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BRISTOL MYERS SQUIBB CO

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SEC CIK
0000014272
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2,253

Last 12 months

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0 purchase rows · 4 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202602
May 202600
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Aug 202601
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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 11:39 UTC
Biondi PaulSVP, Head of Strategy & BD
Tax withholdingCommon Stock, $0.10 par value 283 $51.39 $14,543.37
Disclosure

SEC source: 0000014272-19-000078 · wf-form4_155247717979828.xml · nonDerivative · entry 12

Biondi Paul · CIK 0001744508 · SVP, Head of Strategy & BD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,767

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:39 UTC
Biondi PaulSVP, Head of Strategy & BD
OtherCommon Stock, $0.10 par value 219 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000078 · wf-form4_155247717979828.xml · nonDerivative · entry 11

Biondi Paul · CIK 0001744508 · SVP, Head of Strategy & BD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,050

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 11:39 UTC
Biondi PaulSVP, Head of Strategy & BD
Exercise / conversionCommon Stock, $0.10 par value 926 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000078 · wf-form4_155247717979828.xml · nonDerivative · entry 10

Biondi Paul · CIK 0001744508 · SVP, Head of Strategy & BD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,269

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 11:39 UTC
Biondi PaulSVP, Head of Strategy & BD
Tax withholdingCommon Stock, $0.10 par value 391 $51.39 $20,093.49
Disclosure

SEC source: 0000014272-19-000078 · wf-form4_155247717979828.xml · nonDerivative · entry 9

Biondi Paul · CIK 0001744508 · SVP, Head of Strategy & BD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,343

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:39 UTC
Biondi PaulSVP, Head of Strategy & BD
OtherCommon Stock, $0.10 par value 118 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000078 · wf-form4_155247717979828.xml · nonDerivative · entry 8

Biondi Paul · CIK 0001744508 · SVP, Head of Strategy & BD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,734

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 11:39 UTC
Biondi PaulSVP, Head of Strategy & BD
Exercise / conversionCommon Stock, $0.10 par value 1,095 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000078 · wf-form4_155247717979828.xml · nonDerivative · entry 7

Biondi Paul · CIK 0001744508 · SVP, Head of Strategy & BD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,852

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 11:39 UTC
Biondi PaulSVP, Head of Strategy & BD
Tax withholdingCommon Stock, $0.10 par value 271 $51.39 $13,926.69
Disclosure

SEC source: 0000014272-19-000078 · wf-form4_155247717979828.xml · nonDerivative · entry 6

Biondi Paul · CIK 0001744508 · SVP, Head of Strategy & BD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,757

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:39 UTC
Biondi PaulSVP, Head of Strategy & BD
OtherCommon Stock, $0.10 par value 181 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000078 · wf-form4_155247717979828.xml · nonDerivative · entry 5

Biondi Paul · CIK 0001744508 · SVP, Head of Strategy & BD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,028

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 11:39 UTC
Biondi PaulSVP, Head of Strategy & BD
Exercise / conversionCommon Stock, $0.10 par value 857 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000078 · wf-form4_155247717979828.xml · nonDerivative · entry 4

Biondi Paul · CIK 0001744508 · SVP, Head of Strategy & BD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,209

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 11:39 UTC
Biondi PaulSVP, Head of Strategy & BD
Tax withholdingCommon Stock, $0.10 par value 208 $51.39 $10,689.12
Disclosure

SEC source: 0000014272-19-000078 · wf-form4_155247717979828.xml · nonDerivative · entry 3

Biondi Paul · CIK 0001744508 · SVP, Head of Strategy & BD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,352

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:39 UTC
Biondi PaulSVP, Head of Strategy & BD
OtherCommon Stock, $0.10 par value 129 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000078 · wf-form4_155247717979828.xml · nonDerivative · entry 2

Biondi Paul · CIK 0001744508 · SVP, Head of Strategy & BD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,560

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 11:39 UTC
Biondi PaulSVP, Head of Strategy & BD
Exercise / conversionCommon Stock, $0.10 par value 648 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000078 · wf-form4_155247717979828.xml · nonDerivative · entry 1

Biondi Paul · CIK 0001744508 · SVP, Head of Strategy & BD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,689

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 11:39 UTC
Bancroft Charles AEVP & Chief Financial Officer
GrantPerformance Shares · Derivative 49,316 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000077 · wf-form4_155247714320965.xml · derivative · entry 21

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,316

Underlying: Common Stock, $0.10 par value · 49,316 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 11:39 UTC
Bancroft Charles AEVP & Chief Financial Officer
Exercise / conversionPerformance Shares · Derivative 36,663 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000077 · wf-form4_155247714320965.xml · derivative · entry 20

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 36,663 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.

