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ABBOTT LABORATORIES — Director's Dealing 2015
Feb 24, 2015
29777_rns_2015-02-24_b02ddc79-d245-4546-b939-9bffc24b5035.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
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
☐ Check this box if no longer subject to Section 16, Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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 | ||
| Contreras Jaime | ||
| ABBOTT LABORATORIES [ ABT ] | ||
| (Check all applicable) | ||
| Director 10% Owner | ||
| X Officer (give title below) | ||
| Senior Vice President | ||
| --- | --- | --- |
| (Last) (First) (Middle) | ||
| 100 ABBOTT PARK ROAD | ||
| 02/20/2015 | ||
| (Street) | ||
| ABBOTT | ||
| PARK IL 60064 | ||
| 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. 3) | |
| (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) | ||
| Common shares without par value | 02/20/2015 | |
| Common shares without par value | ||
| Common shares without par value | ||
| Common shares without par value | ||
| Common shares without par value | ||
| 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) |
| Option (right to buy) (6) | $47 | 02/20/2015 |
Explanation of Responses:
- 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.
- Balance in the Abbott Laboratories Stock Retirement Trust as of February 20, 2015.
- Held in the Jaime Contreras Marvan 2006 Living Trust. The reporting person is sole trustee of the trust. The trust is revocable.
- The reporting person disclaims beneficial ownership of all securities held by his spouse.
- 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.
- 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 48,851 on 2/20/16, 48,850 on 2/20/17, and 48,850 on 2/20/18.
02/24/2015
http://www.sec.gov/Archives/edgar/data/1800/000117911015003368/xslF345X03/edgar.xml 2/24/2015
SEC FORM 4 Page 2 of 2
John A. Berry, by power of attorney for Jaime Contreras
** 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/1800/000117911015003368/xslF345X03/edgar.xml 2/24/2015