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BRISTOL MYERS SQUIBB CO

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0000014272
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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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Nov 202500
Dec 202500
Jan 202600
Feb 202600
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Apr 202602
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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, 2019 Filed Mar 13, 2019 11:35 UTC
LEUNG SANDRAEVP, General Counsel
Exercise / conversionCommon Stock, $0.10 par value 4,495 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000072 · wf-form4_155247692259903.xml · nonDerivative · entry 1

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 529,119.333

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.

F1 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2015.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:34 UTC
Powell AnnSVP, Global Human Resources
GrantPerformance Shares · Derivative 22,194 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000071 · wf-form4_155247687658108.xml · derivative · entry 21

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,194

Underlying: Common Stock, $0.10 par value · 22,194 shares

Expires 2022-03-10

F11 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2022

F11 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2022

F11 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2022

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:34 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionPerformance Shares · Derivative 14,805 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000071 · wf-form4_155247687658108.xml · derivative · entry 20

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 14,805 shares

Expires 2019-03-10

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 performance share converts into one share of common stock upon distribution in the first quarter of 2019, subject to a Total Shareholder Return modifier.

F7 · shares: Amount represents distribution of performance shares earned under the 2016-2018 Long-Term Performance Award based on the performance factor applied in accordance with the terms of the Award and certification of performance results by the Board.

F10 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2019, subject to a Total Shareholder Return modifier.

F10 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2019, subject to a Total Shareholder Return modifier.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:34 UTC
Powell AnnSVP, Global Human Resources
GrantMarket Share Units · Derivative 14,796 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000071 · wf-form4_155247687658108.xml · derivative · entry 19

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,796

Underlying: Common Stock, $0.10 par value · 14,796 shares

Expires 2023-03-10

F8 · 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%.

F9 · 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, 2019 Filed Mar 13, 2019 11:34 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionMarket Share Units · Derivative 2,793 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000071 · wf-form4_155247687658108.xml · derivative · entry 18

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,381

Underlying: Common Stock, $0.10 par value · 2,793 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.

F8 · 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.

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:34 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionMarket Share Units · Derivative 3,169 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000071 · wf-form4_155247687658108.xml · derivative · entry 17

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,339

Underlying: Common Stock, $0.10 par value · 3,169 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.

F8 · 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%.

F5 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2017.

F5 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2017.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:34 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionMarket Share Units · Derivative 2,492 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000071 · wf-form4_155247687658108.xml · derivative · entry 16

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,492

Underlying: Common Stock, $0.10 par value · 2,492 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.

F8 · 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, 2016.

F4 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2016.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:34 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionMarket Share Units · Derivative 2,318 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000071 · wf-form4_155247687658108.xml · derivative · entry 15

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 2,318 shares

Expires 2019-03-10

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.

F8 · 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, 2015.

F1 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2015.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:34 UTC
Powell AnnSVP, Global Human Resources
Tax withholdingCommon Stock, $0.10 par value 8,136 $51.39 $418,109.04
Disclosure

SEC source: 0000014272-19-000071 · wf-form4_155247687658108.xml · nonDerivative · entry 14

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,371.72

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:34 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionCommon Stock, $0.10 par value 14,805 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000071 · wf-form4_155247687658108.xml · nonDerivative · entry 13

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,507.72

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: Amount represents distribution of performance shares earned under the 2016-2018 Long-Term Performance 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, 2019 Filed Mar 13, 2019 11:34 UTC
Powell AnnSVP, Global Human Resources
Tax withholdingCommon Stock, $0.10 par value 1,172 $51.39 $60,229.08
Disclosure

SEC source: 0000014272-19-000071 · wf-form4_155247687658108.xml · nonDerivative · entry 12

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,702.72

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:34 UTC
Powell AnnSVP, Global Human Resources
OtherCommon Stock, $0.10 par value 661 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000071 · wf-form4_155247687658108.xml · nonDerivative · entry 11

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,874.72

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, 2019 Filed Mar 13, 2019 11:34 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionCommon Stock, $0.10 par value 2,793 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000071 · wf-form4_155247687658108.xml · nonDerivative · entry 10