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.

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.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:39 UTC
Bancroft Charles AEVP & Chief Financial Officer
GrantMarket Share Units · Derivative 32,878 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000077 · wf-form4_155247714320965.xml · derivative · entry 19

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,878

Underlying: Common Stock, $0.10 par value · 32,878 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.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:39 UTC
Bancroft Charles AEVP & Chief Financial Officer
Exercise / conversionMarket Share Units · Derivative 6,207 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000077 · wf-form4_155247714320965.xml · derivative · entry 18

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,154

Underlying: Common Stock, $0.10 par value · 6,207 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 11:39 UTC
Bancroft Charles AEVP & Chief Financial Officer
Exercise / conversionMarket Share Units · Derivative 7,324 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000077 · wf-form4_155247714320965.xml · derivative · entry 17

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,858

Underlying: Common Stock, $0.10 par value · 7,324 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 11:39 UTC
Bancroft Charles AEVP & Chief Financial Officer
Exercise / conversionMarket Share Units · Derivative 6,171 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000077 · wf-form4_155247714320965.xml · derivative · entry 16

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,174

Underlying: Common Stock, $0.10 par value · 6,171 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.

F2 · derivative.expiration_date: 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 11:39 UTC
Bancroft Charles AEVP & Chief Financial Officer
Exercise / conversionMarket Share Units · Derivative 5,890 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000077 · wf-form4_155247714320965.xml · derivative · entry 15

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 5,890 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 11:39 UTC
Bancroft Charles AEVP & Chief Financial Officer
Tax withholdingCommon Stock, $0.10 par value 15,553 $51.39 $799,268.67
Disclosure

SEC source: 0000014272-19-000077 · wf-form4_155247714320965.xml · nonDerivative · entry 14

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 395,994.283

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:39 UTC
Bancroft Charles AEVP & Chief Financial Officer
Exercise / conversionCommon Stock, $0.10 par value 36,663 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000077 · wf-form4_155247714320965.xml · nonDerivative · entry 13

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 411,547.283

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 11:39 UTC
Bancroft Charles AEVP & Chief Financial Officer
Tax withholdingCommon Stock, $0.10 par value 2,011 $51.39 $103,345.29
Disclosure

SEC source: 0000014272-19-000077 · wf-form4_155247714320965.xml · nonDerivative · entry 12

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 374,884.283

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:39 UTC
Bancroft Charles AEVP & Chief Financial Officer
OtherCommon Stock, $0.10 par value 1,468 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000077 · wf-form4_155247714320965.xml · nonDerivative · entry 11

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 376,895.283

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 11:39 UTC
Bancroft Charles AEVP & Chief Financial Officer
Exercise / conversionCommon Stock, $0.10 par value 6,207 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000077 · wf-form4_155247714320965.xml · nonDerivative · entry 10

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 378,363.283

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 11:39 UTC
Bancroft Charles AEVP & Chief Financial Officer
Tax withholdingCommon Stock, $0.10 par value 2,772 $51.39 $142,453.08
Disclosure

SEC source: 0000014272-19-000077 · wf-form4_155247714320965.xml · nonDerivative · entry 9

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 372,156.283

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:39 UTC
Bancroft Charles AEVP & Chief Financial Officer
OtherCommon Stock, $0.10 par value 790 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000077 · wf-form4_155247714320965.xml · nonDerivative · entry 8

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 374,928.283

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 11:39 UTC
Bancroft Charles AEVP & Chief Financial Officer
Exercise / conversionCommon Stock, $0.10 par value 7,324 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000077 · wf-form4_155247714320965.xml · nonDerivative · entry 7

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,718.283

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 11:39 UTC
Bancroft Charles AEVP & Chief Financial Officer
Tax withholdingCommon Stock, $0.10 par value 2,066 $51.39 $106,171.74
Disclosure

SEC source: 0000014272-19-000077 · wf-form4_155247714320965.xml · nonDerivative · entry 6

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 368,394.283

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:39 UTC
Bancroft Charles AEVP & Chief Financial Officer
OtherCommon Stock, $0.10 par value 1,303 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000077 · wf-form4_155247714320965.xml · nonDerivative · entry 5

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 370,460.283

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 11:39 UTC
Bancroft Charles AEVP & Chief Financial Officer
Exercise / conversionCommon Stock, $0.10 par value 6,171 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000077 · wf-form4_155247714320965.xml · nonDerivative · entry 4

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 371,763.283

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 11:39 UTC
Bancroft Charles AEVP & Chief Financial Officer
Tax withholdingCommon Stock, $0.10 par value 2,001 $51.39 $102,831.39
Disclosure

