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ABBOTT LABORATORIES — Director's Dealing 2016
May 3, 2016
29777_rns_2016-05-03_235967e7-5fb5-453c-af57-98279efca575.pdf
Director's Dealing
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SEC FORM 4 Page 1 of 1
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
OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response: 0.5
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 NOVAKOVIC PHEBE N | 2. Issuer Name and Ticker or Trading Symbol ABBOTT LABORATORIES [ ABT ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) X Director 10% Owner Officer (give title below) Other (specify below) | ||
|---|---|---|---|---|
| (Last) (First) (Middle) C/O GENERAL DYNAMICS CORPORATION, 2941 FAIRVIEW PARK DRIVE, SUITE 100 | 3. Date of Earliest Transaction (Month/Day/Year) 04/29/2016 | |||
| (Street) FALLS CHURCH VA 22042 | 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) |
| Code | V | Amount | (A) or (D) | Price |
| Common shares without par value | 04/29/2016 | A | ||
| 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) |
| Code | V | (A) | (D) | Date Exercisable |
| Option (right to buy)(3) | $39.48 | 04/29/2016 | A |
Explanation of Responses:
- These are restricted stock units awarded under the Abbott Laboratories 2009 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in Abbott common shares on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).
- Stock option granted pursuant to the Abbott Laboratories 2009 Incentive Stock Program, in a transaction exempt from Section 16 under Rule 16b-3.
John A. Berry, by Power of Attorney for Phebe N. Novakovic ** Signature of Reporting Person 05/03/2016 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/1800/000117911016023678/xslF345X03/edgar.xml 5/3/2016
SEC FORM 4 Page 1 of 1
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
OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response: 0.5
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 NOVAKOVIC PHEBE N | 2. Issuer Name and Ticker or Trading Symbol ABBOTT LABORATORIES [ ABT ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) X Director 10% Owner Officer (give title below) Other (specify below) | ||
|---|---|---|---|---|
| (Last) (First) (Middle) C/O GENERAL DYNAMICS CORPORATION, 2941 FAIRVIEW PARK DRIVE, SUITE 100 | 3. Date of Earliest Transaction (Month/Day/Year) 04/29/2016 | |||
| (Street) FALLS CHURCH VA 22042 | 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) |
| Code | V | Amount | (A) or (D) | Price |
| Common shares without par value | 04/29/2016 | A | ||
| 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) |
| Code | V | (A) | (D) | Date Exercisable |
| Option (right to buy)(3) | $39.48 | 04/29/2016 | A |
Explanation of Responses:
- These are restricted stock units awarded under the Abbott Laboratories 2009 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in Abbott common shares on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).
- Stock option granted pursuant to the Abbott Laboratories 2009 Incentive Stock Program, in a transaction exempt from Section 16 under Rule 16b-3.
John A. Berry, by Power of Attorney for Phebe N. Novakovic ** Signature of Reporting Person 05/03/2016 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/1800/000117911016023678/xslF345X03/edgar.xml 5/3/2016