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BRISTOL MYERS SQUIBB CO

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1662
SEC CIK
0000014272
Parsed reports
2,253

Last 12 months

Inside the activity.

0 purchase rows · 4 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202602
May 202600
Jun 202600
Jul 202600
Aug 202601
Sep 202601
Oct 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
March 10, 2020 Filed Mar 12, 2020 22:12 UTC
Dubow AdamSVP,ChiefCompliance&EthicsOff.
OtherCommon Stock, $0.10 par value 51 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000116 · wf-form4_158405115682878.xml · nonDerivative · entry 5

Dubow Adam · CIK 0001744507 · SVP,ChiefCompliance&EthicsOff.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,484.152

F5 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:12 UTC
Dubow AdamSVP,ChiefCompliance&EthicsOff.
Exercise / conversionCommon Stock, $0.10 par value 451 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000116 · wf-form4_158405115682878.xml · nonDerivative · entry 4

Dubow Adam · CIK 0001744507 · SVP,ChiefCompliance&EthicsOff.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,433.152

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 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2017.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:12 UTC
Dubow AdamSVP,ChiefCompliance&EthicsOff.
Tax withholdingCommon Stock, $0.10 par value 133 $57.93 $7,704.69
Disclosure

SEC source: 0000014272-20-000116 · wf-form4_158405115682878.xml · nonDerivative · entry 3

Dubow Adam · CIK 0001744507 · SVP,ChiefCompliance&EthicsOff.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,982.152

F3 · shares: Shares withheld for payment of taxes upon vesting.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:12 UTC
Dubow AdamSVP,ChiefCompliance&EthicsOff.
OtherCommon Stock, $0.10 par value 6 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000116 · wf-form4_158405115682878.xml · nonDerivative · entry 2

Dubow Adam · CIK 0001744507 · SVP,ChiefCompliance&EthicsOff.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,115.152

F2 · shares: Represents a downward adjustment to the number of shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:12 UTC
Dubow AdamSVP,ChiefCompliance&EthicsOff.
Exercise / conversionCommon Stock, $0.10 par value 372 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000116 · wf-form4_158405115682878.xml · nonDerivative · entry 1

Dubow Adam · CIK 0001744507 · SVP,ChiefCompliance&EthicsOff.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,121.152

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: Represents vesting of one-quarter of market share units granted on March 10, 2016.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:13 UTC
Eid JosephSVP,Head Glob. Medical Affairs
GrantPerformance Shares · Derivative 4,875 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000118 · wf-form4_158405119994754.xml · derivative · entry 10

Eid Joseph · CIK 0001780247 · SVP,Head Glob. Medical Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,875

Underlying: Common Stock, $0.10 par value · 4,875 shares

Expires 2023-03-10

F8 · derivative.exercise_price: Each performance share unit converts into one share of common stock upon distribution in the first quarter of 2023.

F8 · derivative.exercise_date: Each performance share unit converts into one share of common stock upon distribution in the first quarter of 2023.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:13 UTC
Eid JosephSVP,Head Glob. Medical Affairs
GrantMarket Share Units · Derivative 3,250 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000118 · wf-form4_158405119994754.xml · derivative · entry 9

Eid Joseph · CIK 0001780247 · SVP,Head Glob. Medical Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,250

Underlying: Common Stock, $0.10 par value · 3,250 shares

Expires 2024-03-10

F6 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F7 · derivative.exercise_date: Twenty-five percent of these market share units will vest on each of the first, second, third and fourth anniversaries of the grant date.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:13 UTC
Eid JosephSVP,Head Glob. Medical Affairs
Exercise / conversionMarket Share Units · Derivative 946 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000118 · wf-form4_158405119994754.xml · derivative · entry 8

Eid Joseph · CIK 0001780247 · SVP,Head Glob. Medical Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,838

Underlying: Common Stock, $0.10 par value · 946 shares

Expires 2023-03-10

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.

F6 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F4 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2019.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:13 UTC
Eid JosephSVP,Head Glob. Medical Affairs
Exercise / conversionMarket Share Units · Derivative 625 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000118 · wf-form4_158405119994754.xml · derivative · entry 7

Eid Joseph · CIK 0001780247 · SVP,Head Glob. Medical Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,251

Underlying: Common Stock, $0.10 par value · 625 shares

Expires 2022-03-10

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.

