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BRISTOL MYERS SQUIBB CO

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1662
SEC CIK
0000014272
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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 22:17 UTC Exercise / conversionCommon Stock, $0.10 par value 682 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000125 · wf-form4_158405145926845.xml · nonDerivative · entry 7

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,682

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 of market share units granted on March 10, 2018.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:17 UTC Tax withholdingCommon Stock, $0.10 par value 165 $57.93 $9,558.45
Disclosure

SEC source: 0000014272-20-000125 · wf-form4_158405145926845.xml · nonDerivative · entry 6

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

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

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:17 UTC OtherCommon Stock, $0.10 par value 46 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000125 · wf-form4_158405145926845.xml · nonDerivative · entry 5

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,165

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 22:17 UTC Exercise / conversionCommon Stock, $0.10 par value 410 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000125 · wf-form4_158405145926845.xml · nonDerivative · entry 4

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,119

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 22:17 UTC Tax withholdingCommon Stock, $0.10 par value 126 $57.93 $7,299.18
Disclosure

SEC source: 0000014272-20-000125 · wf-form4_158405145926845.xml · nonDerivative · entry 3

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,709

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

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:17 UTC OtherCommon Stock, $0.10 par value 6 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000125 · wf-form4_158405145926845.xml · nonDerivative · entry 2

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,835

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 22:17 UTC Exercise / conversionCommon Stock, $0.10 par value 354 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000125 · wf-form4_158405145926845.xml · nonDerivative · entry 1

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,841

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 22:18 UTC
Schmukler Louis SEVP,Pres.,Glob.Prod. & Supply
GrantPerformance Shares · Derivative 24,264 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000126 · wf-form4_158405148262875.xml · derivative · entry 22

Schmukler Louis S · CIK 0001530894 · EVP,Pres.,Glob.Prod. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,264

Underlying: Common Stock, $0.10 par value · 24,264 shares

Expires 2023-03-10

F13 · derivative.exercise_price: Each performance share unit converts into one share of common stock upon distribution in the first quarter of 2023.

F13 · 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 22:18 UTC
Schmukler Louis SEVP,Pres.,Glob.Prod. & Supply
Exercise / conversionPerformance Shares · Derivative 18,014 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000126 · wf-form4_158405148262875.xml · derivative · entry 21

Schmukler Louis S · CIK 0001530894 · EVP,Pres.,Glob.Prod. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 18,014 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.

F12 · 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.

F12 · 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 22:18 UTC
Schmukler Louis SEVP,Pres.,Glob.Prod. & Supply
GrantMarket Share Units · Derivative 16,176 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000126 · wf-form4_158405148262875.xml · derivative · entry 20

Schmukler Louis S · CIK 0001530894 · EVP,Pres.,Glob.Prod. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,176

Underlying: Common Stock, $0.10 par value · 16,176 shares

Expires 2024-03-10

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%.

F11 · derivative.exercise_date: Twenty-five percent of the market share unit award 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 22:18 UTC
Schmukler Louis SEVP,Pres.,Glob.Prod. & Supply
Exercise / conversionMarket Share Units · Derivative 3,902 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000126 · wf-form4_158405148262875.xml · derivative · entry 19

Schmukler Louis S · CIK 0001530894 · EVP,Pres.,Glob.Prod. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,706

Underlying: Common Stock, $0.10 par value · 3,902 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 of market share units granted on March 10, 2019.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:18 UTC
Schmukler Louis SEVP,Pres.,Glob.Prod. & Supply
Exercise / conversionMarket Share Units · Derivative 2,946 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000126 · wf-form4_158405148262875.xml · derivative · entry 18

Schmukler Louis S · CIK 0001530894 · EVP,Pres.,Glob.Prod. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,895

Underlying: Common Stock, $0.10 par value · 2,946 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 of market share units granted on March 10, 2018.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:18 UTC
Schmukler Louis SEVP,Pres.,Glob.Prod. & Supply
Exercise / conversionMarket Share Units · Derivative 3,002 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000126 · wf-form4_158405148262875.xml · derivative · entry 17