SEC source: 0000014272-19-000077 · wf-form4_155247714320965.xml · nonDerivative · entry 3

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 365,592.283

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:39 UTC
Bancroft Charles AEVP & Chief Financial Officer
OtherCommon Stock, $0.10 par value 1,174 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000077 · wf-form4_155247714320965.xml · nonDerivative · entry 2

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 367,593.283

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 11:39 UTC
Bancroft Charles AEVP & Chief Financial Officer
Exercise / conversionCommon Stock, $0.10 par value 5,890 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000077 · wf-form4_155247714320965.xml · nonDerivative · entry 1

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 368,767.283

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 11:40 UTC
Caforio GiovanniDirector · Chairman and CEO
GrantPerformance Shares · Derivative 148,758 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000079 · wf-form4_155247721586814.xml · derivative · entry 21

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,758

Underlying: Common Stock, $0.10 par value · 148,758 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 11:40 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionPerformance Shares · Derivative 108,019 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000079 · wf-form4_155247721586814.xml · derivative · entry 20

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 108,019 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.

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March 10, 2019 Filed Mar 13, 2019 11:40 UTC
Caforio GiovanniDirector · Chairman and CEO
GrantMarket Share Units · Derivative 99,172 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000079 · wf-form4_155247721586814.xml · derivative · entry 19

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,172

Underlying: Common Stock, $0.10 par value · 99,172 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.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:40 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionMarket Share Units · Derivative 18,723 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000079 · wf-form4_155247721586814.xml · derivative · entry 18

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,172

Underlying: Common Stock, $0.10 par value · 18,723 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 11:40 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionMarket Share Units · Derivative 21,442 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000079 · wf-form4_155247721586814.xml · derivative · entry 17

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,885

Underlying: Common Stock, $0.10 par value · 21,442 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 11:40 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionMarket Share Units · Derivative 18,183 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000079 · wf-form4_155247721586814.xml · derivative · entry 16

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,184

Underlying: Common Stock, $0.10 par value · 18,183 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 11:40 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionMarket Share Units · Derivative 7,052 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000079 · wf-form4_155247721586814.xml · derivative · entry 15

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 7,052 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 11:40 UTC
Caforio GiovanniDirector · Chairman and CEO
Tax withholdingCommon Stock, $0.10 par value 57,484 $51.39 $2,954,102.76
Disclosure

SEC source: 0000014272-19-000079 · wf-form4_155247721586814.xml · nonDerivative · entry 14

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 365,199.333

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:40 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionCommon Stock, $0.10 par value 108,019 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000079 · wf-form4_155247721586814.xml · nonDerivative · entry 13

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 422,683.333

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.

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 11:40 UTC
Caforio GiovanniDirector · Chairman and CEO
Tax withholdingCommon Stock, $0.10 par value 7,608 $51.39 $390,975.12
Disclosure

SEC source: 0000014272-19-000079 · wf-form4_155247721586814.xml · nonDerivative · entry 12

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 314,664.333

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:40 UTC
Caforio GiovanniDirector · Chairman and CEO
OtherCommon Stock, $0.10 par value 4,428 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000079 · wf-form4_155247721586814.xml · nonDerivative · entry 11

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 322,272.333

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 11:40 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionCommon Stock, $0.10 par value 18,723 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000079 · wf-form4_155247721586814.xml · nonDerivative · entry 10

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 326,700.333

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.

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 11:40 UTC
Caforio GiovanniDirector · Chairman and CEO
Tax withholdingCommon Stock, $0.10 par value 10,181 $51.39 $523,201.59
Disclosure

SEC source: 0000014272-19-000079 · wf-form4_155247721586814.xml · nonDerivative · entry 9

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 307,977.333

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:40 UTC
Caforio GiovanniDirector · Chairman and CEO
OtherCommon Stock, $0.10 par value 2,311 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000079 · wf-form4_155247721586814.xml · nonDerivative · entry 8

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 318,158.333

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 11:40 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionCommon Stock, $0.10 par value 21,442 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000079 · wf-form4_155247721586814.xml · nonDerivative · entry 7

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,469.333

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.

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 11:40 UTC
Caforio GiovanniDirector · Chairman and CEO
Tax withholdingCommon Stock, $0.10 par value 7,633 $51.39 $392,259.87
Disclosure

SEC source: 0000014272-19-000079 · wf-form4_155247721586814.xml · nonDerivative · entry 6

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 299,027.333

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:40 UTC
Caforio GiovanniDirector · Chairman and CEO
OtherCommon Stock, $0.10 par value 3,840 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000079 · wf-form4_155247721586814.xml · nonDerivative · entry 5

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 306,660.333

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

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