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ABBOTT LABORATORIES — Director's Dealing 2014
Mar 4, 2014
29777_rns_2014-03-04_7ae7a0cd-bf8d-493a-9c69-cb61f09113d0.pdf
Director's Dealing
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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 Warmuth Michael J ABBOTT LABORATORIES [ ABT ] (Check all applicable)
Director 10% Owner Officer (give title Other (specify X below) below)
- Date of Earliest Transaction (Month/Day/Year) below) below) (Last) (First) (Middle) 02/28/2014 Executive Vice President 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 60064-6400 PARK Form filed by More than One Reporting Person (City) (State) (Zip)
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 | 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 | 8,152 | D | $39.79 | 32,335 | D | |||
| Common shares without par value | 03/03/2014 | S | 1,700 | D | $38.971 | 30,635 | D | |||
| Common shares without par value | 03/03/2014 | S | 2,584 | D | $38.974 | 28,051 | D | |||
| Common shares without par value | 03/03/2014 | S | 600 | D | $39 | 27,451 | D | |||
| Common shares without par value | 03/03/2014 | S | 1,118 | D | $39.001 | 26,333 | D | |||
| Common shares without par value | 03/03/2014 | S | 300 | D | $39.01 | 26,033 | D | |||
| Common shares without par value | 03/03/2014 | S | 200 | D | $39.012 | 25,833 | D | |||
| Common shares without par value | 03/03/2014 | S | 9,982 | D | $39.02 | 15,851 | D | |||
| Common shares without par value | 25,337 (1) | I | By Trust |
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:
- Held in the Stefanie M. Warmuth Revocable Trust. The reporting person and his spouse are trustees of the trust. The trust is revocable by the reporting person's spouse. The reporting person disclaims beneficial ownership of these securities.
Remarks:
The sale transactions were made pursuant to a previously adopted plan complying with Rule 10b5-1(c).
3/4/2014
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SEC FORM 4
John A. Berry, by power of attorney for Michael J. 03/04/2014 Warmuth
** 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.
3/4/2014