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ABBOTT LABORATORIES — Director's Dealing 2014
Mar 4, 2014
29777_rns_2014-03-04_494e1731-f6a7-4966-a506-7bea4f8e720f.pdf
Director's Dealing
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SEC FORM 4
SEC Form 4
FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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 APPROVAL
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) 02/28/2014 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 | 2A. Deemed | 3. | 4. Securities Acquired (A) | 4. Securities Acquired (A) | 4. Securities Acquired (A) | 5. Amount | 6. | 7. Nature of | ||
|---|---|---|---|---|---|---|---|---|---|---|---|
| Date | Execution Date, | Transaction | or Disposed Of | (D) (Instr. | of | Ownership | Indirect | ||||
| (Month/Day/Year) | if any | Code | (Instr. | 3, 4 and 5) | Securities | Form: | Beneficial | ||||
| (Month/Day/Year) | 8) | Beneficially | Direct (D) | Ownership | |||||||
| Owned | or Indirect | (Instr. 4) | |||||||||
| Following | (I) (Instr. 4) | ||||||||||
| Code | V | Amount | (A) or (D) |
Price | Reported Transaction (s) (Instr. 3 and 4) |
||||||
| Common shares without par value | 02/28/2014 | F | 3,919 | D | $39.79 | 38,217 | D | ||||
| Common shares without par value | 03/03/2014 | S | 4,831 | D | $39.366 | 33,386 | D | ||||
| Common shares without par value | 03/03/2014 | S | 650 | D | $39.37 | 32,736 | D | ||||
| Common shares without par value | 03/03/2014 | S | 2,000 | D | $39.381 | 30,736 | D | ||||
| Common shares without par value | 03/03/2014 | S | 600 | D | $39.384 | 30,136 | D | ||||
| Profit | |||||||||||
| Common shares without par value | 20 (1) | I | Sharing | ||||||||
| Trust | |||||||||||
| Profit | |||||||||||
| Common shares without par value | 16 (1) | I | Sharing Trust(by |
||||||||
| spouse) | |||||||||||
| Jaime | |||||||||||
| Contreras | |||||||||||
| Common shares without par value | 63,903 (2) | I | Marvan 2006 |
||||||||
| Living | |||||||||||
| Trust | |||||||||||
| Common shares without par value | 1,067 (3) | I | By spouse |
||||||||
| Living | |||||||||||
| Common shares without par value | 12,081 (4) | I | Trust(by | ||||||||
| spouse) |
3/4/2014
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SEC FORM 4
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. Natu | ||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Derivative | Conversion | Date | Execution Date, | Transaction | Number | Expiration Date | Amount of | Derivative | of | Ownership | of Indire | |||
| Security | or Exercise | (Month/Day/Year) | if any | Code | (Instr. | of | (Month/Day/Year) | Securities | Security | derivative | Form: | Benefici | ||
| (Instr. 3) | Price of | (Month/Day/Year) | 8) | Derivative | Underlying | (Instr. 5) | Securities | Direct (D) | Ownersh | |||||
| 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:
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Balance in the Abbott Laboratories Stock Retirement Trust as of February 28, 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.
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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.
Remarks:
The sale transactions were made pursuant to a previously adopted plan complying with Rule 10b5-1(c).
John A. Berry, by power of attorney for Jaime 03/04/2014 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).
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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