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ABBOTT LABORATORIES — Director's Dealing 2013
Oct 23, 2013
29777_rns_2013-10-23_79c6bca9-54bb-4729-bf00-e0a0713a86ed.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
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 |
| Expres | December 31, 2014 |
| Estimated average burden | Hours per response 0.5 |
| 1. Name and Address of Reporting Person | |
| FREYMAN THOMAS C | |
| (Last) (First) (Middle) | |
| 100 ABBOTT PARK ROAD | |
| (Street) | |
| ABBOTT PARK IL 60064-6400 | |
| (City) (State) (Zip) | 2. Issuer Name and Ticker or Trading Symbol |
| ABBOTT LABORATORIES [ABT] | |
| (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) | |
| 10/21/2013 | |
| 4. If Amendment, Date of Original Filed (Month/Day/Year) | |
| 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) |
| Common shares without par value | 10/21/2013 |
| Common shares without par value | 10/21/2013 |
| Common shares without par value | |
| Common shares without par value | |
| Common shares without par value | |
| Common shares without par value | |
| Common shares without par value | |
| Common shares without par value | |
| Common shares without par value |
http://www.sec.gov/Archives/edgar/data/1800/000117911013015717/xslF345X03/edgar... 10/23/2013
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) | 10. Ownership | |||||||||||||
| Form: | ||||||||||||||
| Direct (D) | ||||||||||||||
| or Indirect | ||||||||||||||
| (I) (Instr. 4) | ||||||||||||||
| Code | V | (A) | (D) | Date | ||||||||||
| Exercisable | Expiration | |||||||||||||
| Date | Title | Amount | ||||||||||||
| or | ||||||||||||||
| Number | ||||||||||||||
| of | ||||||||||||||
| Shares | ||||||||||||||
| Option | ||||||||||||||
| (right to | ||||||||||||||
| buy) | $34.93 | 10/21/2013 | M | 42,487 | 09/13/2013 | 02/19/2014 | Common | |||||||
| shares | 42,487 | $0 | 0 | D |
Explanation of Responses:
- Held in the Annette Newton-Freyman 1994 Trust. The reporting person's spouse is trustee of the trust. The trust is revocable by his spouse. The reporting person disclaims beneficial ownership of these securities.
- Held in the Annette Newton-Freyman 2012 Irrevocable Trust. The reporting person is trustee of the trust. The trust is irrevocable. The reporting person disclaims beneficial ownership of these securities.
- Held in the Thomas C. Freyman 2012 Irrevocable Trust. The reporting person's spouse is trustee of the trust. The trust is irrevocable.
- Balance in the Abbott Laboratories Stock Retirement Trust as of October 21, 2013.
- The reporting person disclaims beneficial ownership of all securities held by his daughter.
- These shares are held in an irrevocable trust for the benefit of the reporting person's son. The reporting person's spouse is trustee of the trust. The reporting person disclaims beneficial ownership of these securities.
- Employee stock option granted pursuant to the Abbott Laboratories 2000 Incentive Stock Program, in a transaction exempt from Section 16 under Rule 16b-3.
Remarks: These transactions were made pursuant to a previously adopted plan complying with Rule 1095-1(c).
John A. Berry, by power of attorney for Thomas C. Freyman Signature of Reporting Person 10/23/2013 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. 788(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/1800/000117911013015717/xslF345X03/edgar... 10/23/2013