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BRISTOL MYERS SQUIBB CO

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0000014272
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2,253

Last 12 months

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0 purchase rows · 4 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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Dec 202500
Jan 202600
Feb 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
December 31, 2021 Filed Jan 4, 2022 23:20 UTC GrantDeferred Share Units · Derivative 130.313 $62.35 $8,125.02
Disclosure

SEC source: 0000014272-22-000013 · wf-form4_164133839565739.xml · derivative · entry 1

Price Paula A · CIK 0001369240 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,144.518

Underlying: Common Stock, $0.10 par value · 130.313 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
December 31, 2021 Filed Jan 4, 2022 23:21 UTC GrantDeferred Share Units · Derivative 561.347 $62.35 $34,999.99
Disclosure

SEC source: 0000014272-22-000014 · wf-form4_164133841223791.xml · derivative · entry 1

Storch Gerald L · CIK 0001205004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,890.897

Underlying: Common Stock, $0.10 par value · 561.347 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
December 31, 2021 Filed Jan 4, 2022 23:21 UTC GrantDeferred Share Units · Derivative 521.251 $62.35 $32,500.00
Disclosure

SEC source: 0000014272-22-000015 · wf-form4_164133847930961.xml · derivative · entry 1

Haller Julia A · CIK 0001656082 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,482.489

Underlying: Common Stock, $0.10 par value · 521.251 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
December 31, 2021 Filed Jan 4, 2022 23:22 UTC GrantDeferred Share Units · Derivative 761.828 $62.35 $47,499.98
Disclosure

SEC source: 0000014272-22-000016 · wf-form4_164133850925939.xml · derivative · entry 1

Samuels Theodore R. II · CIK 0001688276 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,956.269

Underlying: Common Stock, $0.10 par value · 761.828 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
December 31, 2021 Filed Jan 4, 2022 23:22 UTC
Elkins David VEVP, Chief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 47,401 $0.00 $0.00
Disclosure

SEC source: 0000014272-22-000017 · wf-form4_164133854058540.xml · derivative · entry 4

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 47,401 shares

Expires 2021-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Each restricted stock unit converts into one share of common stock upon vesting.

F1 · derivative.exercise_date: In connection with the Merger, all outstanding Celgene Corporation Performance Share Unit awards were assumed by BMS and converted into a restricted unit award. The restricted stock unit reported on this Form 4 vests in full on December 31, 2021, which is the end of the original performance period associated with the original Performance Share Unit award.

Read SEC document
December 31, 2021 Filed Jan 4, 2022 23:22 UTC
Elkins David VEVP, Chief Financial Officer
Tax withholdingCommon Stock, $0.10 par value 24,246 $62.35 $1,511,738.10
Disclosure

SEC source: 0000014272-22-000017 · wf-form4_164133854058540.xml · nonDerivative · entry 2

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,457

F2 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
December 31, 2021 Filed Jan 4, 2022 23:22 UTC
Elkins David VEVP, Chief Financial Officer
Exercise / conversionCommon Stock, $0.10 par value 47,401 $0.00 $0.00
Disclosure

SEC source: 0000014272-22-000017 · wf-form4_164133854058540.xml · nonDerivative · entry 1

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,703

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: In connection with the Merger, all outstanding Celgene Corporation Performance Share Unit awards were assumed by BMS and converted into a restricted unit award. The restricted stock unit reported on this Form 4 vests in full on December 31, 2021, which is the end of the original performance period associated with the original Performance Share Unit award.

