indirect (I) (0.10, 4) |
7. Nature of Indirect Beneficial Ownership $[1mm]$ , 4) |
|||||||||
| Code | v | Amount | $\begin{matrix} (A) & \omega \ (D) & \end{matrix}$ | Price | 3 and 4 | ||||||||||||||
| Common shares without par value | 12/13/2010 | м | 20.906 | A | \$45.4488 | $134.477$ (1) | D | ||||||||||||
| Common shares without par value | 12/13/2010 | S | 853 | D | \$47.28 | $133,624 \cdot P$ | D | ||||||||||||
| Common shares without par value | 12/13/2010 | s | 300 | D | \$47.285 | 133.324 | D | ||||||||||||
| Common shares without par value | 12/13/2010 | s | 4.600 | D | \$47.29 | 128.724 | D | ||||||||||||
| Common shares without par value | 12/13/2010 | s | 3.350 | D | \$47.3 | 125.374 | D | ||||||||||||
| Common shares without par value | 12/13/2010 | S | 100 | D | \$47.305 | 125,274 | D | ||||||||||||
| Common shares without par value | 12/13/2010 | s | 103 | D | \$47.31 | 125.171 | D | ||||||||||||
| Common shares without par value | 12/13/2010 | s | 100 | D | \$47.3175 | 125.071 | D | ||||||||||||
| Common shares without par value | 12/13/2010 | s | 2,000 | D | \$47.32 | 123,071 | D | ||||||||||||
| Common shares without par value | 12/13/2010 12/13/2010 |
S | 4.600 | D | \$47.33 | 118,471 | D | ||||||||||||
| Common shares without par value Common shares without par value |
12/13/2010 | s S |
1.300 3,600 |
D D |
\$47.335 \$47.34 |
117.171 113.571 |
D D |
||||||||||||
| Profit | |||||||||||||||||||
| Common shares without par value | $870^{(2)}$ | 1 | Sharing Trust |
||||||||||||||||
| Common shares without par value | $146$ * | 1 | By Spouse |
||||||||||||||||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) |
|||||||||||||||||||
| 1. Title of Derivative Security (Instr. 3) |
Conversion or Exercise Price of Derivative Security |
3. Transaction Date (Month/Day/Year) |
3A. Deemed Execution Date If any (Month/Day/Year) |
Transaction Code (Instr. O) |
Derivative Securities |
5. Number of Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
G. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Securities Underlying |
Derivative Security (Instr. 3 and | ll. Price of Derivative Security (0.10, 0.00) |
9. Number ď derivative Securities Beneficially Owned Following Reported |
10. Ownership Fam: Direct (D) or Indirect $(1)$ (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (0, 1) |
||||||
| Option (right to buy) | Code | v | (A) | (D) | Date Exercisable |
Date | Expiration | Title | Amount or Number of Shares |
Transaction $(1)$ (Instr. 4) |
|||||||||
| \$45,4488 | 12/13/2010 | м | 20,906 | 02/09/2004 | 02/08/2011 | Common shares |
20,906 | \$0 | 0 | D |
Explanation of Responsos:
- Amount is subject to adjustment pursuant to a domestic relations order
$2^\circ$ Balance in the Abbott Laboratories Stock Retirement Trust as of December 10, 2010.
-
The reporting person disclaims beneficial ownership of all securities held by his sponse
-
Employee stock option granted pursuant to the Abbott Laboratories 1996 Incentive Stock Program, including a replacement option feature, in a transaction evempt from Section 16 under Rule 16b-3
John A. Berry, by power of attorney for Stephen R. Fussell 12/15/2010 ** Signature of Reporting Person Date
SEC FORM 4
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 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Fedoral Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78f(a).
Noto: 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.
l.
| FORM4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION | Washington, D.C. 20549 | OMB APPROVAL | ||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Check this box if no longer subject to Section 16 Form 4 or Ferm 5 obligations may contrue See Instruction 1(b) |
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility |
Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 | OMB Number Expires Estimated average burder hours per response |
3235-0287 February 28, 2011 05 |
|||||||||||||
| 1. Name and Address of Reporting Person Hance Robert B |
2. Issuer Name and Ticker or Trading Symbol ABBOTT LABORATORIES [ ABT ] |
(Check all applicable) Director |
5. Relationship of Reporting Person(s) to Issuer 10% Owner |
||||||||||||||
| (Last) 100 ABBOTT PARK ROAD |
(First) | (Middle) | 11/30/2010 | 3. Date of Earliest Transaction (Month/Day/Year) | x | below) | Officer (give title | Senior Vice President | Other (specify below) |
||||||||
| (Street) ABBOTT PARK IL (City) |
(Stato) | (Zip) | 60064-6400 | 4. If Amendment, Date of Original Filed (Month/Day/Year) | Line) x |
Person | 6. Individual or Joint/Group Filing (Check Applicable Form filed by One Reporting Person Form filed by More than One Reporting |
||||||||||
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||||
| 1. Title of Security (Instr. 3) | 2. Transaction Oate (Month/Day/Year) |
2A. Deemed Execution Date , li any (Month/Day/Year) |
Transaction Code (Instr. C) |
4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities |
Beneficially Owned Following Reported Transaction(s) (Instr. |
(0.10, 4) | 8. Ownership Form: Direct (D) or indirect (I) |
7. Nature of Indiana Beneficial Ownership finatr. 4) |
||||||||
| Code | v | Amount | (A) or (D) |
Price | 3 and 4) | ||||||||||||
| Common shares without par value | 11/30/2010 | G | ٧ | 125 | D | S0 | 130.398 | D | |||||||||
| Common shares without par value | 6.366 | ı | Profit Trust |
||||||||||||||
| Common shares without par value | $20.000 -$ | f | |||||||||||||||
| Common shares without par value | $150^{21}$ | I | Sharing By wife By daughter |
||||||||||||||
| Common shares without par value | $150 -$ | I | Bv daughter |
||||||||||||||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned | (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||||
| 1. Title of Derivative Security (Instr. 3) |
Conversion or Exercise Price of Derivative Security |
3. Transaction Date (Month/Day/Year) |
3A Decmed Execution Date, ti any (Month/Day/Year) |
Transaction Code (Instr. m |
5. Number of Derivative Securities Accured (A) or Choosed of (D) Crstr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
(Instr. 3 and 4) | 7. Title and Amount of Securities Underlying Derivative Security |
8. Price of Dorivative Security (Instr. 5) |
9. Number destvative Securities Beneficially Owned Following Reported |
10. Ownership Form: Direct (D) or indirect (1) (instr. 4) |
11. Nature of indirect Beneficial Ownership Gratr. 41 |
- The reporting person disclaims beneficial ownership of all securities held by his wife and daughters
John A. Berry, by power of attorney for Robert B. Hance ** Signature of Reporting Person
12/15/2010
Date
Reminder: Report on a separate tine for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (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).