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,535.72

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, 2019 Filed Mar 13, 2019 11:34 UTC
Powell AnnSVP, Global Human Resources
Tax withholdingCommon Stock, $0.10 par value 1,554 $51.39 $79,860.06
Disclosure

SEC source: 0000014272-19-000071 · wf-form4_155247687658108.xml · nonDerivative · entry 9

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,742.72

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:34 UTC
Powell AnnSVP, Global Human Resources
OtherCommon Stock, $0.10 par value 342 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000071 · wf-form4_155247687658108.xml · nonDerivative · entry 8

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,296.72

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, 2019 Filed Mar 13, 2019 11:34 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionCommon Stock, $0.10 par value 3,169 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000071 · wf-form4_155247687658108.xml · nonDerivative · entry 7

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,638.72

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.

F5 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2017.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:34 UTC
Powell AnnSVP, Global Human Resources
Tax withholdingCommon Stock, $0.10 par value 1,081 $51.39 $55,552.59
Disclosure

SEC source: 0000014272-19-000071 · wf-form4_155247687658108.xml · nonDerivative · entry 6

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,469.72

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:34 UTC
Powell AnnSVP, Global Human Resources
OtherCommon Stock, $0.10 par value 526 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000071 · wf-form4_155247687658108.xml · nonDerivative · entry 5

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,550.72

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, 2019 Filed Mar 13, 2019 11:34 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionCommon Stock, $0.10 par value 2,492 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000071 · wf-form4_155247687658108.xml · nonDerivative · entry 4

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,076.72

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, 2016.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:34 UTC
Powell AnnSVP, Global Human Resources
Tax withholdingCommon Stock, $0.10 par value 1,020 $51.39 $52,417.80
Disclosure

SEC source: 0000014272-19-000071 · wf-form4_155247687658108.xml · nonDerivative · entry 3

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,584.72

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:34 UTC
Powell AnnSVP, Global Human Resources
OtherCommon Stock, $0.10 par value 462 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000071 · wf-form4_155247687658108.xml · nonDerivative · entry 2

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,604.72

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, 2019 Filed Mar 13, 2019 11:34 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionCommon Stock, $0.10 par value 2,318 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000071 · wf-form4_155247687658108.xml · nonDerivative · entry 1

JUDGE ANN POWELL · CIK 0001570844 · SVP, Global Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,066.72

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, 2015.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:36 UTC
Lynch Thomas J. Jr.EVP & Chief Scientific Officer
GrantPerformance Shares · Derivative 44,865 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000073 · wf-form4_155247697557354.xml · derivative · entry 6

Lynch Thomas J. Jr. · CIK 0001474056 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,865

Underlying: Common Stock, $0.10 par value · 44,865 shares

Expires 2022-03-10

F6 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2022.

F6 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2022.

F6 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2022.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:36 UTC
Lynch Thomas J. Jr.EVP & Chief Scientific Officer
GrantMarket Share Units · Derivative 29,910 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000073 · wf-form4_155247697557354.xml · derivative · entry 5

Lynch Thomas J. Jr. · CIK 0001474056 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,910

Underlying: Common Stock, $0.10 par value · 29,910 shares

Expires 2023-03-10

F4 · 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%.

F5 · 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

F5 · derivative.expiration_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, 2019 Filed Mar 13, 2019 11:36 UTC
Lynch Thomas J. Jr.EVP & Chief Scientific Officer
Exercise / conversionMarket Share Units · Derivative 5,864 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000073 · wf-form4_155247697557354.xml · derivative · entry 4

Lynch Thomas J. Jr. · CIK 0001474056 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,593

Underlying: Common Stock, $0.10 par value · 5,864 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.

F4 · 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.

