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ABBOTT LABORATORIES Director's Dealing 2014

Feb 25, 2014

29777_rns_2014-02-25_c0d21077-6f04-455f-845a-1c2c73f226ed.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 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*
CAPEK JOHN M
(Last)
(First)
(Middle)
100 ABBOTT PARK ROAD
(Street)
ABBOTT
PARK
IL
60064-6400
(City)
(State)
(Zip)
2. Issuer NameandTicker or Trading Symbol
ABBOTT LABORATORIES [
ABT]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director
10% Owner
X
Officer (give title
below)
Other (specify
below)
Executive Vice President
3. Date of Earliest Transaction (Month/Day/Year)
02/21/2014
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)
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 02/21/2014 A 23,109
(1)
A $ 0 D
240,208
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)
(2)
$ 39.12 02/21/2014 A 141,478 02/21/2015 02/20/2024 Common
shares
$ 0 141,478 D
141,478

Explanation of Responses:

  1. These shares represent performance vested restricted stock awards under the Abbott Laboratories 2009 Incentive Stock Program. The awards have a 5-year term, with no more than 1/3 of the award vesting in any one year upon Abbott reaching a minimum return on equity target. The awards include the right to have stock withheld for tax purposes.

  2. Employee stock option granted pursuant to the Abbott Laboratories 2009 Incentive Stock Program in a transaction exempt from Section 16 under Rule 16b-3. The option becomes exercisable in annual increments of 47,160 on 2/21/2015, 47,159 on 2/21/2016, and 47,159 on 2/21/2017.

John A. Berry, by power of 02/25/2014 attorney for John M. Capek ** 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.

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.

2/25/2014