SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 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 |
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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). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol ABBOTT LABORATORIES [ ABT ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
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3. Date of Earliest Transaction (Month/Day/Year) 01/30/2019 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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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) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common shares without par value | 01/30/2019 | M | 46,017 | A | $44.4 | 100,985 | D | |||
Common shares without par value | 01/30/2019 | M | 84,169 | A | $38.4 | 185,154 | D | |||
Common shares without par value | 01/30/2019 | M | 83,951 | A | $47 | 269,105 | D | |||
Common shares without par value | 01/30/2019 | S | 177,457 | D | $70 | 91,648 | D | |||
Common shares without par value | 01/31/2019 | M | 62,600 | A | $47 | 154,248 | D | |||
Common shares without par value | 01/31/2019 | M | 77,550 | A | $38.4 | 231,798 | D | |||
Common shares without par value | 01/31/2019 | F | 108,090 | D | $71.68 | 111,301(1) | D | |||
Common shares without par value | 22(2) | I | Profit Sharing Trust | |||||||
Common shares without par value | 84,579(3) | I | Jaime Contreras Marvan 2006 Living Trust | |||||||
Common shares without par value | 2,595(4) | I | By Spouse | |||||||
Common shares without par value | 12,081(5) | I | Living Trust (by spouse) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option (right to buy)(6) | $44.4 | 01/30/2019 | M | 46,017 | 02/17/2018 | 02/16/2027 | Common Shares | 46,017 | $0 | 92,032 | D | ||||
Option (right to buy)(6) | $38.4 | 01/30/2019 | M | 84,169 | 02/19/2017 | 02/18/2026 | Common Shares | 84,169 | $0 | 158,410 | D | ||||
Option (right to buy)(6) | $47 | 01/30/2019 | M | 83,951 | 02/20/2016 | 02/19/2025 | Common Shares | 83,951 | $0 | 62,600 | D | ||||
Option (right to buy)(6) | $47 | 01/31/2019 | M | 62,600 | 02/20/2018 | 02/19/2025 | Common Shares | 62,600 | $0 | 0 | D | ||||
Option (right to buy)(6) | $38.4 | 01/31/2019 | M | 77,550 | 02/19/2018 | 02/18/2026 | Common Shares | 77,550 | $0 | 80,860 | D |
Explanation of Responses: |
1. Excludes 12,407 shares previously directly owned which were transferred to the Jaime Contreras Marvan 2006 Living Trust on September 21, 2018. |
2. Balance in the Abbott Laboratories Stock Retirement Trust as of January 31, 2019. |
3. Held in the Jaime Contreras Marvan 2006 Living Trust. The reporting person is sole trustee of the trust. The trust is revocable. |
4. The reporting person disclaims beneficial ownership of all securities held by his spouse. |
5. 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. |
6. Employee stock option granted pursuant to the Abbott Laboratories 2009 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 10b5-1(c). |
Jessica H. Paik, by power of attorney for Jaime Contreras | 02/01/2019 | |
** 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. |