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:36 UTC
Lynch Thomas J. Jr.EVP & Chief Scientific Officer
Tax withholdingCommon Stock, $0.10 par value 2,383 $51.39 $122,462.37
Disclosure

SEC source: 0000014272-19-000073 · wf-form4_155247697557354.xml · nonDerivative · entry 3

Lynch Thomas J. Jr. · CIK 0001474056 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,572.964

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:36 UTC
Lynch Thomas J. Jr.EVP & Chief Scientific Officer
OtherCommon Stock, $0.10 par value 1,387 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000073 · wf-form4_155247697557354.xml · nonDerivative · entry 2

Lynch Thomas J. Jr. · CIK 0001474056 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,955.964

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, 2019 Filed Mar 13, 2019 11:36 UTC
Lynch Thomas J. Jr.EVP & Chief Scientific Officer
Exercise / conversionCommon Stock, $0.10 par value 5,864 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000073 · wf-form4_155247697557354.xml · nonDerivative · entry 1

Lynch Thomas J. Jr. · CIK 0001474056 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,342.964

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, 2019 Filed Mar 13, 2019 11:37 UTC
Schmukler Louis SPres., Global Mfg. & Supply
GrantPerformance Shares · Derivative 23,411 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000075 · wf-form4_155247706241313.xml · derivative · entry 21

Schmukler Louis S · CIK 0001530894 · Pres., Global Mfg. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,411

Underlying: Common Stock, $0.10 par value · 23,411 shares

Expires 2022-03-10

F11 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2022.

F11 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2022.

F11 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2022.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:37 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionPerformance Shares · Derivative 15,768 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000075 · wf-form4_155247706241313.xml · derivative · entry 20

Schmukler Louis S · CIK 0001530894 · Pres., Global Mfg. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 15,768 shares

Expires 2019-03-10

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 performance share converts into one share of common stock upon distribution in the first quarter of 2019, subject to a Total Shareholder Return modifier.

F7 · shares: Amount represents distribution of performance shares earned under the 2016-2018 Long-Term Performance Award based on the performance factor applied in accordance with the terms of the Award and certification of performance results by the Board.

F10 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2019, subject to a Total Shareholder Return modifier.

F10 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2019, subject to a Total Shareholder Return modifier.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:37 UTC
Schmukler Louis SPres., Global Mfg. & Supply
GrantMarket Share Units · Derivative 15,608 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000075 · wf-form4_155247706241313.xml · derivative · entry 19

Schmukler Louis S · CIK 0001530894 · Pres., Global Mfg. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 15,608 shares

Expires 2023-03-10

F8 · 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%.

F9 · 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.

F9 · derivative.expiration_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, 2019 Filed Mar 13, 2019 11:37 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionMarket Share Units · Derivative 2,946 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000075 · wf-form4_155247706241313.xml · derivative · entry 18

Schmukler Louis S · CIK 0001530894 · Pres., Global Mfg. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,841

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.

F8 · 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.

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:37 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionMarket Share Units · Derivative 3,002 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000075 · wf-form4_155247706241313.xml · derivative · entry 17

Schmukler Louis S · CIK 0001530894 · Pres., Global Mfg. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

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.

F8 · 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%.

F5 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2017.

F5 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2017.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:37 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionMarket Share Units · Derivative 2,654 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000075 · wf-form4_155247706241313.xml · derivative · entry 16

Schmukler Louis S · CIK 0001530894 · Pres., Global Mfg. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,655

Underlying: Common Stock, $0.10 par value · 2,654 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.

F8 · 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, 2016.

F4 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2016.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:37 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionMarket Share Units · Derivative 2,198 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000075 · wf-form4_155247706241313.xml · derivative · entry 15

Schmukler Louis S · CIK 0001530894 · Pres., Global Mfg. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 2,198 shares

Expires 2019-03-10

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.

F8 · 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, 2015.

F1 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2015.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:37 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Tax withholdingCommon Stock, $0.10 par value 6,689 $51.39 $343,747.71
Disclosure

SEC source: 0000014272-19-000075 · wf-form4_155247706241313.xml · nonDerivative · entry 14

Schmukler Louis S · CIK 0001530894 · Pres., Global Mfg. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,963.466

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:37 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionCommon Stock, $0.10 par value 15,768 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000075 · wf-form4_155247706241313.xml · nonDerivative · entry 13

Schmukler Louis S · CIK 0001530894 · Pres., Global Mfg. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,652.466