Noto: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
| SEC Form 4 FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 |
OMB APPROVAL | |||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Check this box if no longer subject to Section 16 Form 4 or Form 5 obligations may continue See Instruction 1(b) |
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
OMB Number Expres. Estimated average burden hours per response |
3235-0287 February 28, 2011 05 |
||||||||||||||||
| 1. Name and Address of Reporting Person Szela Mary T |
2. Issuer Name and Ticker or Trading Symbol ABBOTT LABORATORIES [ ABT ] |
(Check all applicable) | Director | 5. Relationship of Reporting Person(s) to Issuer 10% Owner |
|||||||||||||||
| (Last) 100 ABBOTT PARK ROAD |
(First) | (Middle) | 3. Date of Earliest Transaction (Month/Day/Year) 11/23/2010 |
x | below) | Officer (give title | Senior Vice President | Other (specify below) |
|||||||||||
| (Street) ABBOTT PARK IL (City) |
(State) | 60064-6400 (Zip) |
4. If Amendment, Date of Original Filed (Month/Day/Year) | Line) x |
Person | 6. Individual or Joint/Group Filing (Check Applicable Form filed by One Reporting Person Form filed by More than One Reporting |
|||||||||||||
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||||||
| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) |
2A Detmed Execution Data. if any (Month/Day/Year) |
Transaction Code (Instr. D) |
4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) |
Securities | 5. Amount of Beneficially Owned Following Reported Transaction(s) (Instr. |
finstr. 4) | 6. Ownership Form: Direct (D) or Indirect (I) |
7. Nature of Indirect Beneficial Ownership (0.627, 4) |
||||||||||
| Code | v | Amount | က္က ~ | Price | 3 and 4) | ||||||||||||||
| Common shares without par value | 11/23/2010 | G | v | 200 | D | S0 | 126.242 | Ð | |||||||||||
| Common shares without par value | 77 * | Profit Sharing Trust |
|||||||||||||||||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) |
|||||||||||||||||||
| 1. Title of Derivative Security (Instr. 3) |
Conversion or Exercise Price of Derivative Security |
3. Transaction Date (Month/Day/Year) |
3A Decmed Execution Date If any (Month/Day/Year) |
Transaction Code (Instr. m |
5. Number of Derivative Securities |
Acculred IAI or Disposed of (D) |
8. Date Exercisable and Expiration Date (Month/Day/Vear) |
Onstr. 3 and 4) | Underlying Derivative Security | 7. Title and Amount of Securities | 8. Price of Derivative Security นิกระว. รับ |
9. Number œ derivative Securities Beneficially Owned Following |
10. Ownership Form: Otrect (D) or Indirect $(0)$ (lests. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
|||||
| Code | (instr. 3, 4 and 5) Reported Amount or Transaction Number of Expiration Date (a) Castr. 4) Shares Date Title w m Exercisable v |
Explanation of Responses:
- Balance in the Abbott Laboratories Stock Retirement Trust as of December 9, 2010.
| John A. Berry, by power of | 12/15/2010 |
|---|---|
| attorney for Mary T. Szela | |
| ** 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 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 76ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
| SEC Form 4 | |||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 |
OMB APPROVAL | |||||||||||||||
| Check this box if no longer subject to Section 16 Form 4 or Form 5 obligations may |
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP | OMB Number: Expires hours per response |
Estimated average burden | 3235-0287 February 28, 2011 0.5 |
|||||||||||||
| contrue See Instruction 1(b) | Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility | Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 | |||||||||||||||
| 1. Name and Address of Reporting Person' Landgraf John C |
2. Issuer Name and Ticker or Trading Symbol ABBOTT LABORATORIES [ ABT ] |
(Check all applicable) Director |
5. Relationship of Reporting Person(s) to Issuer 10% Owner |
||||||||||||||
| (Last) (First) 100 ABBOTT PARK ROAD |
(Middle) | Officer (give title Other (specify x 3. Date of Earliest Transaction (Month/Day/Year) below) below) 12/02/2010 Senior Vice President |
|||||||||||||||
| (Street) ABBOTT PARK IL |
60064-6400 | 4. If Amendment, Date of Original Filed (Month/Day/Year) | Line) x |
6. Individual or Joint/Group Filing (Check Applicable Form filed by One Reporting Person Form filed by More than One Reporting |
|||||||||||||
| (Cay) (State) |
(Zip) | Person | |||||||||||||||
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||||
| 1. Title of Security (Instr. 3) | Data | 2. Transaction (Month Dav/Year) |
2A Decmed Execution Date il smy (Month/Day/Year) |
Transaction Code (Instr. Ð |
4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. |
6. Ownership Form: Direct (D) or Indirect (I) 0.45.4 |
7. Nature of Indirect Beneficial Ownership Cnstr. 4) |
|||||||||
| Code | v | Amount | (A) or (D) |
Price | 3 and 4) | ||||||||||||
| Common shares without par value | 12/02/2010 | G | ٧ | 800 | D | \$0 | 75.287 | D | |||||||||
| Common shares without par value | 16.971 | 1 | Profit Sharing Trust |
||||||||||||||
| Common shares without par value | 12/02/2010 | G | v | 400 | Α | \$0 | $2.007$ $\cdots$ | 1 | By self for son |
||||||||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned | (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||||
| 1. Title of Derivative $\mathbf{a}$ Security Onstr. 3) |
Conversion or Exercise Price of Derivative Security |
3. Transaction Date (Month/Day/Year) |
3A Desmed Execution Date U any (Morth/Day/Year) |
5. Number of 6. Date Exercisable and 7. Title and Amount of Securities 8. Price of 9. Number 10. Transaction Derivative Expiration Date Underlying Derivative Security Derivative Ownership сf (Month/Davi/Year) Code (Instr. Securities Crab. 3 and 41 Security derivative Form: Acquired (A) or Direct (D) Securities m (Instr. 5) Disposed of (D) Benchually or indirect Owned (1) (Instr. 4) $($ lnstr. 3, 4 and 5) Foilowing |
11. Nature of Indirect Beneficial Ownership $0$ ratr. 41 |
||||||||||||
| Reported Amount or Transaction Expiration Date Number of $(n)$ (instr. 4) v $\boldsymbol{\omega}$ Title Code œ, Exercisable Date Shares |
tion of Responses:
1 Balance in the Abbott Laboratories Stock Retirement Trust as of December 9, 2010.
-
Includes shares acquired under the Abbott Laboratories Dividend Re-investment and Stock Purchase Plan in transactions evempt from Section 16 under Rule 16(a)-11.
-
The reporting person disclaims beneficial ownership of all securities held by his son-
John A. Berry, by power of attorney for John C. Landgraf ** Signature of Reporting Person
12/15/2010
Date
Reminder: Report on a soparate tine for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (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.
$\ddot{\phantom{a}}$
| SEC Form 4 | |
|---|---|
FORM 4
Check this box if no longer subject to Section
16. Form 4 or Ferm 5 obligations may
continue. See Instruction 1(b).
S
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
| OMB APPROVAL | |
|---|---|
| OMB Number: | 3235 0267 |
| Expires: | February 28, 2011 |
| Estimated average burden | |
| hours per response: |
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility
Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
| 1. Name and Address of Reporting Person ® WHITE MILES D |
2. Issuer Name and Ticker or Trading Symbol ABBOTT LABORATORIES [ ABT ] |
x | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director |
10% Owner | ||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| (Last) 100 ABBOTT PARK ROAD |
(First) | (Middle) | 12/16/2010 | 3. Date of Earliest Transaction (Month/Day/Year) | x | Officer (give title Other (specify below) below) Chairman and CEO |
||||||||||||||
| (Street) ABBOTT PARK IL (Cay) |
(State) | (Zip) | 60064-6400 | 4. If Amendment, Date of Original Filed (Month/Day/Year) | Line) x |
6. Individual or Joint/Group Filing (Check Applicable Form filed by One Reporting Person Form filed by More than One Reporting Person |
||||||||||||||
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||||||
| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) |
2A. Desmed Execution Date , if any (Month/DayfYear) |
Transaction Code (Instr. 61 |
4. Securities Acquired (A) or Bisposed Of (D) (instr. 3, 4 and 8) |
5. Amount of Securities Beneficially Owned Following Reported |
6. Ownership or Indirect (I) (Instr. 4) |
Form: Cireci (D) | 7. Nature of Indirect Beneficial Ownership |
||||||||||||
| Code | v | Amount | (A) or (D) |
Price | Transaction(s) Crestr. 3 and 4) |
Crstr. 4) | ||||||||||||||
| Common shares without par value | 12/16/2010 | G | ٧ | 1.548 | D | SO. | 1.270.761 | D | ||||||||||||
| Common shares without par value | 12/20/2010 | G | ٧ | 21.303 | D | \$0 | 1,249,458 | D | ||||||||||||
| Common shares without par value | 12/21/2010 | G | v | 1.042 | D | S 0 | 1.248,416 | D | ||||||||||||
| Common shares without par value | $21.076$ 4 | Т | Profit Sharing Trust |
|||||||||||||||||
| Common shares without par value | 12/16/2010 | G | ٧ | 807 | A | S0 | $807 -$ | 1 | By wife | |||||||||||
| Common shares without par value | 12/16/2010 | G | v | 807 | D | \$0 | $0^{m}$ | 1 | By wife | |||||||||||
| Common shares without par value | 12/16/2010 | G | v | 516 | А | SO. | $6.471$ (2) | 1 | By son | |||||||||||
| Common shares without par value | 12/16/2010 | G | V | 516 | А | \$0 | 6.471 | By son | ||||||||||||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned | (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||||||
| 1. Title of Derivative Security (Instr. 3) |
Conversion or Exercise Price of Derivative Security |
3. Transaction Date (Month/Day/Year) |
3A Deemed Execution Date. If any (Month/Day/Year) |
4. Transaction Code (Instr. m |
5. Number of Dorivative Becurities Acautred IAI or Disposed of (D) Drain. 3, 4 and 5) |
d. Date Exercisable and Expiration Date (Month/Day/Year) |
$0$ nstr. $3$ and $4$ ) | 7. Title and Amount of Securities Underlying Dorlvative Security |
8. Price of Derivative Security Brab. St |
9. Number ď derivative Securities Beneficially Owned Following |
10. Ownership Form: Direct (D) er Indirect (1) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (lastr. 4) |
||||||||
| Code | v | 1AI | (D) | Date Exercisable |
Date | Expiration | Title | Amount or Number of Shares |
Reported Transaction (s) (Instr. 4) |
Explanation of Responses:
1 Balance in the Abbott Laboratories Stock Retirement Trust as of December 28, 2010
- The reporting person disclaims beneficial ownership of all securities held by his wife and sons
| John A. Berry, by power of | |
|---|---|
| attomey for Miles D. White | |
| ** Signature of Reporting Person |
12/30/2010
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 4 (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.
