AI assistant
ABBOTT LABORATORIES — Director's Dealing 2014
Mar 4, 2014
29777_rns_2014-03-04_808f5abf-cf7b-4dd4-8811-54e67fab4fd2.pdf
Director's Dealing
Open in viewerOpens in your device viewer
Page 1 of 2
SEC FORM 4
SEC Form 4
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
FORM 4
OMB APPROVAL
OMB Number: 3235-0287 December 31, Expires: 2014
Washington, D.C. 20549
Check this box if no longer subject STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Estimated average burden hours per 0.5 response:
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
1. Name and Address of Reporting Person[[*]]
- 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 X 3. Date of Earliest Transaction (Month/Day/Year) below) below) (Last) (First) (Middle) 02/28/2014 Vice President, Controller 100 ABBOTT PARK ROAD 4. If Amendment, Date of Original Filed (Month/Day/Year) 6. Individual or Joint/Group Filing (Check (Street) Applicable 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) | 4. Securities Acquired (A) | 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: | Beneficial | |||
| (Month/Day/Year) | 8) | Owned | Direct (D) | Ownership | ||||||
| Following | or Indirect | (Instr. 4) | ||||||||
| (A) | Reported Transaction |
(I) (Instr. 4) | ||||||||
| Code | V | Amount | or (D) |
Price | (s) (Instr. 3 and 4) |
|||||
| Common shares without par value | 02/28/2014 | F | 3,129 | D | $39.79 | 64,339 | D | |||
| Common shares without par value | 03/03/2014 | S | 713 | D | $38.971 | 63,626 | D | |||
| Common shares without par value | 03/03/2014 | S | 700 | D | $38.974 | 62,926 | D | |||
| Profit | ||||||||||
| Common shares without par value | 15,562 (1) | I | 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 | 2. | 3. Transaction | 3A. Deemed | 4. | 5. | 6. Date Exercisable and | 6. Date Exercisable and | 7. Title and | 8. Price of | 9. Number | 10. | 11. Nature | ||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Derivative | Conversion | Date | Execution Date, | Transaction | Number | Expiration Date | Amount of | Derivative | of | Ownership | of Indirect | |||
| Security | or Exercise | (Month/Day/Year) | if any | Code | (Instr. | of | (Month/Day/Year) | Securities | Security | derivative | Form: | Beneficial | ||
| (Instr. 3) | Price of | (Month/Day/Year) | 8) | Derivative | Underlying | (Instr. 5) | Securities | Direct (D) | Ownership | |||||
| Derivative | Securities | Derivative | Beneficially | or Indirect | (Instr. 4) | |||||||||
| Security | Acquired | Security | Owned | (I) (Instr. 4) | ||||||||||
| (A) or | (Instr. 3 and 4) | Following | ||||||||||||
| Disposed | Reported | |||||||||||||
| of (D) | Transaction | |||||||||||||
| (Instr. | 3, 4 | (s) (Instr. 4) | ||||||||||||
| and 5) | ||||||||||||||
| Amount | ||||||||||||||
| or | ||||||||||||||
| Number | ||||||||||||||
| Date | Expiration | of | ||||||||||||
| Code | V | (A) | (D) | Exercisable | Date | Title Shares |
Explanation of Responses:
-
Balance in the Abbott Laboratories Stock Retirement Trust as of February 28, 2014.
-
The reporting person disclaims beneficial ownership of all securities held by his daughter.
Remarks:
The sale transactions were made pursuant to a previously adopted plan complying with Rule 10b5-1(c).
3/4/2014
Page 2 of 2
SEC FORM 4
John A. Berry, Attorney-inFact for Robert E. Funck ** Signature of Reporting Person Date
03/04/2014
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.
3/4/2014