Read SEC document
December 31, 2021 Filed Jan 4, 2022 23:23 UTC GrantDeferred Share Units · Derivative 521.251 $62.35 $32,500.00
Disclosure

SEC source: 0000014272-22-000018 · wf-form4_164133855890002.xml · derivative · entry 1

YALE PHYLLIS R · CIK 0001269070 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,232.025

Underlying: Common Stock, $0.10 par value · 521.251 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
December 31, 2021 Filed Jan 4, 2022 23:23 UTC GrantDeferred Share Units · Derivative 521.251 $62.35 $32,500.00
Disclosure

SEC source: 0000014272-22-000019 · wf-form4_164133859017977.xml · derivative · entry 1

Arduini Peter J · CIK 0001323134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,450.645

Underlying: Common Stock, $0.10 par value · 521.251 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
December 31, 2021 Filed Jan 4, 2022 23:23 UTC GrantDeferred Share Units · Derivative 561.347 $62.35 $34,999.99
Disclosure

SEC source: 0000014272-22-000020 · wf-form4_164133861721265.xml · derivative · entry 1

Rice Derica W · CIK 0001359067 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,234.668

Underlying: Common Stock, $0.10 par value · 561.347 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
December 16, 2021 Filed Dec 17, 2021 22:08 UTC
Vessey RupertEVP, Research & Early Dev.
SaleCommon Stock, $0.10 par value 13,100 $61.99 $812,069.00
Disclosure

SEC source: 0000014272-21-000234 · wf-form4_163977890082168.xml · nonDerivative · entry 2

VESSEY RUPERT · CIK 0001677618 · EVP, Research & Early Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,960

Read SEC document
December 16, 2021 Filed Dec 17, 2021 22:08 UTC
Vessey RupertEVP, Research & Early Dev.
SaleCommon Stock, $0.10 par value 6,198 $61.99 $384,183.03
Disclosure

SEC source: 0000014272-21-000234 · wf-form4_163977890082168.xml · nonDerivative · entry 1

VESSEY RUPERT · CIK 0001677618 · EVP, Research & Early Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,060

Read SEC document
December 02, 2021 Filed Dec 6, 2021 23:27 UTC
Elkins David VEVP, Chief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 8,792 $0.00 $0.00
Disclosure

SEC source: 0000014272-21-000230 · wf-form4_163883323201870.xml · derivative · entry 4

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,584

Underlying: Common Stock, $0.10 par value · 8,792 shares

Expires 2023-12-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Each restricted stock unit converts into one share of common stock upon vesting.

F1 · derivative.exercise_date: The restricted stock unit vests in four equal annual installments beginning on December 2, 2020.

Read SEC document
December 02, 2021 Filed Dec 6, 2021 23:27 UTC
Elkins David VEVP, Chief Financial Officer
Tax withholdingCommon Stock, $0.10 par value 4,498 $55.41 $249,234.18
Disclosure

SEC source: 0000014272-21-000230 · wf-form4_163883323201870.xml · nonDerivative · entry 2

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,302

F2 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
December 02, 2021 Filed Dec 6, 2021 23:27 UTC
Elkins David VEVP, Chief Financial Officer
Exercise / conversionCommon Stock, $0.10 par value 8,792 $0.00 $0.00
Disclosure

SEC source: 0000014272-21-000230 · wf-form4_163883323201870.xml · nonDerivative · entry 1

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,800

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The restricted stock unit vests in four equal annual installments beginning on December 2, 2020.

Read SEC document
December 02, 2021 Filed Dec 6, 2021 23:27 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
Exercise / conversionRestricted Stock Units · Derivative 2,638 $0.00 $0.00
Disclosure

SEC source: 0000014272-21-000231 · wf-form4_163883324734036.xml · derivative · entry 3

BOERNER CHRISTOPHER S. · CIK 0001543747 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,275

Underlying: Common Stock, $0.10 par value · 2,638 shares

Expires 2023-12-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each restricted stock unit converts into one share of common stock upon vesting.

F1 · derivative.exercise_date: The restricted stock unit vests in four equal annual installments beginning on December 2, 2020.