| SEC Form 4 | |||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| FORM4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 |
OMB Number: | OMB APPROVAL | 3235-0287 | |||||||||||||||
| Check this box if no longer subject to Section 16 Form 4 or Form 5 obtigations may continue. See thatruction 1(b) |
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
Expires: hours per response |
Estimated average burden | February 28, 2011 05 |
|||||||||||||||
| 1. Name and Address of Reporting Person Schumacher Laura J |
2. Issuer Name and Ticker or Trading Symbol ABBOTT LABORATORIES [ ABT ] |
(Check all applicable) Director |
5. Relationship of Reporting Person(s) to Issuer 10% Owner |
||||||||||||||||
| (Last) 100 ABBOTT PARK ROAD |
(First) | (Middle) | 12/17/2010 | 3. Dato of Earliest Transaction (Month/Day/Year) | x | Officer (give title balow) |
below) Executive Vice President |
Other (specify | |||||||||||
| (Street) ABBOTT PARK IL (City) |
(State) | (Zp) | 60064-6400 | 4. If Amendment, Date of Original Filed (Month/Day/Year) 6. Individual or Joint/Group Filing (Check Applicable Line) x |
Person | Form filed by One Reporting Person Form filed by More than One Reporting |
|||||||||||||
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||||||
| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Yess) |
2A. Deemed Execution Date if any (Month/Day/Year) |
Transaction Code Onstr. m |
4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities. Beneficially Owned Following Reported Transaction(s) Gristr. |
6. Ownership Form: Direct (D) or Indirect (i) $0$ nstr. 4) |
7. Nature of Indirect Boneficial Ownership Orstr. 41 |
||||||||||||
| Code | v | Amount | (A) or (D) |
Price | 3 and 4) | ||||||||||||||
| Common shares without par value | 12/17/2010 | G | ٧ | 400 | D | S 0 | 135.563 | D | |||||||||||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) |
|||||||||||||||||||
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Becurity |
1. Transaction Date (Month/Day/Year) |
3A Decmed Execution Date if any (Month/DaviYear) |
5. Number of 6. Date Exercisable and 7. Title and Amount of Securities Expiration Date Derivative Transaction Underlying Derivative Security Securities Month DaviYeari (0, 1, 1, 1, 4) Code (Instr. Accudred (A) or 81 Disposed of (D) Onstr. 3, 4 and 5) |
8. Price of Derivative Security Cruts, St |
9. Number ۵f derivative Securities Beneficially Owned Fallawing |
10. Ownership Form: Direct (D) or indirect (1) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership $0$ ratr. 4) |
|||||||||||
| Code | ٧ | w | m | Date | Exercisable | Date | Expiration | Title | Amount or Number of Shares |
Reported Transaction (s) (Instr. 4) |
mation of Responses:
John A. Berry, by power of attorney for Laura J. Schumacher ** Signature of Reporting Porson
12/30/2010
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 4 (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.
| FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 |
OMB APPROVAL | |||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Check this box if no longer subject to Section 18. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility |
Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 | OMB Number Expres hours per response |
Estimated availage burden | 3235-0287 February 28, 2011 0.5 |
||||||||||||
| 1. Name and Address of Reporting Person LIEPMANN HOLGER A |
2. Issuer Name and Ticker or Trading Symbol ABBOTT LABORATORIES [ ABT ] |
5. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director |
10% Owner | ||||||||||||||
| (Last) 100 ABBOTT PARK ROAD |
(First) | (Middio) | 12/23/2010 | 3. Date of Earliest Transaction (Month/Day/Year) | X | Officer (give title below) |
Other (specify below) Executive Vice President |
||||||||||
| (Street) ABBOTT PARK IL |
60064-6400 | 4. If Amendment, Date of Original Filed (Month/Day/Year) | Lino) x |
6. Individual or Joint/Group Filing (Check Applicable Form filed by One Reporting Person Form filed by More than One Reporting |
|||||||||||||
| (City) | (State) | (Zip) | Person | ||||||||||||||
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||||
| 1. Title of Security (Instr. 3) | Date | 2. Transaction (Month/Day/Year) |
2A Decmed Execution Date , il any (Month/Day/Year) |
Transaction Code (Instr. O) |
4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) Onstr. |
6. Ownership Form: Direct (D) or Indirect (I) ilnstr. 43 |
7. Nature of indirect Beneficial Ownership Cratz, 41 |
|||||||||
| ٧ | Amount | Price | 3 and 41 | ||||||||||||||
| Code | $\begin{pmatrix} A \ D \end{pmatrix}$ or | ||||||||||||||||
| Common shares without par value | 12/23/2010 | G | ν | 1.054 | D | 80 | 168,071 | D | |||||||||
| Common shares without par value | 15.152 | I | Profit Sharing Trust |
||||||||||||||
| Common shares without par value | 295% | I | By wife for daughter |
||||||||||||||
| Common shares without par value | $296 -$ | I | By wife for daughter |
||||||||||||||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned | (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||||
| 1. Title of Derivative Security (Instr. 3) |
Conversion or Exercise Price of Derivative Security |
3. Transaction Date (Month/Day/Year) |
10. Deemed Execution Date , il any (Month/Day/Yezr) |
Transaction Code (Instr. â١ |
5. Number of Dertvative Securities |
Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
(Instr. 3 and 4) | 7. Title and Amount of Securities Underlying Derivative Security |
8. Price of Derivative Security Oratr. Di |
9. Number derivative Securities Beneticially Owned Following |
10. Ownership Fam: Direct (D) or indirect (I) (instr. 4) |
11. Nature of Indirect Bencficial Ownership $q_{max}$ . 4) |
- The reporting person disclaims beneficial ownership of all securities held by his daughters.