F6 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F1 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2018.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:13 UTC
Eid JosephSVP,Head Glob. Medical Affairs
Tax withholdingCommon Stock, $0.10 par value 419 $57.93 $24,272.67
Disclosure

SEC source: 0000014272-20-000118 · wf-form4_158405119994754.xml · nonDerivative · entry 6

Eid Joseph · CIK 0001780247 · SVP,Head Glob. Medical Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,445

F3 · shares: Shares withheld for payment of taxes upon vesting.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:13 UTC
Eid JosephSVP,Head Glob. Medical Affairs
OtherCommon Stock, $0.10 par value 212 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000118 · wf-form4_158405119994754.xml · nonDerivative · entry 5

Eid Joseph · CIK 0001780247 · SVP,Head Glob. Medical Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,864

F5 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:13 UTC
Eid JosephSVP,Head Glob. Medical Affairs
Exercise / conversionCommon Stock, $0.10 par value 946 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000118 · wf-form4_158405119994754.xml · nonDerivative · entry 4

Eid Joseph · CIK 0001780247 · SVP,Head Glob. Medical Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,652

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 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2019.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:13 UTC
Eid JosephSVP,Head Glob. Medical Affairs
Tax withholdingCommon Stock, $0.10 par value 216 $57.93 $12,512.88
Disclosure

SEC source: 0000014272-20-000118 · wf-form4_158405119994754.xml · nonDerivative · entry 3

Eid Joseph · CIK 0001780247 · SVP,Head Glob. Medical Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,706

F3 · shares: Shares withheld for payment of taxes upon vesting.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:13 UTC
Eid JosephSVP,Head Glob. Medical Affairs
OtherCommon Stock, $0.10 par value 30 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000118 · wf-form4_158405119994754.xml · nonDerivative · entry 2

Eid Joseph · CIK 0001780247 · SVP,Head Glob. Medical Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,922

F2 · shares: Represents a downward adjustment to the number of shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:13 UTC
Eid JosephSVP,Head Glob. Medical Affairs
Exercise / conversionCommon Stock, $0.10 par value 625 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000118 · wf-form4_158405119994754.xml · nonDerivative · entry 1

Eid Joseph · CIK 0001780247 · SVP,Head Glob. Medical Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,952

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: Represents vesting of one-quarter of market share units granted on March 10, 2018.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:14 UTC
Elicker John EEVP, Investor Relations
Exercise / conversionPerformance Shares · Derivative 11,341 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000119 · wf-form4_158405122103148.xml · derivative · entry 20

Elicker John E · CIK 0001554788 · EVP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 11,341 shares

Expires 2020-03-10

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.

F11 · derivative.exercise_price: Each performance share unit converts into one share of common stock upon distribution in the first quarter of 2020, subject to a Total Shareholder Return.

F11 · derivative.exercise_date: Each performance share unit converts into one share of common stock upon distribution in the first quarter of 2020, subject to a Total Shareholder Return.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:14 UTC
Elicker John EEVP, Investor Relations
Exercise / conversionMarket Share Units · Derivative 2,161 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000119 · wf-form4_158405122103148.xml · derivative · entry 19

Elicker John E · CIK 0001554788 · EVP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,484

Underlying: Common Stock, $0.10 par value · 2,161 shares

Expires 2023-03-10

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.

F10 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F7 · derivative.exercise_date: Represents vesting of one-quarter or market share units granted on March 10, 2019.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:14 UTC
Elicker John EEVP, Investor Relations
Exercise / conversionMarket Share Units · Derivative 1,666 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000119 · wf-form4_158405122103148.xml · derivative · entry 18

Elicker John E · CIK 0001554788 · EVP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,332

Underlying: Common Stock, $0.10 par value · 1,666 shares

Expires 2022-03-10

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.

F10 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F6 · derivative.exercise_date: Represents vesting of one-quarter or market share units granted on March 10, 2018.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:14 UTC
Elicker John EEVP, Investor Relations
Exercise / conversionMarket Share Units · Derivative 1,890 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000119 · wf-form4_158405122103148.xml · derivative · entry 17

Elicker John E · CIK 0001554788 · EVP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,891

Underlying: Common Stock, $0.10 par value · 1,890 shares

Expires 2021-03-10

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.