Read SEC document
December 02, 2021 Filed Dec 6, 2021 23:27 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
Tax withholdingCommon Stock, $0.10 par value 1,350 $55.41 $74,803.50
Disclosure

SEC source: 0000014272-21-000231 · wf-form4_163883324734036.xml · nonDerivative · entry 2

BOERNER CHRISTOPHER S. · CIK 0001543747 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,512

F2 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
December 02, 2021 Filed Dec 6, 2021 23:27 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
Exercise / conversionCommon Stock, $0.10 par value 2,638 $0.00 $0.00
Disclosure

SEC source: 0000014272-21-000231 · wf-form4_163883324734036.xml · nonDerivative · entry 1

BOERNER CHRISTOPHER S. · CIK 0001543747 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,862

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The restricted stock unit vests in four equal annual installments beginning on December 2, 2020.

Read SEC document
December 02, 2021 Filed Dec 6, 2021 23:27 UTC
Vessey RupertEVP, Research & Early Dev.
Exercise / conversionRestricted Stock Units · Derivative 8,792 $0.00 $0.00
Disclosure

SEC source: 0000014272-21-000232 · wf-form4_163883326265559.xml · derivative · entry 4

VESSEY RUPERT · CIK 0001677618 · EVP, Research & Early Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,584

Underlying: Common Stock, $0.10 par value · 8,792 shares

Expires 2023-12-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Each restricted stock unit converts into one share of common stock upon vesting.

F1 · derivative.exercise_date: The restricted stock unit vests in four equal annual installments beginning on December 2, 2020.

Read SEC document
December 02, 2021 Filed Dec 6, 2021 23:27 UTC
Vessey RupertEVP, Research & Early Dev.
Tax withholdingCommon Stock, $0.10 par value 4,498 $55.41 $249,234.18
Disclosure

SEC source: 0000014272-21-000232 · wf-form4_163883326265559.xml · nonDerivative · entry 2

VESSEY RUPERT · CIK 0001677618 · EVP, Research & Early Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,258

F2 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
December 02, 2021 Filed Dec 6, 2021 23:27 UTC
Vessey RupertEVP, Research & Early Dev.
Exercise / conversionCommon Stock, $0.10 par value 8,792 $0.00 $0.00
Disclosure

SEC source: 0000014272-21-000232 · wf-form4_163883326265559.xml · nonDerivative · entry 1

VESSEY RUPERT · CIK 0001677618 · EVP, Research & Early Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,756

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The restricted stock unit vests in four equal annual installments beginning on December 2, 2020.

Read SEC document
November 24, 2021 Filed Nov 24, 2021 22:25 UTC
von Autenried PaulEVP, Chief Information Officer
SaleCommon Stock, $0.10 par value 17,353 $56.92 $987,732.76
Disclosure

SEC source: 0000014272-21-000226 · wf-form4_163779268046380.xml · nonDerivative · entry 3

von Autenried Paul · CIK 0001524143 · EVP, Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Trust

Disclosed balance after: 63,536.066

F4 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $56.91 to $56.93, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
November 23, 2021 Filed Nov 24, 2021 22:25 UTC
von Autenried PaulEVP, Chief Information Officer
SaleCommon Stock, $0.10 par value 15,418 $57.47 $886,072.46
Disclosure

SEC source: 0000014272-21-000226 · wf-form4_163779268046380.xml · nonDerivative · entry 2

von Autenried Paul · CIK 0001524143 · EVP, Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Trust

Disclosed balance after: 80,889.066

F3 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $57.47 to $57.48, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
November 22, 2021 Filed Nov 24, 2021 22:25 UTC
von Autenried PaulEVP, Chief Information Officer
SaleCommon Stock, $0.10 par value 18,363 $57.17 $1,049,812.71
Disclosure

SEC source: 0000014272-21-000226 · wf-form4_163779268046380.xml · nonDerivative · entry 1

von Autenried Paul · CIK 0001524143 · EVP, Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Trust

Disclosed balance after: 96,307.066

F1 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $57.16 to $57.18, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: Shares held in a Spousal Lifetime Access Trust (SLAT).

