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ABBOTT LABORATORIES — Director's Dealing 2014
Feb 25, 2014
29777_rns_2014-02-25_7a0c9cbe-6ec1-4d1a-962c-51b750152de6.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 Estimated average burden hours per 0.5 response:
| 1. Name and Address of Reporting Person* Contreras Jaime (Last) (First) (Middle) 100 ABBOTT PARK ROAD (Street) ABBOTT PARK IL 60064 (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) Senior 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 |
2A. Deemed Execution Date, |
3. Transaction |
3. Transaction |
4. Securities Disposed Of |
Acquired (D) (Instr. |
(A) or 3, 4 |
5. Amount of Securities |
6. Ownership Form: Direct |
7. Nature of Indirect |
|---|---|---|---|---|---|---|---|---|---|---|
| (Month/Day/Year) | if any | Code | (Instr. | and 5) | Beneficially | (D) or Indirect | Beneficial | |||
| (Month/Day/Year) | 8) | Owned Following | (I) (Instr. 4) | Ownership | ||||||
| Reported | (Instr. 4) | |||||||||
| Code | V | Amount | (A) or |
Price | Transaction(s) (Instr. 3 and 4) |
|||||
| (D) | ||||||||||
| Common shares without par value | 02/21/2014 | A | 18,403 (1) |
A | $0 | 42,136 | D | |||
| Profit | ||||||||||
| Common shares without par value | 20 (2) | I | Sharing | |||||||
| Trust | ||||||||||
| Profit | ||||||||||
| Common shares without par value | 16 (2) | I | Sharing Trust (by |
|||||||
| spouse) | ||||||||||
| Jaime | ||||||||||
| Contreras | ||||||||||
| Common shares without par value | 63,903 (3) | I | Marvan 2006 |
|||||||
| Living | ||||||||||
| Trust | ||||||||||
| Common shares without par value | 1,067 (4) | I | By spouse |
|||||||
| Living | ||||||||||
| Common shares without par value | 12,081 (5) | I | Trust(by | |||||||
| spouse) |
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 | 6. Date Exercisable and | 6. Date Exercisable and | 7. Title and | Amount of | 8. Price of | 9. Number | 10. | 11. Nature | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Derivative | Conversion | Date | Execution Date, | Transaction | Derivative | Expiration Date | Securities Underlying | Derivative | of | Ownership | of Indirect | ||||
| Security (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. 3, | Owned | (I) (Instr. 4) | ||||||||||||
| 4 and 5) | Following | ||||||||||||||
| Reported | |||||||||||||||
| Amount or | Transaction | ||||||||||||||
| Date | Expiration | Number of | (s) (Instr. 4) | ||||||||||||
| Code | V | (A) | (D) | Exercisable | Date | Title | Shares | ||||||||
| Option(right to buy) (6) |
$39.12 | 02/21/2014 | A | 112,668 | 02/21/2015 | 02/20/2024 | Common shares |
112,668 | $0 | 112,668 | 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.
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Balance in the Abbott Laboratories Stock Retirement Trust as of February 21, 2014.
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Held in the Jaime Contreras Marvan 2006 Living Trust. The reporting person is sole trustee of the trust. The trust is revocable.
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The reporting person disclaims beneficial ownership of all securities held by his spouse.
2/25/2014
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SEC FORM 4
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Held in spouse's living trust. The reporting person's spouse is sole trustee of the trust. The trust is revocable. The reporting person disclaims beneficial ownership of these securities.
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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 37,556 on 2/21/2015, 37,556 on 2/21/2016, and 37,556 on 2/21/2017.
John A. Berry, by power of 02/25/2014 attorney for Jaime Contreras ** 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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If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
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** 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