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ABBOTT LABORATORIES — Director's Dealing 2014
Feb 25, 2014
29777_dirs_2014-02-25_67567024-edc6-4fbc-919e-5763a6b77aef.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ABBOTT LABORATORIES (ABT)
CIK: 0000001800
Period of Report: 2014-02-21
Reporting Person: FREYMAN THOMAS C (Executive Vice President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-02-21 | Common shares without par value | A | 32746 | — | Acquired | 341970 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-02-21 | Option (right to buy) | $39.12 | A | 200477 | Acquired | 2024-02-20 | Common shares (200477) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common shares without par value | 1076 | Indirect |
| Common shares without par value | 4000 | Indirect |
| Common shares without par value | 76000 | Indirect |
| Common shares without par value | 76000 | Indirect |
| Common shares without par value | 1941 | Indirect |
| Common shares without par value | 1941 | Indirect |
Footnotes
F1: These shares represent performance vested restricted stock awards under the Abbott Laboratories 2009 Incentive Stock Program. The awards have a 5-year term, with no more than 1/3 of the award vesting in any one year upon Abbott reaching a minimum return on equity target. The awards include the right to have stock withheld for tax purposes.
F2: Balance in the Abbott Laboratories Stock Retirement Trust as of February 21, 2014.
F3: 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.
F4: 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.
F5: Held in the Thomas C. Freyman 2012 Irrevocable Trust. The reporting person's spouse is trustee of the trust. The trust is irrevocable.
F6: These shares are held in an irrevocable trust for the benefit of the reporting person's son. The reporting person's spouse is trustee of the trust. The reporting person disclaims beneficial ownership of these securities.
F7: Employee stock option granted pursuant to the Abbott Laboratories 2009 Incentive Stock Program in a transaction exempt from Section 16 under Rule 16b-3. The option becomes exercisable in annual increments of 66,826 on 2/21/2015, 66,825 on 2/21/2016, and 66,826 on 2/21/2017.