F10 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F4 · derivative.exercise_date: Represents vesting of one-quarter or market share units granted on March 10, 2017.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:14 UTC
Elicker John EEVP, Investor Relations
Exercise / conversionMarket Share Units · Derivative 1,349 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000119 · wf-form4_158405122103148.xml · derivative · entry 16

Elicker John E · CIK 0001554788 · EVP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 1,349 shares

Expires 2020-03-10

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.

F10 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F1 · derivative.exercise_date: Represents vesting of one-quarter or market share units granted on March 10, 2016.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:14 UTC
Elicker John EEVP, Investor Relations
Tax withholdingCommon Stock, $0.10 par value 5,294 $57.93 $306,681.42
Disclosure

SEC source: 0000014272-20-000119 · wf-form4_158405122103148.xml · nonDerivative · entry 15

Elicker John E · CIK 0001554788 · EVP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,945.583

F3 · shares: Shares withheld for payment of taxes upon vesting.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:14 UTC
Elicker John EEVP, Investor Relations
OtherCommon Stock, $0.10 par value 1,138 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000119 · wf-form4_158405122103148.xml · nonDerivative · entry 14

Elicker John E · CIK 0001554788 · EVP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,239.583

F9 · shares: Adjustment to Award based on the performance factor applied in accordance with the terms of the Award and certification of performance results by the Board.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:14 UTC
Elicker John EEVP, Investor Relations
Exercise / conversionCommon Stock, $0.10 par value 11,341 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000119 · wf-form4_158405122103148.xml · nonDerivative · entry 13

Elicker John E · CIK 0001554788 · EVP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,101.583

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.

F8 · shares: Amount represents distribution of performance shares earned under the 2017-2019 Long-Term Performance Award.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:14 UTC
Elicker John EEVP, Investor Relations
Tax withholdingCommon Stock, $0.10 par value 1,123 $57.93 $65,055.39
Disclosure

SEC source: 0000014272-20-000119 · wf-form4_158405122103148.xml · nonDerivative · entry 12

Elicker John E · CIK 0001554788 · EVP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,760.583

F3 · shares: Shares withheld for payment of taxes upon vesting.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:14 UTC
Elicker John EEVP, Investor Relations
OtherCommon Stock, $0.10 par value 484 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000119 · wf-form4_158405122103148.xml · nonDerivative · entry 11

Elicker John E · CIK 0001554788 · EVP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,883.583

F5 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:14 UTC
Elicker John EEVP, Investor Relations
Exercise / conversionCommon Stock, $0.10 par value 2,161 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000119 · wf-form4_158405122103148.xml · nonDerivative · entry 10

Elicker John E · CIK 0001554788 · EVP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,399.583

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.

F7 · shares: Represents vesting of one-quarter or market share units granted on March 10, 2019.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:14 UTC
Elicker John EEVP, Investor Relations
Tax withholdingCommon Stock, $0.10 par value 502 $57.93 $29,080.86
Disclosure

SEC source: 0000014272-20-000119 · wf-form4_158405122103148.xml · nonDerivative · entry 9

Elicker John E · CIK 0001554788 · EVP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,238.583

F3 · shares: Shares withheld for payment of taxes upon vesting.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:14 UTC
Elicker John EEVP, Investor Relations
OtherCommon Stock, $0.10 par value 80 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000119 · wf-form4_158405122103148.xml · nonDerivative · entry 8

Elicker John E · CIK 0001554788 · EVP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,740.583

F2 · shares: Represents a downward adjustment to the number of shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:14 UTC
Elicker John EEVP, Investor Relations
Exercise / conversionCommon Stock, $0.10 par value 1,666 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000119 · wf-form4_158405122103148.xml · nonDerivative · entry 7

Elicker John E · CIK 0001554788 · EVP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,820.583

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.

