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ABBOTT LABORATORIES — Director's Dealing 2014
Apr 29, 2014
29777_rns_2014-04-29_3830bbbf-32f2-43ac-89ab-9eba3235710e.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
| 1. Name and Address of Reporting Person NOVAKOVIC PHEBE N | | | 2. Issuer Name and Ticker or Trading Symbol ABBOTT LABORATORIES [ ABT ] | | | | | | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) X Director 10% Owner Officer (give title below) Other (specify below) | | | | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | | (Last) (First) (Middle) C/O GENERAL DYNAMICS CORPORATION, 2941 FAIRVIEW PARK DRIVE, SUITE 100 | | | 3. Date of Earliest Transaction (Month/Day/Year) 04/25/2014 | | | | | | | | | | (Street) FALLS CHURCH VA 22042 | | | 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 | | | | | | | | | (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) | | 4. Securities Acquired (A) or Disposed Of (D) (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) | | | | | | | Code | V | Amount | (A) or (D) | | | | | | | Common shares without par value | | | 04/25/2014 | | A[1] | | 3,535 | A | $0[1] | 11,118 | D | | 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) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction (s) (Instr. 4) | | | | | | Code | V | (A) | (D) | Date Exercisable | Expiration Date | | | | Option (right to buy)[2] | $38.18 | 04/25/2014 | | A | | 14,457 | | 04/25/2014 | 04/24/2024 | Common shares | $0 |
Explanation of Responses:
- These are restricted stock units awarded under the Abbott Laboratories 2009 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in Abbott common shares on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).
- Stock option granted pursuant to the Abbott Laboratories 2009 Incentive Stock Program in a transaction exempt from Section 16 under Rule 16b-3.
John A. Berry, by Power of
Attorney for Phebe N.
Novakovic
** Signature of Reporting Person
04/29/2014
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.
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http://www.sec.gov/Archives/edgar/data/1800/000117911014007325/xslF345X03/edgar.xml 4/29/2014