| John $\Delta$ . Berry, by power of | |
|---|---|
| attorney for Holger A. | 12/30/2010 |
| Liepmann | |
| ** 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 4 (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.
| SEC Form 4 FORM4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION | OMB APPROVAL | |||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Check this box if no longer subject to Section 16 Form 4 or Form 5 obligations may continue. See Instruction 1(b) |
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
OMB Number: Expres hours per response |
Estimated average burden | 3235-0237 February 28, 2011 05 |
|||||||||||||
| 1. Name and Address of Reporting Person" Albern Robert J |
2. Issuer Name and Ticker or Trading Symbol | ABBOTT LABORATORIES [ ABT ] | 5. Relationship of Reporting Person(s) to Issuer (Chock all applicable) Director x 10% Owner |
||||||||||||||
| (Last) 333 CEDAR STREET, C203 SHM |
(Fust) | (Middle) | 12/31/2010 | 3. Date of Earliest Transaction (Month/Day/Year) | Officer (give title below) |
Other (specify balow) |
|||||||||||
| (Street) 06520 NEW HAVEN CT |
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Linet x Form filed by One Reporting Person Form filed by More than One Reporting Person |
|||||||||||||||
| (City) | (State) | (Zio) | |||||||||||||||
| 1. Title of Security (Instr. 3) | Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 2. Transaction 2A Desmed 4. Securities Acquired (A) or Execution Date Olsposed Of (D) (tnstr. 3, 4 and 5) Transaction Date (Month/Day/Year) Y anv Code Onstr. (Month/Day/Year) 8) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. |
6. Ownership Form: Direct (D) or indirect (I) $Q$ ristr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr. 4) |
|||||||||||||
| Code | v | ည္လ ေ (D) Amount |
Price | 3 and 4) | |||||||||||||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) |
|||||||||||||||||
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Becurity |
1. Transaction Date (Month/Day/Year) |
3A Desmed Execution Date ii any (Month/Day/Your) |
81 | 5. Kumber of 4. Transaction Derivative Securities Code (Instr. Acquired (A) or Disposed of (D) |
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security finstr. 3 and 4) |
ll. Price at Derivative Security (Instr. 5) |
9. Number ď derivative Securities Beneficially Owned |
10. Ownership Form: Oirect (D) or Indirect 0) (Instr. 4) |
11. Natura of indirect Beneficial Ownership finstr. 41 |
|||||
| w Code v (D) |
Date Exercisable |
Expiration Date |
Title | Amount ar Number of Shares |
Following Reported Transaction $(n)$ (instr. $4$ ) |
||||||||||||
| Stock Equivalent Units | $10^{11}$ | 12/31/2010 | A | 148 | al s | 4D. | Common shares | 148 | \$47.91 | $1,231^{+21}$ | D |
-
Director fees credited to a stock equivalent unit account under a granter mast established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the
sa -
Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature
John A. Berry, by Power of Attorney for Robert J. Alpern " Signature of Reporting Person
01/04/2011 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 4 (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.
SEC Form 4
П
FORM4
Check this box if no longer subject to Se
16. Form 4 or Form 5 obligations may
continue. See Instruction 1(b)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
| OMB APPROVAL | |
|---|---|
| OMB Number | 3235-0287 |
| Expres: | February 28, 2011 |
| Estimated average burden | |
| hours per response. | 05 1 |
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility
| 1. Name and Address of Reporting Person 1 DALEY WILLIAM M |
2. Issuer Name and Ticker or Trading Symbol ABBOTT LABORATORIES [ ABT ] |
X. | (Check all applicable) Director |
5. Relationship of Reporting Person(s) to Issuer 10% Owner |
|||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| (Last) JPMORGAN CHASE & CO., 1 CHASE TOWER |
(First) | (Middle) | 12/31/2010 | 3. Date of Earliest Transaction (Month/Day/Year) | Officer (give title below) |
below'r | Other (specify | ||||||||||
| 10 S. DEARBORN, STE. 0883 | 4. If Amondment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable | |||||||||||||||
| (Street) CHICAGO |
IL | 60603 | Line) х |
Person | Form filed by One Reporting Person Form fited by More than One Reporting |
||||||||||||
| (City) | (State) | (Zp) | |||||||||||||||
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||||
| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day1Yoar) |
2A Desmed Execution Date if anv (Month/Day/Year) |
Transaction Code Unstr. m |
4. Becurities Acquired (A) or Disposed Of (D) [Instr. 3, 4 and 5) |
L Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. |
S. Ownership Form: Otrect (D) or Indirect (f) Onstr. 41 |
7. Nature of Indirect Beneficial Ownership $0$ nstr. 4) |
||||||||||
| Code | v | က္က " Amount |
Price | 3 and 41 | |||||||||||||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) |
|||||||||||||||||
| 1. Title of Dorivative Security (Instr. 3) |
ż. Conversion or Exercise Price of Derivative Security |
3. Transaction Date (Month/Day/Year) |
3A Deemed Execution Date U any (Month Day/Year) |
5. Number of Transaction Derivative Code (Instr. Securities Acquired (A) or m Disposed of (D) Anatr. 3. 4 and 58 w Code u m |
Espiration Date (Month/Day/Vear) |
6. Date Exercisable and | Underlying Derivative Security $($ nstr. 3 and 4 $)$ |
7. Title and Amount of Securities | 8. Price of Derivative Becurity Drab, St |
9. Number a. derivative Securities Benefictally Owned Fallowing |
10. Ownership Form: Drect (D) or indirect 0) finstr. 4) |
11. Nature of Indirect Beneficial Ownership finstr. 4) |
|||||
| Expiration Date |
Title | ||||||||||||||||
| Date Exercisable |
Amount or Number of Shares |
Reported Transaction (s) (Instr. 4) |
Explanation of Responses:
-
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
-
Balance includes steck equivalent units acquired pursuant to a dividend reinvestment feature
| John A. Berry, by Power of Attorney for William M. Daley |
01/04/2011 |
|---|---|
| ** 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 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 76ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
| SEC FORM 4 | ||
|---|---|---|
| -- | ------------ | -- |
