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ABBOTT LABORATORIES Director's Dealing 2014

Feb 4, 2014

29777_rns_2014-02-04_6e0d2fa6-c454-4e44-96ad-7ad18bd5160b.pdf

Director's Dealing

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SEC FORM 4

SEC Form 4

SEC Form 4 SEC Form 4 SEC Form 4 SEC Form 4 SEC Form 4 SEC Form 4 SEC Form 4 SEC Form 4 SEC Form 4 SEC Form 4 SEC Form 4 SEC Form 4 SEC Form 4 SEC Form 4 SEC Form 4 SEC Form 4 SEC Form 4
FORM 4
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
Check this box if no longer subject to
Section 16. Form 4 or Form 5
obligations may continue.See
Instruction 1(b).
OMB APPROVAL
OMB Number:
3235-0287
Expires:
December 31,
2014
Estimated average burden
hours per
response:
0.5
1. Name and Address of Reporting Person*
Funck Robert E
(Last)
(First)
(Middle)
100 ABBOTT PARK ROAD
(Street)
ABBOTT
PARK
IL
60064
(City)
(State)
(Zip)
2. Issuer NameandTicker or Trading Symbol
ABBOTT LABORATORIES [
ABT]
3. Date of Earliest Transaction (Month/Day/Year)
01/31/2014
4. If Amendment, Date of Original Filed (Month/Day/Year)
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director
10% Owner
X
Officer (give title
below)
Other (specify
below)
Vice President, Controller
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)
3.
Transaction
Code (Instr.
8)
4. Securities Acquired (A)
or Disposed Of (D) (Instr. 3,
4 and 5)
5. Amount of
Securities
Beneficially
Owned
Following
Reported
Transaction(s)
(Instr. 3 and 4)
6.
Ownership
Form:
Direct (D)
or Indirect
(I) (Instr. 4)
7. Nature
of Indirect
Beneficial
Ownership
(Instr. 4)
Code V Amount (A)
or
(D)
Price
Common shares without par value 01/31/2014 M 2,137 A $ 31.6081 62,365 D
Common shares without par value 01/31/2014 M 5,715 A $ 33.88 68,080 D
Common shares without par value 01/31/2014 M 1,546 A $ 35.08 69,626 D
Common shares without par value 01/31/2014 S 2,598 D $ 36.19 67,028 D
Common shares without par value 01/31/2014 S 5,608 D $ 36.2 61,420 D
Common shares without par value 01/31/2014 S 1,192 D $ 36.21 60,228 D
Common shares without par value 15,475
(1)
I Profit
Sharing
Trust
Common shares without par value 500
(2)
I By

daughter
Common shares without par value 500
(2)
I By

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)
2.
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.
8)
5. Number
of
Derivative
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
(Instr. 5)
9. Number
of
derivative
Securities
Beneficially
Owned
Following
Reported
Transaction
(s) (Instr. 4)
10.
Ownership
Form:
Direct (D)
or Indirect
(I) (Instr. 4)
11. Nature
of Indirect
Beneficial
Ownership
(Instr. 4)
Code V (A) (D) Date
Exercisable
Expiration
Date
Title Amount
or
Number
of
Shares
Option
(right to
buy)
(3)
$ 31.6081 01/31/2014 M 2,137 04/27/2013 02/19/2014 Common
shares

2,137
$ 0 0 D
Option
(right to
buy)
(3)
$ 33.88 01/31/2014 M 5,715 08/02/2013 02/19/2014 Common
shares

5,715
$ 0 0 D
Option
(right to
buy)
(3)
$ 35.08 01/31/2014 M 1,546 08/20/2013 02/19/2014 Common
shares

1,546
$ 0 0 D

Explanation of Responses:

2/4/2014

Page 2 of 2

SEC FORM 4

  1. Balance in the Abbott Laboratories Stock Retirement Trust as of January 31, 2014.

  2. The reporting person disclaims beneficial ownership of all securities held by his daughter.

  3. Employee stock option granted pursuant to the Abbott Laboratories 2009 Incentive Stock Program, in a transaction exempt from Section 16 under Rule 16b-3.

mpt from Section 16 under Rule 16b-3.
John A. Berry, Attorney-in-
Fact for Robert E. Funck
** Signature of Reporting Person
02/04/2014
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.

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.

2/4/2014