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ABBOTT LABORATORIES — Director's Dealing 2014
Feb 25, 2014
29777_rns_2014-02-25_e57c3e56-7137-49f9-81e8-b4b56d47ae43.pdf
Director's Dealing
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SEC FORM 4
SEC Form 4
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FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
Washington, D.C. 20549
OMB Number: 3235-0287
Check this box if no longer subject to STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Expires: December 31, 2014
Section 16. Form 4 or Form 5 Estimated average burden
obligations may continue. Instruction 1(b). See Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934or Section 30(h) of the Investment Company Act of 1940 hours per response: 0.5
1. Name and Address of Reporting Person [] 2. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person(s) to Issuer
Mason Heather L ABBOTT LABORATORIES [ ABT ] (Check all applicable)Director 10% Owner
X Officer (give title Other (specify
3. Date of Earliest Transaction (Month/Day/Year) below) below)
(Last) (First) (Middle)
02/21/2014 Senior Vice President
100 ABBOTT PARK ROAD
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 2A. Deemed 3. 4. Securities Acquired (A) 5. Amount of 6. 7. Nature
Date Execution Date, Transaction or Disposed Of (D) (Instr. Securities Ownership of Indirect
(Month/Day/Year) if any Code (Instr. 3, 4 and 5) Beneficially Form: Direct Beneficial
(Month/Day/Year) 8) Owned (D) or Ownership
Following Indirect (I) (Instr. 4)
(A) Reported (Instr. 4)
Code V Amount or Price Transaction(s)
(D) (Instr. 3 and 4)
Common shares without par value 02/21/2014 A 17,985(1) A $ 0 130,406 D
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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 | 8. Price of | 9. Number | 10. | 11. Nature | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Derivative | Conversion | Date | Execution Date, | Transaction | Derivative | Expiration Date | of Securities | Derivative | of | Ownership | of Indirect | |||
| Security | or Exercise | (Month/Day/Year) | if any | Code | (Instr. | Securities | (Month/Day/Year) | Underlying | Security | derivative | Form: | Beneficial | ||
| (Instr. 3) | Price of | (Month/Day/Year) | 8) | Acquired (A) | Derivative Security | (Instr. 5) | Securities | Direct (D) | Ownership | |||||
| Derivative | or Disposed | (Instr. 3 and 4) | 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) | |||||||||||||
| Date | Expiration | Number | ||||||||||||
| Code | V | (A) (D) |
Exercisable | Date | Title | of Shares | ||||||||
| Option (right to buy) (2) |
$39.12 | 02/21/2014 | A | 110,107 | 02/21/2015 | 02/20/2024 | Common shares |
110,107 | $0 | 110,107 | 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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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 36,703 on 2/21/2015, 36,702 on 2/21/2016, and 36,702 on 2/21/2017.
John A. Berry, by power of 02/25/2014 attorney for Heather L. Mason
** 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).
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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