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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

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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, 2019 Filed Mar 13, 2019 11:40 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionCommon Stock, $0.10 par value 18,183 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000079 · wf-form4_155247721586814.xml · nonDerivative · entry 4

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 310,500.333

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.

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 11:40 UTC
Caforio GiovanniDirector · Chairman and CEO
Tax withholdingCommon Stock, $0.10 par value 3,006 $51.39 $154,478.34
Disclosure

SEC source: 0000014272-19-000079 · wf-form4_155247721586814.xml · nonDerivative · entry 3

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 292,317.333

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 1,405 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000079 · wf-form4_155247721586814.xml · nonDerivative · entry 2

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 295,323.333

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 7,052 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000079 · wf-form4_155247721586814.xml · nonDerivative · entry 1

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 296,728.333

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 11:41 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
GrantPerformance Shares · Derivative 31,909 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000080 · wf-form4_155247726361072.xml · derivative · entry 21

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,909

Underlying: Common Stock, $0.10 par value · 31,909 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 11:41 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
Exercise / conversionPerformance Shares · Derivative 9,308 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000080 · wf-form4_155247726361072.xml · derivative · entry 20

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 9,308 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 shared 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 11:41 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
GrantMarket Share Units · Derivative 21,273 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000080 · wf-form4_155247726361072.xml · derivative · entry 19

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,273

Underlying: Common Stock, $0.10 par value · 21,273 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 the market share unit award will vest on each of the first, second, third and fourth anniversaries of the grant date.

F9 · derivative.expiration_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, 2019 Filed Mar 13, 2019 11:41 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
Exercise / conversionMarket Share Units · Derivative 1,761 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000080 · wf-form4_155247726361072.xml · derivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,284

Underlying: Common Stock, $0.10 par value · 1,761 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 11:41 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
Exercise / conversionMarket Share Units · Derivative 1,825 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000080 · wf-form4_155247726361072.xml · derivative · entry 17

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,652

Underlying: Common Stock, $0.10 par value · 1,825 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 11:41 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
Exercise / conversionMarket Share Units · Derivative 1,566 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000080 · wf-form4_155247726361072.xml · derivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,569

Underlying: Common Stock, $0.10 par value · 1,566 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 11:41 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
Exercise / conversionMarket Share Units · Derivative 1,247 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000080 · wf-form4_155247726361072.xml · derivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 1,247 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 11:41 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
Tax withholdingCommon Stock, $0.10 par value 5,115 $51.39 $262,859.85
Disclosure

SEC source: 0000014272-19-000080 · wf-form4_155247726361072.xml · nonDerivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,386

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:41 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
Exercise / conversionCommon Stock, $0.10 par value 9,308 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000080 · wf-form4_155247726361072.xml · nonDerivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,501

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 shared 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 11:41 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
Tax withholdingCommon Stock, $0.10 par value 740 $51.39 $38,028.60
Disclosure

SEC source: 0000014272-19-000080 · wf-form4_155247726361072.xml · nonDerivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,193

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:41 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
OtherCommon Stock, $0.10 par value 416 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000080 · wf-form4_155247726361072.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,933

F2 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:41 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
Exercise / conversionCommon Stock, $0.10 par value 1,761 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000080 · wf-form4_155247726361072.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,349

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 11:41 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
Tax withholdingCommon Stock, $0.10 par value 895 $51.39 $45,994.05
Disclosure

SEC source: 0000014272-19-000080 · wf-form4_155247726361072.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,588

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:41 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
OtherCommon Stock, $0.10 par value 197 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000080 · wf-form4_155247726361072.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,483

F2 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:41 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
Exercise / conversionCommon Stock, $0.10 par value 1,825 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000080 · wf-form4_155247726361072.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,680

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 11:41 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
Tax withholdingCommon Stock, $0.10 par value 679 $51.39 $34,893.81
Disclosure

SEC source: 0000014272-19-000080 · wf-form4_155247726361072.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,855

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:41 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
OtherCommon Stock, $0.10 par value 331 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000080 · wf-form4_155247726361072.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,534

F2 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:41 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
Exercise / conversionCommon Stock, $0.10 par value 1,566 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000080 · wf-form4_155247726361072.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,865

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 11:41 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
Tax withholdingCommon Stock, $0.10 par value 519 $51.39 $26,671.41
Disclosure

SEC source: 0000014272-19-000080 · wf-form4_155247726361072.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,299

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:41 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
OtherCommon Stock, $0.10 par value 303 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000080 · wf-form4_155247726361072.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,818

F2 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:41 UTC
BOERNER CHRISTOPHER S.EVP, Chief Commercial Officer
Exercise / conversionCommon Stock, $0.10 par value 1,247 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000080 · wf-form4_155247726361072.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,121

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 11:41 UTC
Dubow AdamChief Compliance & Ethics Offi
GrantPerformance Shares · Derivative 6,372 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000081 · wf-form4_155247730503907.xml · derivative · entry 22

Dubow Adam · CIK 0001744507 · Chief Compliance & Ethics Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,372

Underlying: Common Stock, $0.10 par value · 6,372 shares

Expires 2022-03-10

F12 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2022.

F12 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2022.

F12 · 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 11:41 UTC
Dubow AdamChief Compliance & Ethics Offi
Exercise / conversionPerformance Shares · Derivative 2,196 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000081 · wf-form4_155247730503907.xml · derivative · entry 21

Dubow Adam · CIK 0001744507 · Chief Compliance & Ethics Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 2,196 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.