F6 · shares: Represents vesting of one-quarter or market share units granted on March 10, 2018.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:14 UTC
Elicker John EEVP, Investor Relations
Tax withholdingCommon Stock, $0.10 par value 577 $57.93 $33,425.61
Disclosure

SEC source: 0000014272-20-000119 · wf-form4_158405122103148.xml · nonDerivative · entry 6

Elicker John E · CIK 0001554788 · EVP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,154.583

F3 · shares: Shares withheld for payment of taxes upon vesting.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:14 UTC
Elicker John EEVP, Investor Relations
OtherCommon Stock, $0.10 par value 213 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000119 · wf-form4_158405122103148.xml · nonDerivative · entry 5

Elicker John E · CIK 0001554788 · EVP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,731.583

F5 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:14 UTC
Elicker John EEVP, Investor Relations
Exercise / conversionCommon Stock, $0.10 par value 1,890 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000119 · wf-form4_158405122103148.xml · nonDerivative · entry 4

Elicker John E · CIK 0001554788 · EVP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,518.583

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 · shares: Represents vesting of one-quarter or market share units granted on March 10, 2017.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:14 UTC
Elicker John EEVP, Investor Relations
Tax withholdingCommon Stock, $0.10 par value 364 $57.93 $21,086.52
Disclosure

SEC source: 0000014272-20-000119 · wf-form4_158405122103148.xml · nonDerivative · entry 3

Elicker John E · CIK 0001554788 · EVP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,628.583

F3 · shares: Shares withheld for payment of taxes upon vesting.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:14 UTC
Elicker John EEVP, Investor Relations
OtherCommon Stock, $0.10 par value 22 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000119 · wf-form4_158405122103148.xml · nonDerivative · entry 2

Elicker John E · CIK 0001554788 · EVP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,992.583

F2 · shares: Represents a downward adjustment to the number of shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:14 UTC
Elicker John EEVP, Investor Relations
Exercise / conversionCommon Stock, $0.10 par value 1,349 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000119 · wf-form4_158405122103148.xml · nonDerivative · entry 1

Elicker John E · CIK 0001554788 · EVP, Investor Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,014.583

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: Represents vesting of one-quarter or market share units granted on March 10, 2016.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:14 UTC
Elkins David VEVP, Chief Financial Officer
GrantPerformance Shares · Derivative 48,152 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000120 · wf-form4_158405127070532.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,152

Underlying: Common Stock, $0.10 par value · 48,152 shares

Expires 2023-03-10

F3 · derivative.exercise_price: Each performance share unit converts into one share of common stock upon distribution in the first quarter of 2023.

F3 · derivative.exercise_date: Each performance share unit converts into one share of common stock upon distribution in the first quarter of 2023.

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March 10, 2020 Filed Mar 12, 2020 22:14 UTC
Elkins David VEVP, Chief Financial Officer
GrantMarket Share Units · Derivative 32,102 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000120 · wf-form4_158405127070532.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,102

Underlying: Common Stock, $0.10 par value · 32,102 shares

Expires 2024-03-10

F1 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F2 · derivative.exercise_date: Twenty-five percent of these market share units will vest on each of the first, second, third and fourth anniversaries of the grant date.

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March 10, 2020 Filed Mar 12, 2020 22:15 UTC
Hirawat SamitEVP,Chief Med.Offr.,Drug Dev.
GrantPerformance Shares · Derivative 25,139 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000121 · wf-form4_158405129192763.xml · derivative · entry 2

Hirawat Samit · CIK 0001781290 · EVP,Chief Med.Offr.,Drug Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,139

Underlying: Common Stock, $0.10 par value · 25,139 shares

Expires 2023-03-10

F3 · derivative.exercise_price: Each performance share unit converts into one share of common stock upon distribution in the first quarter of 2023.

F3 · derivative.exercise_date: Each performance share unit converts into one share of common stock upon distribution in the first quarter of 2023.

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March 10, 2020 Filed Mar 12, 2020 22:15 UTC
Hirawat SamitEVP,Chief Med.Offr.,Drug Dev.
GrantMarket Share Units · Derivative 16,759 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000121 · wf-form4_158405129192763.xml · derivative · entry 1

Hirawat Samit · CIK 0001781290 · EVP,Chief Med.Offr.,Drug Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,759

Underlying: Common Stock, $0.10 par value · 16,759 shares

Expires 2024-03-10

F1 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F2 · derivative.exercise_date: Twenty-five percent of these market share units will vest on each of the first, second, third and fourth anniversaries of the grant date.

