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ABBOTT LABORATORIES — Director's Dealing 2014
Jul 22, 2014
29777_rns_2014-07-22_bf024447-1441-4899-a50f-0ee16af62bad.pdf
Director's Dealing
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SEC FORM 4 Page 1 of 2
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 FREYMAN THOMAS C | | | 2. Issuer Name and Ticker 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) Executive Vice President | | | | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | | (Last) (First) (Middle) 100 ABBOTT PARK ROAD | | | 3. Date of Earliest Transaction (Month/Day/Year) 07/21/2014 | | | | | | | | | (Street) ABBOTT PARK IL 60064-6400 | | | 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) | Price | | | | | Common shares without par value | 07/21/2014 | | M | | 23,000 | A | $21.2194 | 334,326 | D | | | Common shares without par value | 07/21/2014 | | M | | 56,000 | A | $25.2461 | 390,326 | D | | | Common shares without par value | 07/21/2014 | | F | | 60,702 | D | $42.73 | 329,624 | D | | | Common shares without par value | | | | | | | | 1,082(1) | I | Profit Sharing Trust | | Common shares without par value | | | | | | | | 4,000(2) | I | Annette Newton-Freyman 1994 Trust | | Common shares without par value | | | | | | | | 76,000(3) | I | Annette Newton-Freyman 2012 Irrevocable Trust | | Common shares without par value | | | | | | | | 76,000(4) | I | Thomas C. Freyman 2012 Irrevocable Trust | | Common shares without par value | | | | | | | | 1,941(5) | I | By spouse as trustee for son | | Common shares without par value | | | | | | | | 1,941(5) | I | By spouse as trustee for son |
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http://www.sec.gov/Archives/edgar/data/1800/000117911014011914/xslF345X03/edgar.xml
SEC FORM 4 Page 2 of 2
| 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) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||
| Option (right to buy)^{(6)} | $21.2194 | 07/21/2014 | M | 23,000 | 02/17/2009 | 02/16/2016 | Common shares | 23,000 | $0 | 0 | D | |||
| Option (right to buy)^{(6)} | $25.2461 | 07/21/2014 | M | 56,000 | 02/16/2010 | 02/15/2017 | Common shares | 56,000 | $0 | 56,000 | D |
Explanation of Responses:
- Balance in the Abbott Laboratories Stock Retirement Trust as of July 21, 2014.
- Held in the Annette Newton-Freyman 1994 Trust. The reporting person's spouse is trustee of the trust. The trust is revocable by his spouse. The reporting person disclaims beneficial ownership of these securities.
- Held in the Annette Newton-Freyman 2012 Irrevocable Trust. The reporting person is trustee of the trust. The trust is irrevocable. The reporting person disclaims beneficial ownership of these securities.
- Held in the Thomas C. Freyman 2012 Irrevocable Trust. The reporting person's spouse is trustee of the trust. The trust is irrevocable.
- The reporting person disclaims beneficial ownership of all securities held by his son.
- Employee stock option granted pursuant to the Abbott Laboratories 1996 Incentive Stock Program in a transaction exempt from Section 16 under Rule 16b-3.
Remarks: These transactions were made pursuant to a previously adopted plan complying with Rule 10b5-1(c).
John A. Berry, by power of attorney for Thomas C. Freyman 07/22/2014
** 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. 78f(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/1800/000117911014011914/xslF345X03/edgar.xml 7/22/2014