Read SEC document
October 13, 2021 Filed Jan 21, 2022 22:40 UTC
Caforio GiovanniDirector · Board Chair and CEO
GiftCommon Stock, $0.10 par value 525 $0.00 $0.00
Disclosure

SEC source: 0000014272-22-000022 · wf-form5_164280482875135.xml · nonDerivative · entry 1

Caforio Giovanni · CIK 0001533201 · Director · Board Chair and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 483,455.333

F1 · shares: This transaction involved a donation of securities by the Reporting Person to a charitable organization.

Read SEC document
September 30, 2021 Filed Oct 1, 2021 20:29 UTC GrantDeferred Share Units · Derivative 549.265 $0.00 $0.00
Disclosure

SEC source: 0000014272-21-000213 · wf-form4_163312013548378.xml · derivative · entry 1

YALE PHYLLIS R · CIK 0001269070 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,622.077

Underlying: Common Stock, $0.10 par value · 549.265 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
September 30, 2021 Filed Oct 1, 2021 20:29 UTC GrantDeferred Share Units · Derivative 591.516 $0.00 $0.00
Disclosure

SEC source: 0000014272-21-000214 · wf-form4_163312014993501.xml · derivative · entry 1

Storch Gerald L · CIK 0001205004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,780.259

Underlying: Common Stock, $0.10 par value · 591.516 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
September 30, 2021 Filed Oct 1, 2021 20:29 UTC GrantDeferred Share Units · Derivative 802.772 $0.00 $0.00
Disclosure

SEC source: 0000014272-21-000215 · wf-form4_163312016411894.xml · derivative · entry 1

Samuels Theodore R. II · CIK 0001688276 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,969.237

Underlying: Common Stock, $0.10 par value · 802.772 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
September 30, 2021 Filed Oct 1, 2021 20:29 UTC GrantDeferred Share Units · Derivative 591.516 $0.00 $0.00
Disclosure

SEC source: 0000014272-21-000216 · wf-form4_163312018129395.xml · derivative · entry 1

Rice Derica W · CIK 0001359067 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,618.059

Underlying: Common Stock, $0.10 par value · 591.516 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
September 30, 2021 Filed Oct 1, 2021 20:30 UTC GrantDeferred Share Units · Derivative 137.316 $0.00 $0.00
Disclosure

SEC source: 0000014272-21-000217 · wf-form4_163312022657559.xml · derivative · entry 1

Price Paula A · CIK 0001369240 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,972.68

Underlying: Common Stock, $0.10 par value · 137.316 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
September 30, 2021 Filed Oct 1, 2021 20:31 UTC GrantDeferred Share Units · Derivative 121.472 $0.00 $0.00
Disclosure

SEC source: 0000014272-21-000218 · wf-form4_163312024987329.xml · derivative · entry 1

Hidalgo Medina Manuel · CIK 0001865525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,116.248

Underlying: Common Stock, $0.10 par value · 121.472 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
September 30, 2021 Filed Oct 1, 2021 20:31 UTC GrantDeferred Share Units · Derivative 549.265 $0.00 $0.00
Disclosure

SEC source: 0000014272-21-000219 · wf-form4_163312027292644.xml · derivative · entry 1

Haller Julia A · CIK 0001656082 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,870.465

Underlying: Common Stock, $0.10 par value · 549.265 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
September 30, 2021 Filed Oct 1, 2021 20:31 UTC GrantDeferred Share Units · Derivative 549.265 $0.00 $0.00
Disclosure

SEC source: 0000014272-21-000220 · wf-form4_163312029280764.xml · derivative · entry 1

Arduini Peter J · CIK 0001323134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,648.418

Underlying: Common Stock, $0.10 par value · 549.265 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
September 20, 2021 Filed Sep 22, 2021 21:19 UTC
Caforio GiovanniDirector · Board Chair and CEO
SaleCommon Stock, $0.10 par value 25,000 $60.64 $1,516,000.00
Disclosure

SEC source: 0000014272-21-000204 · wf-form4_163234553988618.xml · nonDerivative · entry 1

Caforio Giovanni · CIK 0001533201 · Director · Board Chair and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 483,980.333

F1 · shares: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 11, 2021.