Schmukler Louis S · CIK 0001530894 · EVP,Pres.,Glob.Prod. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,005

Underlying: Common Stock, $0.10 par value · 3,002 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 of market share units granted on March 10, 2017.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:18 UTC
Schmukler Louis SEVP,Pres.,Glob.Prod. & Supply
Exercise / conversionMarket Share Units · Derivative 2,655 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000126 · wf-form4_158405148262875.xml · derivative · entry 16

Schmukler Louis S · CIK 0001530894 · EVP,Pres.,Glob.Prod. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 2,655 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 of market share units granted on March 10, 2016.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:18 UTC
Schmukler Louis SEVP,Pres.,Glob.Prod. & Supply
Tax withholdingCommon Stock, $0.10 par value 8,409 $57.93 $487,133.37
Disclosure

SEC source: 0000014272-20-000126 · wf-form4_158405148262875.xml · nonDerivative · entry 15

Schmukler Louis S · CIK 0001530894 · EVP,Pres.,Glob.Prod. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,777.466

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

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:18 UTC
Schmukler Louis SEVP,Pres.,Glob.Prod. & Supply
OtherCommon Stock, $0.10 par value 1,807 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000126 · wf-form4_158405148262875.xml · nonDerivative · entry 14

Schmukler Louis S · CIK 0001530894 · EVP,Pres.,Glob.Prod. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,186.466

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 22:18 UTC
Schmukler Louis SEVP,Pres.,Glob.Prod. & Supply
Exercise / conversionCommon Stock, $0.10 par value 18,014 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000126 · wf-form4_158405148262875.xml · nonDerivative · entry 13

Schmukler Louis S · CIK 0001530894 · EVP,Pres.,Glob.Prod. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,379.466

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 22:18 UTC
Schmukler Louis SEVP,Pres.,Glob.Prod. & Supply
Tax withholdingCommon Stock, $0.10 par value 2,026 $57.93 $117,366.18
Disclosure

SEC source: 0000014272-20-000126 · wf-form4_158405148262875.xml · nonDerivative · entry 12

Schmukler Louis S · CIK 0001530894 · EVP,Pres.,Glob.Prod. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,365.466

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

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:18 UTC
Schmukler Louis SEVP,Pres.,Glob.Prod. & Supply
OtherCommon Stock, $0.10 par value 874 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000126 · wf-form4_158405148262875.xml · nonDerivative · entry 11

Schmukler Louis S · CIK 0001530894 · EVP,Pres.,Glob.Prod. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,391.466

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 22:18 UTC
Schmukler Louis SEVP,Pres.,Glob.Prod. & Supply
Exercise / conversionCommon Stock, $0.10 par value 3,902 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000126 · wf-form4_158405148262875.xml · nonDerivative · entry 10

Schmukler Louis S · CIK 0001530894 · EVP,Pres.,Glob.Prod. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,517.466

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 of market share units granted on March 10, 2019.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:18 UTC
Schmukler Louis SEVP,Pres.,Glob.Prod. & Supply
Tax withholdingCommon Stock, $0.10 par value 1,190 $57.93 $68,936.70
Disclosure

SEC source: 0000014272-20-000126 · wf-form4_158405148262875.xml · nonDerivative · entry 9

Schmukler Louis S · CIK 0001530894 · EVP,Pres.,Glob.Prod. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,615.466

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

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:18 UTC
Schmukler Louis SEVP,Pres.,Glob.Prod. & Supply
OtherCommon Stock, $0.10 par value 141 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000126 · wf-form4_158405148262875.xml · nonDerivative · entry 8

Schmukler Louis S · CIK 0001530894 · EVP,Pres.,Glob.Prod. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,805.466

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 22:18 UTC
Schmukler Louis SEVP,Pres.,Glob.Prod. & Supply
Exercise / conversionCommon Stock, $0.10 par value 2,946 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000126 · wf-form4_158405148262875.xml · nonDerivative · entry 7

Schmukler Louis S · CIK 0001530894 · EVP,Pres.,Glob.Prod. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,946.466

