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ABBOTT LABORATORIES — Director's Dealing 2016
Apr 1, 2016
29777_rns_2016-04-01_b1ecd692-9389-4926-a0f8-63a0846627ad.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
☐ 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 Contreras Jaime | | 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) Senior Vice President | | | | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | | (Last) (First) (Middle) 100 ABBOTT PARK ROAD | | 3. Date of Earliest Transaction (Month/Day/Year) 03/31/2016 | | | | | | | | | (Street) ABBOTT PARK IL 60064 | | 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) | | | 5. Amount of Securities Beneficially Owned Following Reported Transaction (s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | | | | | Code | V | Amount | (A) or (D) | Price | | | | Common shares without par value | | | | | | | | 47,667 | D | | Common shares without par value | | | | | | | | 21 (1) | I | | Common shares without par value | | | | | | | | 63,903 (2) | I | | Common shares without par value | 03/31/2016 | | A | | 1,406 (3) | A | $0 | 3,100 (4) | I | | Common shares without par value | 03/31/2016 | | F | | 212 | D | $41.65 | 2,888 | I | | Common shares without par value | 03/31/2016 | | S | | 162 | D | $41.7842 | 2,726 | I | | Common shares without par value | 03/31/2016 | | S | | 162 | D | $41.785 | 2,564 | I | | Common shares without par value | 03/31/2016 | | S | | 138 | D | $41.7842 | 2,426 | I | | Common shares without par value | | | | | | | | 12,081 (5) | I |
http://www.sec.gov/Archives/edgar/data/1800/000117911016022538/xslF345X03/edgar.xml
SEC FORM 4 Page 2 of 2
| 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) | 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 | Title | Amount or Number of Shares |
Explanation of Responses:
- Balance in the Abbott Laboratories Stock Retirement Trust as of March 31, 2016.
- Held in the Jaime Contreras Marvan 2006 Living Trust. The reporting person is sole trustee of the trust. The trust is revocable.
- This grant represents a restricted stock unit award under the Abbott Laboratories 2009 Incentive Stock Program. The award has a 3-year term, with no more than 1/3 of the award vesting on each anniversary of the grant date. The award includes the right to have shares withheld for tax purposes.
- 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.
Remarks:
The sale transactions were made pursuant to a previously adopted plan complying with Rule 10b5-1(c).
John A. Berry, by power of attorney for Jaime Contreras 04/01/2016
** 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/1800/000117911016022538/xslF345X03/edgar.xml 4/1/2016