| SEC Form 4 | |||||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| FORM4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION | Washington, D.C. 20549 | OMB APPROVAL | ||||||||||||||||||
| Check this box if no longer subject to Secton 16. Form 4 or Form 5 obligations may contrue. See Instruction 1(b). |
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
OMB Number 3235-0287 February 28, 2011 Expires: Estimated average burden hours per response 05 |
|||||||||||||||||||
| 1. Name and Address of Reporting Person FULLER H LAURANCE |
2. Issuer Name and Ticker or Trading Symbol ABBOTT LABORATORIES [ ABT ] |
x. | (Check all applicable) Director |
5. Relationship of Reporting Person(s) to Issuer 10% Owner |
|||||||||||||||||
| (Last) PRIMACY BUSINESS CENTER |
(First) | (Middle) | 12/31/2010 | 3. Date of Earliest Transaction (Month/Day/Year) | Officer (give litle below) |
Other (specify balow) |
|||||||||||||||
| 1111 E. WARRENVILLE ROAD, SUITE 257 (Street) NAPERVILLE 60563 Ш. |
4. 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 |
|||||||||||||||||||
| (City) | (State) | (Z D ) | |||||||||||||||||||
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||||||||
| 1. Title of Security (Instr. 3) | 2. Transaction Date: (Month/Day/Year) |
2A Deemed Execution Data if any Nonth Davi Yearl |
Transaction Code (Instr. Ø. |
4. Securities Acculred (A) or Disposed Of (D) (Instr. 1.4 and 5) |
5. Amount of Securities. |
Beneficially Owned Following Reported Transaction(s) (Instr. |
& Ownership Form: Direct (D) or indhect ffs Onstr. 4) |
||||||||||||||
| Code | v | Amount | က္က း | Price | 3 and 4) | $p_{sub}, q$ | |||||||||||||||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) |
|||||||||||||||||||||
| I. Title of Derivative Security (Instr. 3) |
JA Deemed 3. Transaction 2. Conversion Date or Exercise (Month/Day/Year) if any Price of Darivative Security |
Execution Data (Month/Day/Yoar) |
Transaction Code (Instr. |
5. Number of Derivative Securities Acculred (A) or Disposed of (D) |
finstr. 3. 4 and fil | 6. Date Exercisable and Expiration Date (Month/DaviYear) |
7. Title and Amount of Securities. Underlying Derivative Security $0$ nstr. $3$ and $43$ |
L. Price of Derivative Secutiv Grastr. 51 |
9. Mumber đ derivative Securities Beneficially Owned Following |
10. Form: |
Ownership Otroct (D) or Indirect (i) (instr. 4) |
11. Natura of Indirect Benefictal Ownership (Instr. 4) |
|||||||||
| w v ω Code |
Date Exercisable |
Data | Expiration | Title | Amount ar Kumber of Shares |
Reported Transaction (s) Onstr. 4) |
|||||||||||||||
| Stock Equivalent Units | $10^{111}$ | 12/31/2010 | A | 657 | nt c 111 |
Common shares | 657 | \$47.91 | $17.947^{(2)}$ | D |
Explanation of Responses:
-
Director fees credited to a stock equivalent unit account and paid, in eash, generally at age 65 or upon retionent from the board. The stock equivalent units can the same return as if the fees were invested in Abbott
-
Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature
John A. Berry, by Power of Attorney for H. Laurance Fuller 01/04/2011
** Signature of Reporting Person Date
Reminder: Report on a separate tine for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (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.
SEC Form 4
Check this box if no longer subject to Se
18. Form 4 or Form 5 obligabons may
continue. See Instruction 1(b)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
OMB Numb 3235-0287 February 28, 2011 Expres OUTS DOITESDOTSE
OMB APPROVAL
Estimated everage burden $05$
| STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP | |
|---|---|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility
Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
| 1. Name and Address of Reporting Person OSBORN WILLIAM A |
2. Issuer Name and Ticker or Trading Symbol ABBOTT LABORATORIES [ ABT ] |
x. | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director |
10% Owner | |||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| (Last) 100 ABBOTT PARK ROAD |
(First) | (Middle) | 12/31/2010 | 3. Date of Earliest Transaction (Month/Day/Year) | Officer (give title below) |
Other (specify below) |
|||||||||||||
| (Street) ABBOTT PARK IL (City) |
(State) | (Zip) | 60064-6400 | 4. If Amondment, Date of Original Filed (Month/Day/Year) | Lino) x |
6. Individual or Joint/Group Filing (Check Applicable Form filed by One Reporting Person Form filed by More than One Reporting Person |
|||||||||||||
| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||||||
| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) |
2A Deemed Execution Date if anv (Month/Day/Your) |
Transaction Code Instr. n |
4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) |
f. Amount of Securities Deneficially Owned Fallawing Reported Transaction(s) (Instr. |
(Instr. 4) | 6. Ownership Form: Direct (D) or Indirect (i) |
7. Nature of Indirect Beneficial Ownershin $0$ rstr. 4) |
|||||||||||
| Code | Amount | (A) ~ (D) |
Price | 3 and 4) | |||||||||||||||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) |
|||||||||||||||||||
| 1. Title of Dorivative Security (Instr. 3) |
3A Deemed 1. Transaction 2. Execution Date. Conversion Date (Month/Day/Year) or Exercise If any (Month/Day/Year) Price of Derivative Security |
Transaction Code (Instr. 81 |
5. Number of Derivative Socurities |
Accuired (A) or Disposed of (D) finstr. 3. 4 and 5) |
G. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security finstr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number αt derivative Becurities Owned Following |
Beneficially | 10. Ownership Form: Direct (D) or Indirect (i) (Instr. 4) |
11. Nature of indirect Beneficial Ownership (instr, 4) |
||||||||
| v Code |
w | (B) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Reported | Transaction (s) Onstr. 43 |
|||||||||||
| Stock Equivalent Units | $10^{11}$ | 12/31/2010 | A | 594 | a, | m | Common shares | 594 | \$47.91 | $6,341^{+21}$ | D |
Explanation of Responses:
-
Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in eash, 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
-
Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature
| John A. Berry, by Power of | |
|---|---|
| Attorney for William A. | 01 |
| Osbom | |
| ** Signature of Reporting Person | Da |
/04/2011
to
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 4 (b)(v).