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 of market share units granted on March 10, 2018.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:18 UTC
Schmukler Louis SEVP,Pres.,Glob.Prod. & Supply
Tax withholdingCommon Stock, $0.10 par value 1,198 $57.93 $69,400.14
Disclosure

SEC source: 0000014272-20-000126 · wf-form4_158405148262875.xml · nonDerivative · entry 6

Schmukler Louis S · CIK 0001530894 · EVP,Pres.,Glob.Prod. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,000.466

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

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:18 UTC
Schmukler Louis SEVP,Pres.,Glob.Prod. & Supply
OtherCommon Stock, $0.10 par value 338 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000126 · wf-form4_158405148262875.xml · nonDerivative · entry 5

Schmukler Louis S · CIK 0001530894 · EVP,Pres.,Glob.Prod. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,198.466

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 22:18 UTC
Schmukler Louis SEVP,Pres.,Glob.Prod. & Supply
Exercise / conversionCommon Stock, $0.10 par value 3,002 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000126 · wf-form4_158405148262875.xml · nonDerivative · entry 4

Schmukler Louis S · CIK 0001530894 · EVP,Pres.,Glob.Prod. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,860.466

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 22:18 UTC
Schmukler Louis SEVP,Pres.,Glob.Prod. & Supply
Tax withholdingCommon Stock, $0.10 par value 717 $57.93 $41,535.81
Disclosure

SEC source: 0000014272-20-000126 · wf-form4_158405148262875.xml · nonDerivative · entry 3

Schmukler Louis S · CIK 0001530894 · EVP,Pres.,Glob.Prod. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,858.466

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

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:18 UTC
Schmukler Louis SEVP,Pres.,Glob.Prod. & Supply
OtherCommon Stock, $0.10 par value 43 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000126 · wf-form4_158405148262875.xml · nonDerivative · entry 2

Schmukler Louis S · CIK 0001530894 · EVP,Pres.,Glob.Prod. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,575.466

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 22:18 UTC
Schmukler Louis SEVP,Pres.,Glob.Prod. & Supply
Exercise / conversionCommon Stock, $0.10 par value 2,655 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000126 · wf-form4_158405148262875.xml · nonDerivative · entry 1

Schmukler Louis S · CIK 0001530894 · EVP,Pres.,Glob.Prod. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,618.466

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 22:18 UTC
Vessey RupertEVP, Research & Early Dev.
GrantPerformance Shares · Derivative 44,541 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000127 · wf-form4_158405150564304.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,541

Underlying: Common Stock, $0.10 par value · 44,541 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.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:18 UTC
Vessey RupertEVP, Research & Early Dev.
GrantMarket Share Units · Derivative 29,694 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000127 · wf-form4_158405150564304.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,694

Underlying: Common Stock, $0.10 par value · 29,694 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.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:19 UTC
von Autenried PaulEVP, Chief Information Officer
GrantPerformance Shares · Derivative 13,900 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000128 · wf-form4_158405152623782.xml · derivative · entry 22

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,900

Underlying: Common Stock, $0.10 par value · 13,900 shares

Expires 2023-03-10

F13 · derivative.exercise_price: Each performance share unit converts into one share of common stock upon distribution in the first quarter of 2023.

F13 · 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 22:19 UTC
von Autenried PaulEVP, Chief Information Officer
Exercise / conversionPerformance Shares · Derivative 12,321 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000128 · wf-form4_158405152623782.xml · derivative · entry 21

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 12,321 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.

F12 · 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.

F12 · 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 22:19 UTC
von Autenried PaulEVP, Chief Information Officer
GrantMarket Share Units · Derivative 9,267 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000128 · wf-form4_158405152623782.xml · derivative · entry 20

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,267

Underlying: Common Stock, $0.10 par value · 9,267 shares

Expires 2024-03-10

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%.