Read SEC document
August 12, 2021 Filed Aug 16, 2021 21:51 UTC
Elkins David VEVP, Chief Financial Officer
Exercise / conversionOption (right to buy) · Derivative 59,691 $0.00 Strike: $48.49 $0.00
Disclosure

SEC source: 0000014272-21-000202 · wf-form4_162915069428711.xml · derivative · entry 9

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 59,691 shares

Expires 2028-08-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: All of the shares are currently exercisable.

Read SEC document
August 12, 2021 Filed Aug 16, 2021 21:51 UTC
Elkins David VEVP, Chief Financial Officer
Exercise / conversionOption (right to buy) · Derivative 4,129 $0.00 Strike: $48.49 $0.00
Disclosure

SEC source: 0000014272-21-000202 · wf-form4_162915069428711.xml · derivative · entry 8

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,214

Underlying: Common Stock, $0.10 par value · 4,129 shares

Expires 2028-08-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: All of the shares are currently exercisable.

Read SEC document
August 12, 2021 Filed Aug 16, 2021 21:51 UTC
Elkins David VEVP, Chief Financial Officer
Exercise / conversionOption (right to buy) · Derivative 6,180 $0.00 Strike: $48.49 $0.00
Disclosure

SEC source: 0000014272-21-000202 · wf-form4_162915069428711.xml · derivative · entry 7

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,063

Underlying: Common Stock, $0.10 par value · 6,180 shares

Expires 2028-08-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: All of the shares are currently exercisable.

Read SEC document
August 12, 2021 Filed Aug 16, 2021 21:51 UTC
Elkins David VEVP, Chief Financial Officer
SaleCommon Stock, $0.10 par value 59,691 $67.00 $3,999,297.00
Disclosure

SEC source: 0000014272-21-000202 · wf-form4_162915069428711.xml · nonDerivative · entry 5

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,008

F2 · shares: 59,691 shares were sold in an exercise and sell transaction, covering the exercise price and taxes in accordance with the broker's procedures. The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $66.865 to $67.09, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

F2 · price: 59,691 shares were sold in an exercise and sell transaction, covering the exercise price and taxes in accordance with the broker's procedures. The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $66.865 to $67.09, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
August 12, 2021 Filed Aug 16, 2021 21:51 UTC
Elkins David VEVP, Chief Financial Officer
Exercise / conversionCommon Stock, $0.10 par value 59,691 $48.49 $2,894,416.59
Disclosure

SEC source: 0000014272-21-000202 · wf-form4_162915069428711.xml · nonDerivative · entry 4

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,699

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 12, 2021 Filed Aug 16, 2021 21:51 UTC
Elkins David VEVP, Chief Financial Officer
Exercise / conversionCommon Stock, $0.10 par value 4,129 $48.49 $200,215.21
Disclosure

SEC source: 0000014272-21-000202 · wf-form4_162915069428711.xml · nonDerivative · entry 3

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,008

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Shares acquired from options exercised in a net exercise and hold transaction with broker.

F1 · price: Shares acquired from options exercised in a net exercise and hold transaction with broker.

Read SEC document
August 12, 2021 Filed Aug 16, 2021 21:51 UTC
Elkins David VEVP, Chief Financial Officer
Exercise / conversionCommon Stock, $0.10 par value 6,180 $48.49 $299,668.20
Disclosure

SEC source: 0000014272-21-000202 · wf-form4_162915069428711.xml · nonDerivative · entry 2

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,879

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Shares acquired from options exercised in a net exercise and hold transaction with broker.

F1 · price: Shares acquired from options exercised in a net exercise and hold transaction with broker.