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: Amount represents distribution of performance shares earned under the 2016-2018 Long-Term Performance 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, 2019 Filed Mar 13, 2019 11:37 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Tax withholdingCommon Stock, $0.10 par value 955 $51.39 $49,077.45
Disclosure

SEC source: 0000014272-19-000075 · wf-form4_155247706241313.xml · nonDerivative · entry 12

Schmukler Louis S · CIK 0001530894 · Pres., Global Mfg. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,884.466

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:37 UTC
Schmukler Louis SPres., Global Mfg. & Supply
OtherCommon Stock, $0.10 par value 697 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000075 · wf-form4_155247706241313.xml · nonDerivative · entry 11

Schmukler Louis S · CIK 0001530894 · Pres., Global Mfg. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,839.466

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, 2019 Filed Mar 13, 2019 11:37 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionCommon Stock, $0.10 par value 2,946 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000075 · wf-form4_155247706241313.xml · nonDerivative · entry 10

Schmukler Louis S · CIK 0001530894 · Pres., Global Mfg. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,536.466

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, 2019 Filed Mar 13, 2019 11:37 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Tax withholdingCommon Stock, $0.10 par value 1,137 $51.39 $58,430.43
Disclosure

SEC source: 0000014272-19-000075 · wf-form4_155247706241313.xml · nonDerivative · entry 9

Schmukler Louis S · CIK 0001530894 · Pres., Global Mfg. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,590.466

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:37 UTC
Schmukler Louis SPres., Global Mfg. & Supply
OtherCommon Stock, $0.10 par value 324 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000075 · wf-form4_155247706241313.xml · nonDerivative · entry 8

Schmukler Louis S · CIK 0001530894 · Pres., Global Mfg. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,727.466

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, 2019 Filed Mar 13, 2019 11:37 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionCommon Stock, $0.10 par value 3,002 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000075 · wf-form4_155247706241313.xml · nonDerivative · entry 7

Schmukler Louis S · CIK 0001530894 · Pres., Global Mfg. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,051.466

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.

F5 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2017.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:37 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Tax withholdingCommon Stock, $0.10 par value 888 $51.39 $45,634.32
Disclosure

SEC source: 0000014272-19-000075 · wf-form4_155247706241313.xml · nonDerivative · entry 6

Schmukler Louis S · CIK 0001530894 · Pres., Global Mfg. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,049.466

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:37 UTC
Schmukler Louis SPres., Global Mfg. & Supply
OtherCommon Stock, $0.10 par value 561 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000075 · wf-form4_155247706241313.xml · nonDerivative · entry 5

Schmukler Louis S · CIK 0001530894 · Pres., Global Mfg. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,937.466

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, 2019 Filed Mar 13, 2019 11:37 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionCommon Stock, $0.10 par value 2,654 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000075 · wf-form4_155247706241313.xml · nonDerivative · entry 4

Schmukler Louis S · CIK 0001530894 · Pres., Global Mfg. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,498.466

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, 2016.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:37 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Tax withholdingCommon Stock, $0.10 par value 747 $51.39 $38,388.33
Disclosure

SEC source: 0000014272-19-000075 · wf-form4_155247706241313.xml · nonDerivative · entry 3

Schmukler Louis S · CIK 0001530894 · Pres., Global Mfg. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,844.466

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:37 UTC
Schmukler Louis SPres., Global Mfg. & Supply
OtherCommon Stock, $0.10 par value 438 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000075 · wf-form4_155247706241313.xml · nonDerivative · entry 2

Schmukler Louis S · CIK 0001530894 · Pres., Global Mfg. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,591.466

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, 2019 Filed Mar 13, 2019 11:37 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionCommon Stock, $0.10 par value 2,198 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000075 · wf-form4_155247706241313.xml · nonDerivative · entry 1

Schmukler Louis S · CIK 0001530894 · Pres., Global Mfg. & Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,029.466

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, 2015.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:37 UTC GrantPerformance Shares · Derivative 6,939 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000074 · wf-form4_155247701689524.xml · derivative · entry 21

Santiago Karen Murphy · CIK 0001732137 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,939

Underlying: Common Stock, $0.10 par value · 6,939 shares

Expires 2022-03-10

F11 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2022.

F11 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2022.

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.