F11 · 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 22:19 UTC
von Autenried PaulEVP, Chief Information Officer
Exercise / conversionMarket Share Units · Derivative 2,512 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000128 · wf-form4_158405152623782.xml · derivative · entry 19

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,538

Underlying: Common Stock, $0.10 par value · 2,512 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 of market share units granted on March 10, 2019.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:19 UTC
von Autenried PaulEVP, Chief Information Officer
Exercise / conversionMarket Share Units · Derivative 1,917 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000128 · wf-form4_158405152623782.xml · derivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,834

Underlying: Common Stock, $0.10 par value · 1,917 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 of market share units granted on March 10, 2018.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:19 UTC
von Autenried PaulEVP, Chief Information Officer
Exercise / conversionMarket Share Units · Derivative 2,053 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000128 · wf-form4_158405152623782.xml · derivative · entry 17

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,055

Underlying: Common Stock, $0.10 par value · 2,053 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 of market share units granted on March 10, 2017.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:19 UTC
von Autenried PaulEVP, Chief Information Officer
Exercise / conversionMarket Share Units · Derivative 2,003 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000128 · wf-form4_158405152623782.xml · derivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 2,003 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 of market share units granted on March 10, 2016.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:19 UTC
von Autenried PaulEVP, Chief Information Officer
Tax withholdingCommon Stock, $0.10 par value 6,935 $57.93 $401,744.55
Disclosure

SEC source: 0000014272-20-000128 · wf-form4_158405152623782.xml · nonDerivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,701.066

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

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:19 UTC
von Autenried PaulEVP, Chief Information Officer
OtherCommon Stock, $0.10 par value 1,236 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000128 · wf-form4_158405152623782.xml · nonDerivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,636.066

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 22:19 UTC
von Autenried PaulEVP, Chief Information Officer
Exercise / conversionCommon Stock, $0.10 par value 12,321 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000128 · wf-form4_158405152623782.xml · nonDerivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,400.066

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 22:19 UTC
von Autenried PaulEVP, Chief Information Officer
Tax withholdingCommon Stock, $0.10 par value 1,573 $57.93 $91,123.89
Disclosure

SEC source: 0000014272-20-000128 · wf-form4_158405152623782.xml · nonDerivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,079.066

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

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:19 UTC
von Autenried PaulEVP, Chief Information Officer
OtherCommon Stock, $0.10 par value 563 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000128 · wf-form4_158405152623782.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,652.066

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 22:19 UTC
von Autenried PaulEVP, Chief Information Officer
Exercise / conversionCommon Stock, $0.10 par value 2,512 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000128 · wf-form4_158405152623782.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,089.066

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 of market share units granted on March 10, 2019.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:19 UTC
von Autenried PaulEVP, Chief Information Officer
Tax withholdingCommon Stock, $0.10 par value 691 $57.93 $40,029.63
Disclosure

SEC source: 0000014272-20-000128 · wf-form4_158405152623782.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,577.066

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

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:19 UTC
von Autenried PaulEVP, Chief Information Officer
OtherCommon Stock, $0.10 par value 92 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000128 · wf-form4_158405152623782.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,268.066

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 22:19 UTC
von Autenried PaulEVP, Chief Information Officer
Exercise / conversionCommon Stock, $0.10 par value 1,917 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000128 · wf-form4_158405152623782.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,360.066

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 of market share units granted on March 10, 2018.

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:19 UTC
von Autenried PaulEVP, Chief Information Officer
Tax withholdingCommon Stock, $0.10 par value 826 $57.93 $47,850.18
Disclosure

SEC source: 0000014272-20-000128 · wf-form4_158405152623782.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,443.066

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

Read SEC document
March 10, 2020 Filed Mar 12, 2020 22:19 UTC
von Autenried PaulEVP, Chief Information Officer
OtherCommon Stock, $0.10 par value 231 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000128 · wf-form4_158405152623782.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,269.066

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 22:19 UTC
von Autenried PaulEVP, Chief Information Officer
Exercise / conversionCommon Stock, $0.10 par value 2,053 $0.00 $0.00
Disclosure

SEC source: 0000014272-20-000128 · wf-form4_158405152623782.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,038.066

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

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