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ABBOTT LABORATORIES — Director's Dealing 2015
Jun 3, 2015
29777_rns_2015-06-03_76fc570d-46b6-47f7-b7ff-c285109fe8c0.pdf
Director's Dealing
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SEC FORM 4
SEC Form 4
FORM 4
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
OMB APPROVAL
OMB Number: 3235-0267
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☐ 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
| 1. Name and Address of Reporting Person Ford Robert B (Last) (First) (Middle) 100 ABBOTT PARK ROAD | 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 | |||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|
| 3. Date of Earliest Transaction (Month/Day/Year) 06/01/2015 | |||||||||||
| (Street) ABBOTT PARK IL 60064 (City) (State) (Zip) | 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 | |||||||||
| 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. 4) | 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 | 06/01/2015 | A | 2,021 (1) | A | $0 | 37,526 | D | ||||
| Common shares without par value | 48,062 (2) | I | |||||||||
| 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. 6) | 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) (3) | $48.9 | 06/01/2015 | A | 14,423 | 06/01/2016 | 05/31/2025 | Common shares | 14,423 |
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.
- Held in the Ford Family Trust DTD June 2, 2014. The reporting person is co-trustee of the trust.
- 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 4,808 on 6/1/2016, 4,807 on 6/1/2017, and 4,808 on 6/1/2018.
John A. Berry, by power of attorney for Robert B. Ford
06/03/2015
** 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.
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/1800/000117911015009077/xslF345X03/edgar.xml
6/3/2015