Read SEC document
August 12, 2021 Filed Aug 16, 2021 21:51 UTC
Elkins David VEVP, Chief Financial Officer
SaleCommon Stock, $0.10 par value 40,000 $66.88 $2,675,200.00
Disclosure

SEC source: 0000014272-21-000202 · wf-form4_162915069428711.xml · nonDerivative · entry 1

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,699

Read SEC document
August 03, 2021 Filed Aug 4, 2021 20:46 UTC
Powell AnnEVP, Chief Human Resources
SaleCommon Stock, $0.10 par value 23,280 $68.57 $1,596,309.60
Disclosure

SEC source: 0000014272-21-000199 · wf-form4_162810995742056.xml · nonDerivative · entry 1

Powell Ann · CIK 0001570844 · EVP, Chief Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,613.088

F1 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $68.560 to $68.595, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
August 02, 2021 Filed Aug 4, 2021 20:47 UTC
Caforio GiovanniDirector · Chairman and CEO
SaleCommon Stock, $0.10 par value 20,000 $68.58 $1,371,600.00
Disclosure

SEC source: 0000014272-21-000200 · wf-form4_162811000861370.xml · nonDerivative · entry 1

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 508,980.333

F1 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $68.570 to $68.595, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
August 01, 2021 Filed Aug 3, 2021 20:55 UTC
Elkins David VEVP, Chief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 46,403 $0.00 $0.00
Disclosure

SEC source: 0000014272-21-000195 · wf-form4_162802411019076.xml · derivative · entry 4

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 46,403 shares

Expires 2021-08-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Each restricted stock unit converts into one share of common stock upon vesting.

F1 · derivative.exercise_date: The restricted stock units vest in three equal installments beginning on August 1, 2019.

F1 · derivative.expiration_date: The restricted stock units vest in three equal installments beginning on August 1, 2019.

Read SEC document
August 01, 2021 Filed Aug 3, 2021 20:55 UTC
Elkins David VEVP, Chief Financial Officer
Tax withholdingCommon Stock, $0.10 par value 23,736 $67.87 $1,610,962.32
Disclosure

SEC source: 0000014272-21-000195 · wf-form4_162802411019076.xml · nonDerivative · entry 2

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,699

F2 · shares: Shares withheld for payment of taxes upon vesting of restricted stock units.

Read SEC document
August 01, 2021 Filed Aug 3, 2021 20:55 UTC
Elkins David VEVP, Chief Financial Officer
Exercise / conversionCommon Stock, $0.10 par value 46,403 $0.00 $0.00
Disclosure

SEC source: 0000014272-21-000195 · wf-form4_162802411019076.xml · nonDerivative · entry 1

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,435

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The restricted stock units vest in three equal installments beginning on August 1, 2019.

Read SEC document
July 30, 2021 Filed Aug 3, 2021 20:49 UTC
von Autenried PaulEVP, Chief Information Officer
GiftCommon Stock, $0.10 par value 114,670.066 $0.00 $0.00
Disclosure

SEC source: 0000014272-21-000192 · wf-form4_162802370062823.xml · nonDerivative · entry 3

von Autenried Paul · CIK 0001524143 · EVP, Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Trust

Disclosed balance after: 114,670.066

F1 · ownership.nature: Reporting person transferred shares to a Spousal Lifetime Access Trust (SLAT).

Read SEC document
July 30, 2021 Filed Aug 3, 2021 20:49 UTC
von Autenried PaulEVP, Chief Information Officer
GiftCommon Stock, $0.10 par value 114,670.066 $0.00 $0.00
Disclosure

SEC source: 0000014272-21-000192 · wf-form4_162802370062823.xml · nonDerivative · entry 2

von Autenried Paul · CIK 0001524143 · EVP, Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Read SEC document
July 30, 2021 Filed Aug 3, 2021 20:49 UTC
von Autenried PaulEVP, Chief Information Officer
SaleCommon Stock, $0.10 par value 25,000 $68.06 $1,701,375.00
Disclosure

SEC source: 0000014272-21-000192 · wf-form4_162802370062823.xml · nonDerivative · entry 1

von Autenried Paul · CIK 0001524143 · EVP, Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,670.066

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.