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ABBOTT LABORATORIES — Director's Dealing 2014
Apr 2, 2014
29777_rns_2014-04-02_aa919b2c-e4fb-4275-954f-ac5f48cce901.pdf
Director's Dealing
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SEC FORM 4 Page 1 of 1
SEC Form 4
FORM 4
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
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 APPROVAL | ||
|---|---|---|
| OMB Number: | 3235-0287 | |
| Expires: | December 31, 2014 | |
| Estimated average burden hours per response: | 0.5 | |
| 1. Name and Address of Reporting Person | ||
| Alpern Robert J | ||
| ABBOTT LABORATORIES [ABT] | ||
| (Check all applicable) | ||
| X Director 10% Owner | ||
| Officer (give title below) Other (specify below) | ||
| --- | --- | --- |
| (Last) (First) (Middle) | ||
| 333 CEDAR STREET, C203 SHM | ||
| 03/31/2014 | ||
| (Street) | ||
| NEW HAVEN CT 06520 | ||
| X Form filed by One Reporting Person | ||
| 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 Date | |
| (Month/Day/Year) | 2A. Deemed Execution Date, if any | |
| (Month/Day/Year) | 3. Transaction Code (Instr. 8) | |
| (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned | |
| Following Reported Transaction(s) | ||
| (Instr. 3 and 4) | 6. Ownership Form: | |
| Direct (D) or Indirect (I) | ||
| (Instr. 4) | 7. Nature of Indirect Beneficial Ownership | |
| (Instr. 4) | ||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||
| (e.g., puts, calls, warrants, options, convertible securities) | ||
| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date |
| (Month/Day/Year) | 3A. Deemed Execution Date, if any | |
| (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) |
| (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | |
| (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security | |
| (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | |
| Following Reported Transaction(s) | ||
| (Instr. 4) | ||
| Stock Equivalent Units | $0(1) | 03/31/2014 |
Explanation of Responses:
- Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.
- Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.
John A. Berry, by Power of Attorney for Robert J. Alpern 04/02/2014
** 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.
http://www.sec.gov/Archives/edgar/data/1800/000117911014006270/xslF345X03/edgar.xml 4/2/2014
SEC FORM 4 Page 1 of 1
SEC Form 4
FORM 4
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
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 APPROVAL | ||
|---|---|---|
| OMB Number: | 3235-0287 | |
| Expires: | December 31, 2014 | |
| Estimated average burden hours per response: | 0.5 | |
| 1. Name and Address of Reporting Person | ||
| Alpern Robert J | ||
| ABBOTT LABORATORIES [ABT] | ||
| (Check all applicable) | ||
| X Director 10% Owner | ||
| Officer (give title below) Other (specify below) | ||
| --- | --- | --- |
| (Last) (First) (Middle) | ||
| 333 CEDAR STREET, C203 SHM | ||
| 03/31/2014 | ||
| (Street) | ||
| NEW HAVEN CT 06520 | ||
| X Form filed by One Reporting Person | ||
| 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 Date | |
| (Month/Day/Year) | 2A. Deemed Execution Date, if any | |
| (Month/Day/Year) | 3. Transaction Code (Instr. 8) | |
| (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned | |
| Following Reported Transaction(s) | ||
| (Instr. 3 and 4) | 6. Ownership Form: | |
| Direct (D) or Indirect (I) | ||
| (Instr. 4) | 7. Nature of Indirect Beneficial Ownership | |
| (Instr. 4) | ||
| Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||
| (e.g., puts, calls, warrants, options, convertible securities) | ||
| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date |
| (Month/Day/Year) | 3A. Deemed Execution Date, if any | |
| (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) |
| (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | |
| (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security | |
| (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | |
| Following Reported Transaction(s) | ||
| (Instr. 4) | ||
| Stock Equivalent Units | $0(1) | 03/31/2014 |
Explanation of Responses:
- Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in Abbott stock.
- Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.
John A. Berry, by Power of Attorney for Robert J. Alpern 04/02/2014
** 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.
http://www.sec.gov/Archives/edgar/data/1800/000117911014006270/xslF345X03/edgar.xml 4/2/2014