e 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.
| SEC Form 4 | ||||||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION | Washington, D.C. 20549 | OMB APPROVAL | |||||||||||||||
| Check this bits if no longer subject to Section 16. Form 4 or Form 5 obligations may continue See Instruction 1(b) |
OMB Number Expres. STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Estimated average burden hours per response Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
3235-0287 February 28, 2011 0.5 |
||||||||||||||||
| 1. Name and Address of Reporting Person 1 TILTON GLENN F |
2. Issuer Name and Ticker or Trading Symbol ABBOTT LABORATORIES [ ABT ] |
5. Relationship of Reporting Person(s) to Issuer (Check all applicable) X. Director 10% Owner |
||||||||||||||||
| (Last) 100 ABBOTT PARK ROAD |
(First) | (Middle) | 12/31/2010 | 3. Date of Earliest Transaction (Month/Day/Year) | below) | Officer (give title | Other (specify below) |
|||||||||||
| (Stroot) ABBOTT PARK IL (City) (Slate) |
4. 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 Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||||
| 1. Title of Security (Instr. 3) | 2. Transaction Date: (Month/Day/Year) |
2A. Deemed Execution Date if any (Month/Day/Year) |
Transaction Code (Instr. |
4. Securities Acquired (A) or Disposed Of (D) (instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transactionist Cnstr. |
6. Ownership Form: Obrect (D) or Indirect (f) (Instr. 4) |
7. Nature of Indirect Beneficial Ownership |
|||||||||||
| Code | ٧ | (A) or (D) Amount |
3 and 4) Price |
$Cart 41$ | ||||||||||||||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned | (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||||
| 1. Title of Derivative Security (Instr. 3) |
3. Transaction Conversion Date or Exercise (MonthiDayiYear) Price of Derivative Security |
1A Desmed Execution Date il anv (Morth/Day/Yoar) |
m | Transaction Derivative Code (Instr. Securities |
5. Mumber of Acautred (A) or Disposed of (D) (Instr. 3, 4 and 5) |
Expiration Date (Month Day/Year) |
8. Date Exercisable and | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) |
8. Price of Derivative Security anstr. St |
9. Number œ derivative Securities Beneficially Owned Following |
tû. Ownership Form: Direct (D) or indirect (i) (lnstr, 4) |
11. Nature cf Indirect Beneficial Ownership anstr. 41 |
||||||
| ٧ | w | Date: m |
Exercisable | Expiration Date |
Title | Amount or Number of Shares |
Reported Transaction (s) (Instr. 4) |
|||||||||||
| 626 A |
th. $\omega$ |
Common shares 626 |
$8,241^{+21}$ |
-
Director fees credited to a stock equivalent unit account under a grantor invite stablished by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the
s -
Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.
John A. Berry, by Power of Attorney for Glenn F. Tilton ** Signature of Reporting Person
01/04/2011
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 4 (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.
П
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February 28, 2011 1320-5220
containe (1993) preparation (1991)
19 Loris 4 or Loris & Galignan and
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Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
| Holding Company Act 1935 or Sedion 30(h) of the Investment Company Act of 1940 |
|---|
| Filsd pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility |
| DenwO vilsiofrened to to besoqaid beniupoA seithuoe2 evitsvited-noV - I eldsT | ||||||
|---|---|---|---|---|---|---|
| $(C4\lambda)$ | (ortis) | (dz) | ||||
| CHICVCO (1990S) |
าเ | 11909 | Person Form filed by More than One Reporting Form filed by One Reporting Person x (our) |
|||
| 400 M. MICHICYM VAEANE, SUITE 400 | 4. If Amendment, Date of Original Filed (Month/Bay/Year) | 6. Individual or Joint/Group Filing (Check Applicable | ||||
| (Isen) | (lsn) | (elbbiM) | 010Z/1£/Z1 3. Date of Earlest Transaction (Month/Day/Year) |
(M0190 Officer (give litle |
(MOJOQ Other (specify |
|
| LIDDY EDWARD M Inome and prime of Reporting Person |
TELA ELABOTAJORAJ TTOREA lodmy2 gnibs17 to 1935iT bns emaM 10uzel .S |
x JanwO %01 Drector (chasing applicable) 5. Relationship of Reporting Person(s) to Issuer |
| -11 -11-11-11 Beneficial ct Indirect AMBRITE |
107 P.P. LU : mro-j GUSHRING ٦u |
MURALING æ MACHINE S |
a wan Agmong eagearag to soirfl. A |
дулоес адрицед бидиерил 7. Tills and America' of Securities |
ty put g 'nwa) | (MOTRUPUS) tischelon Date hns eldschried dad .b |
and fill beat created. to warming a |
temmoog ANITAINO |
ш Code (justi) 10030411311 |
ARAMARAMAN Aus n Execution Date, poused vt |
(1907) red (thom) erro 3. Transaction |
Province MDJSTJJ JO UORIAAUO 3 |
(g usus) Agmon MITHING ID PILL |
|
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| (e-g., puts, calls, warrants, options, convertible securities) | Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||
| (y put g | sou d | to: io fet |
JUROUN | 6003 | ||||||||||
| U asup (y asu) dustrumo (i) spectrus to Bendhild . נמש: head (D) pupu e ownership to endsM.T |
Transaction(s) [Instr psyroday Buyanggo 4 Berneticially Owned Securities go havomA .d |
(המתונה של לכבר) ະຊະນະກໍ່ສອດລ Am s Disposed Of (D) (Grati, 3, 4 and 5) UOIDEEURI Execution Data, io (A) beniupaA satiliused & i Demand AS |
[MONTORTING AT THE opq 2. Transaction |
(C .nani) vihuoos io oliiT . |
Explanation of Responses:
Stock Equivalent Units
120 N poddA ni bateria was esal afti na mana sma ati ma atim nalazing atim ati bad ali mont mont mana mana atim ang mana mu malampa as a salatana esal mandil 1
$\alpha$ Date
Exercisable
$\mathfrak{Z}$ Balance includes stock equivalent mids acquired pursuant to a dividend temperature of the stock
0107/16/71
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$$19$
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(b. 1989)
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Remindor: Report on a separate line for each class of securities beneficially owned directly networdy.
