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ABBOTT LABORATORIES — Director's Dealing 2014
Feb 25, 2014
29777_rns_2014-02-25_5e86e219-bec0-49f3-8acd-c56f12faecca.pdf
Director's Dealing
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SEC FORM 4
SEC Form 4
FORM 4
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
OMB APPROVAL
Washington, D.C. 20549
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 or Section 30(h) of the Investment Company Act of 1940
OMB Number: 3235-0287 December 31, Expires: 2014
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- Name and Address of Reporting Person[] 2. Issuer Name and* Ticker or Trading Symbol 5. Relationship of Reporting Person(s) to Issuer Funck Robert E ABBOTT LABORATORIES [ ABT ] (Check all applicable) Director 10% Owner Officer (give title Other (specify (Last) (First) (Middle) 3. Date of Earliest Transaction (Month/Day/Year) X below) below) 02/21/2014 100 ABBOTT PARK ROAD Vice President, Controller 4. If Amendment, Date of Original Filed (Month/Day/Year) 6. Individual or Joint/Group Filing (Check Applicable (Street) Line) ABBOTT X Form filed by One Reporting Person IL 60064 PARK Form filed by More than One Reporting Person (City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
| 1. Title of Security (Instr. 3) | 2. Transaction Date |
2A. Deemed Execution Date, |
3. Transaction |
3. Transaction |
4. Securities Disposed Of |
Acquired (D) (Instr. |
(A) or 3, 4 and |
5. Amount of Securities |
6. Ownership Form: Direct |
7. Nature of Indirect |
|---|---|---|---|---|---|---|---|---|---|---|
| (Month/Day/Year) | if any | Code | (Instr. | 5) | Beneficially | (D) or Indirect | Beneficial | |||
| (Month/Day/Year) | 8) | Owned Following | (I) (Instr. 4) | Ownership | ||||||
| Reported | (Instr. 4) | |||||||||
| Code | V | Amount | (A) or (D) |
Price | Transaction(s) (Instr. 3 and 4) |
|||||
| Common shares without par value | 02/21/2014 | A | 7,240 (1) | A | $0 | 67,468 | D | |||
| Profit | ||||||||||
| Common shares without par value | 15,562 (2) | I | Sharing | |||||||
| Trust | ||||||||||
| Common shares without par value | 500 (3) | I | By daughter |
|||||||
| Common shares without par value | 500 (3) | I | By daughter |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
| 1. Title of | 2. | 3. Transaction | 3A. Deemed | 4. | 5. Number of | 5. Number of | 6. Date Exercisable and | 6. Date Exercisable and | 7. Title and Amount of | 7. Title and Amount of | 8. Price of | 9. Number | 10. | 11. Nature | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Derivative Security | Conversion | Date | Execution Date, | Transaction | Derivative | Expiration Date | Securities Underlying | Derivative | of | Ownership | of Indirect | ||||
| (Instr. 3) | or Exercise | (Month/Day/Year) | if any | Code | (Instr. | Securities | (Month/Day/Year) | Derivative Security | Security | derivative | Form: | Beneficial | |||
| Price of | (Month/Day/Year) | 8) | Acquired (A) | (Instr. 3 and 4) | (Instr. 5) | Securities | Direct (D) | Ownership | |||||||
| Derivative | or Disposed | Beneficially | or Indirect | (Instr. 4) | |||||||||||
| Security | of (D) (Instr. | Owned | (I) (Instr. 4) | ||||||||||||
| 3, 4 and 5) | Following | ||||||||||||||
| Reported | |||||||||||||||
| Amount | Transaction | ||||||||||||||
| or | (s) (Instr. 4) | ||||||||||||||
| Number | |||||||||||||||
| Date | Expiration | of | |||||||||||||
| Code | V | (A) | (D) | Exercisable | Date | Title | Shares | ||||||||
| Option (right to buy) (4) |
$39.12 | 02/21/2014 | A | 44,325 | 02/21/2015 | 02/20/2024 | Common shares |
44,325 | $0 | 44,325 | D |
Explanation of Responses:
-
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.
-
Balance in the Abbott Laboratories Stock Retirement Trust as of February 21, 2014.
-
The reporting person disclaims beneficial ownership of all securities held by his daughter.
-
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 14,775 on 2/21/2015, 14,775 on 2/21/2016, and 14,775 on 2/21/2017.
John A. Berry, Attorney-in02/25/2014 Fact for Robert E. Funck
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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2/25/2014