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ABBOTT LABORATORIES — Director's Dealing 2016
Feb 23, 2016
29777_rns_2016-02-23_1cf77c2c-f682-4a0f-82df-0722b36122ac.pdf
Director's Dealing
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SEC Form 4 FORM 4
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
OMB APPROVAL
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
OMB Number: 3235-0287 Estimated average burden hours per response: 0.5
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- Name and Address of Reporting Person [*] 2. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person(s) to IssuerFunck Robert E ABBOTT LABORATORIES [ ABT ] (Check all applicable)Director 10% Owner3. Date of Earliest Transaction (Month/Day/Year) Officer (give title Other (specify(Last) (First) (Middle) 02/19/2016 X below) below)100 ABBOTT PARK ROAD Vice President, Controller4. If Amendment, Date of Original Filed (Month/Day/Year) 6. Individual or Joint/Group Filing (Check Applicable(Street) Line)ABBOTT PARK IL 60064 X Form filed by One Reporting PersonForm filed by More than One ReportingPerson(City) (State) (Zip)Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned1. Title of Security (Instr. 3) 2. Transaction 2A. Deemed 3. 4. Securities Acquired (A) or 5. Amount of 6. Ownership 7. NatureDate Execution Date, Transaction Disposed Of (D) (Instr. 3, 4 Securities Form: Direct of Indirect(Month/Day/Year) if any Code (Instr. and 5) Beneficially (D) or Beneficial(Month/Day/Year) 8) Owned Indirect (I) OwnershipFollowing (Instr. 4) (Instr. 4)ReportedCode V Amount (A) or Price Transaction(s)(D)(Instr. 3 and 4)Common shares without par value 02/19/2016 A 9,505(1) A $ 0 89,190 DProfitCommon shares without par value 16,242(2) I SharingTrustCommon shares without par value 500(3) I BydaughterCommon shares without par value 500(3) I BydaughterTable II - Derivative Securities Acquired, Disposed of, or Beneficially Owned(e.g., puts, calls, warrants, options, convertible securities)1. Title of 2. 3. Transaction 3A. Deemed 4. 5. Number 6. Date Exercisable and 7. Title and 8. Price 9. Number of 10. 11. NatureDerivative Conversion Date Execution Date, Transaction of Expiration Date Amount of of derivative Ownership of IndirectSecurity or Exercise (Month/Day/Year) if any Code (Instr. Derivative (Month/Day/Year) Securities Derivative Securities Form: Beneficial(Instr. 3) Price of (Month/Day/Year) 8) Securities Underlying Security Beneficially Direct (D) OwnershipDerivative Acquired Derivative (Instr. 5) Owned or Indirect (Instr. 4)Security (A) or Security (Instr. 3 Following (I) (Instr.Disposed and 4) Reported 4)of (D) Transaction(s)(Instr. 3, 4 (Instr. 4)and 5)AmountorNumberDate Expiration ofCode V (A) (D) Exercisable Date Title SharesOptionCommon(right to $ 38.4 02/19/2016 A 83,333 02/19/2017 02/18/2026 shares 83,333 $ 0 83,333 Dbuy)(4)----- End of picture text -----
Explanation of Responses:
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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.
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Balance in the Abbott Laboratories Stock Retirement Trust as of February 19, 2016.
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The reporting person disclaims beneficial ownership of all securities held by his daughter.
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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 27,778 on 02/19/2017, 27,777 on 02/19/2018, and 27,778 on 02/19/2019.
John A. Berry, Attorney-in02/23/2016 Fact for Robert E. Funck ** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
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** 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.