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March 10, 2020 Filed Mar 12, 2020 22:15 UTC
LEUNG SANDRAEVP, General Counsel
GrantPerformance Shares · Derivative 34,726 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000122 · wf-form4_158405131532577.xml · derivative · entry 23

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,726

Underlying: Common Stock, $0.10 par value · 34,726 shares

Expires 2023-03-10

F14 · derivative.exercise_price: Each performance share unit converts into one share of common stock upon distribution in the first quarter of 2023.

F14 · derivative.exercise_date: Each performance share unit converts into one share of common stock upon distribution in the first quarter of 2023.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:15 UTC
LEUNG SANDRAEVP, General Counsel
Exercise / conversionPerformance Shares · Derivative 30,994 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000122 · wf-form4_158405131532577.xml · derivative · entry 22

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 30,994 shares

Expires 2020-03-10

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.

F13 · derivative.exercise_price: Each performance share unit converts into one share of common stock upon distribution in the first quarter of 2020, subject to a Total Shareholder Return.

F13 · derivative.exercise_date: Each performance share unit converts into one share of common stock upon distribution in the first quarter of 2020, subject to a Total Shareholder Return.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:15 UTC
LEUNG SANDRAEVP, General Counsel
GrantMarket Share Units · Derivative 23,150 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000122 · wf-form4_158405131532577.xml · derivative · entry 21

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,150

Underlying: Common Stock, $0.10 par value · 23,150 shares

Expires 2024-03-10

F11 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F12 · derivative.exercise_date: Twenty-five percent of these market share units will vest on each of the first, second, third and fourth anniversaries of the grant date.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:15 UTC
LEUNG SANDRAEVP, General Counsel
Exercise / conversionMarket Share Units · Derivative 6,270 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000122 · wf-form4_158405131532577.xml · derivative · entry 20

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,812

Underlying: Common Stock, $0.10 par value · 6,270 shares

Expires 2023-03-10

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.

F11 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F7 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2019.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:15 UTC
LEUNG SANDRAEVP, General Counsel
Exercise / conversionMarket Share Units · Derivative 4,735 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000122 · wf-form4_158405131532577.xml · derivative · entry 19

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,472

Underlying: Common Stock, $0.10 par value · 4,735 shares

Expires 2022-03-10

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.

F11 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F6 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2018.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:15 UTC
LEUNG SANDRAEVP, General Counsel
Exercise / conversionMarket Share Units · Derivative 5,165 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000122 · wf-form4_158405131532577.xml · derivative · entry 18

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,168

Underlying: Common Stock, $0.10 par value · 5,165 shares

Expires 2021-03-10

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.

F11 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F4 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2017.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:15 UTC
LEUNG SANDRAEVP, General Counsel
Exercise / conversionMarket Share Units · Derivative 4,434 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000122 · wf-form4_158405131532577.xml · derivative · entry 17

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 4,434 shares

Expires 2020-03-10

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.

F11 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F1 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2016.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:15 UTC
LEUNG SANDRAEVP, General Counsel
Tax withholdingCommon Stock, $0.10 par value 17,120 $57.93 $991,761.60
Disclosure

SEC source: 0000014272-20-000122 · wf-form4_158405131532577.xml · nonDerivative · entry 15

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 574,164.333

F3 · shares: Shares withheld for payment of taxes upon vesting.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:15 UTC
LEUNG SANDRAEVP, General Counsel
OtherCommon Stock, $0.10 par value 3,109 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000122 · wf-form4_158405131532577.xml · nonDerivative · entry 14

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 591,284.333

F9 · shares: Adjustment to Award based on the performance factor applied in accordance with the terms of the Award and certification of performance results by the Board.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:15 UTC
LEUNG SANDRAEVP, General Counsel
Exercise / conversionCommon Stock, $0.10 par value 30,994 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000122 · wf-form4_158405131532577.xml · nonDerivative · entry 13

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 588,175.333

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.

F8 · shares: Amount represents distribution of performance shares earned under the 2017-2019 Long-Term Performance Award.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:15 UTC
LEUNG SANDRAEVP, General Counsel
Tax withholdingCommon Stock, $0.10 par value 3,853 $57.93 $223,204.29
Disclosure

SEC source: 0000014272-20-000122 · wf-form4_158405131532577.xml · nonDerivative · entry 12

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 557,181.333

F3 · shares: Shares withheld for payment of taxes upon vesting.

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.