" (v)(d) A noibuntent ees , noeteq gnitroqen eno nartt enom yd belit ai mot erti ti "
Note: File three copies of this fierral mass is a barry to be manually signed it is a hostlicent as the color of procedure. (e) H8T . O.S.U 81 bns 1001 . O.S.U 81 ee2 anoitaloiV Isnimin DIsneboR shuffsnoo abal to anoissimo to strematstesim Isnoünsini **
vedmuk BMO bilav ythornus s eysiqatb mnot erti assinu bnoqeer ot borluper ton ona mnot eirtr ni bentatnos notismotni to notsellos edt ot bnoqeer odw anoare 1
\$19
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(nab. 3, 4 and 6)
Disposed of (0)
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
January 7, 2011 Date of Report (Date of earliest event reported)
ABBOTT LABORATORIES
(Exact name of registrant as specified in its charter)
Illinois (State or other Jurisdiction of Incorporation)
1-2189 (Commission File Number)
36-0698440 (I.R.S. Employer Identification No.)
100 Abbott Park Road Abbott Park, Illinois 60064-6400 (Address of principal executive offices)(Zip Code)
Registrant's telephone number, including area code: (847) 937-6100
Check the appropriate box if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) $\Box$
$\Box$ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) 0
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) 0.
Item 5.02 - Departure of Directors or Certain Officers
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In connection with his appointment as Chief of Staff to President Obama, William M. Daley has resigned from the Board of Directors of Abbott Laboratories, effective January 7, 2011.
Item 5.03 - Amendment to Articles of Incorporation or Bylaws
On January 7, 2011, Abbott Laboratories' Board of Directors amended the first sentence of Article III, Section 2 of Abbott's by-laws to provide that Abbott's Board of Directors shall consist of thirteen persons. Abbott's by-laws previously provided that the Board of Directors consisted of fourteen persons.
Item 9.01 - Financial Statements and Exhibits
$(d)$ Exhibits Exhibit Exhibit No. By-Laws of Abbott Laboratories, as amended and restated effective January 7, 2011 $3.1$ $\overline{2}$
Signatures
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Abbott Laboratories
Date: January 13, 2011
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By: /s/ Thomas C. Freyman
Thomas C. Freyman Executive Vice President, Finance and Chief Financial Officer
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Exhibit Index
| Exhibit No. | Exhibit | ||||||||
|---|---|---|---|---|---|---|---|---|---|
| 3.1 | By-Laws of Abbott Laboratories, as amended and restated effective January 7, 2011 | ||||||||
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): January 14, 2011
Abbott Laboratories
(Exact name of registrant as specified in its charter)
Illinois (State or Other Jurisdiction of Incorporation)
1-2189 (Commission File Number)
36-0698440 (IRS Employer Identification $No.$
100 Abbott Park Road Abbott Park, Illinois 60064-6400
(Address of principal executive offices)(Zip Code)
Registrant's telephone number, including area code: (847) 937-6100
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
$\Box$ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) □
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) $\Box$
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) О
Item 8.01 Other Events
On January 14, 2011 Abbott Laboratories withdrew its U.S. biologics license application (BLA) and European marketing authorization application (MAA) for briakinumab (ABT-874), an investigational anti-IL-12/23 monoclonal antibody for the treatment of psoriasis. Following feedback from regulatory authorities indicating the need for further analysis and the potential for additional studies, the company plans to evaluate next steps for briakinumab, including resubmission at a later date.
-Private Securities Litigation Reform Act of 1995 -A Caution Concerning Forward-Looking Statements
Some statements in this Form 8-K may be forward-looking statements for purposes of the Private Securities Litigation Reform Act of 1995. Abbott cautions that these forward-looking statements are subject to risks and uncertainties that may cause actual results to differ materially from those indicated in the forward-looking statements. Economic, competitive, governmental, technological and other factors that may affect Abbott's operations are discussed in Item 1A, "Risk Factors," to our Annual Report on Securities and Exchange Commission Form 10-K for the year ended Dec. 31, 2009, in Item 1A, "Risk Factors," to our quarterly reports on Securities and Exchange Commission Form 10-O for the quarters ended March 31, 2010 and September 30, 2010, and are incorporated by reference. Abbott undertakes no obligation to release publicly any revisions to forward-looking statements as a result of subsequent events or developments.
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SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
ABBOTT LABORATORIES
Date: January 14, 2011
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By: /s/ Thomas C. Freyman
Thomas C. Freyman Executive Vice President, Finance and Chief Financial Officer
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