F11 · 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.

F11 · 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.

F11 · 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 11:41 UTC
Dubow AdamChief Compliance & Ethics Offi
GrantMarket Share Units · Derivative 4,248 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000081 · wf-form4_155247730503907.xml · derivative · entry 20

Dubow Adam · CIK 0001744507 · Chief Compliance & Ethics Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,248

Underlying: Common Stock, $0.10 par value · 4,248 shares

Expires 2023-03-10

F9 · 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%.

F10 · 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.

F10 · 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 11:41 UTC
Dubow AdamChief Compliance & Ethics Offi
Exercise / conversionMarket Share Units · Derivative 415 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000081 · wf-form4_155247730503907.xml · derivative · entry 19

Dubow Adam · CIK 0001744507 · Chief Compliance & Ethics Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,248

Underlying: Common Stock, $0.10 par value · 415 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.

F9 · 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 11:41 UTC
Dubow AdamChief Compliance & Ethics Offi
Exercise / conversionMarket Share Units · Derivative 451 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000081 · wf-form4_155247730503907.xml · derivative · entry 18

Dubow Adam · CIK 0001744507 · Chief Compliance & Ethics Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 903

Underlying: Common Stock, $0.10 par value · 451 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.

F9 · 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 11:41 UTC
Dubow AdamChief Compliance & Ethics Offi
Exercise / conversionMarket Share Units · Derivative 369 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000081 · wf-form4_155247730503907.xml · derivative · entry 17

Dubow Adam · CIK 0001744507 · Chief Compliance & Ethics Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 372

Underlying: Common Stock, $0.10 par value · 369 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.

F9 · 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 11:41 UTC
Dubow AdamChief Compliance & Ethics Offi
Exercise / conversionMarket Share Units · Derivative 304 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000081 · wf-form4_155247730503907.xml · derivative · entry 16

Dubow Adam · CIK 0001744507 · Chief Compliance & Ethics Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 304 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.

F9 · 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 11:41 UTC
Dubow AdamChief Compliance & Ethics Offi
Tax withholdingCommon Stock, $0.10 par value 751 $51.39 $38,593.89
Disclosure

SEC source: 0000014272-19-000081 · wf-form4_155247730503907.xml · nonDerivative · entry 14

Dubow Adam · CIK 0001744507 · Chief Compliance & Ethics Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,489.152

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:41 UTC
Dubow AdamChief Compliance & Ethics Offi
Exercise / conversionCommon Stock, $0.10 par value 2,196 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000081 · wf-form4_155247730503907.xml · nonDerivative · entry 13

Dubow Adam · CIK 0001744507 · Chief Compliance & Ethics Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,240.152

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

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 11:41 UTC
Dubow AdamChief Compliance & Ethics Offi
Tax withholdingCommon Stock, $0.10 par value 109 $51.39 $5,601.51
Disclosure

SEC source: 0000014272-19-000081 · wf-form4_155247730503907.xml · nonDerivative · entry 12

Dubow Adam · CIK 0001744507 · Chief Compliance & Ethics Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,044.152

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:41 UTC
Dubow AdamChief Compliance & Ethics Offi
OtherCommon Stock, $0.10 par value 98 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000081 · wf-form4_155247730503907.xml · nonDerivative · entry 11

Dubow Adam · CIK 0001744507 · Chief Compliance & Ethics Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,153.152

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:41 UTC
Dubow AdamChief Compliance & Ethics Offi
Exercise / conversionCommon Stock, $0.10 par value 415 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000081 · wf-form4_155247730503907.xml · nonDerivative · entry 10

Dubow Adam · CIK 0001744507 · Chief Compliance & Ethics Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,251.152

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

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 11:41 UTC
Dubow AdamChief Compliance & Ethics Offi
Tax withholdingCommon Stock, $0.10 par value 138 $51.39 $7,091.82
Disclosure

SEC source: 0000014272-19-000081 · wf-form4_155247730503907.xml · nonDerivative · entry 9

Dubow Adam · CIK 0001744507 · Chief Compliance & Ethics Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,836.152

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:41 UTC
Dubow AdamChief Compliance & Ethics Offi
OtherCommon Stock, $0.10 par value 49 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000081 · wf-form4_155247730503907.xml · nonDerivative · entry 8

Dubow Adam · CIK 0001744507 · Chief Compliance & Ethics Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,974.152

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:41 UTC
Dubow AdamChief Compliance & Ethics Offi
Exercise / conversionCommon Stock, $0.10 par value 451 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000081 · wf-form4_155247730503907.xml · nonDerivative · entry 7

Dubow Adam · CIK 0001744507 · Chief Compliance & Ethics Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,023.152

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

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 11:41 UTC
Dubow AdamChief Compliance & Ethics Offi
Tax withholdingCommon Stock, $0.10 par value 100 $51.39 $5,139.00
Disclosure

SEC source: 0000014272-19-000081 · wf-form4_155247730503907.xml · nonDerivative · entry 6

Dubow Adam · CIK 0001744507 · Chief Compliance & Ethics Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,572.152

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:41 UTC
Dubow AdamChief Compliance & Ethics Offi
OtherCommon Stock, $0.10 par value 78 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000081 · wf-form4_155247730503907.xml · nonDerivative · entry 5

Dubow Adam · CIK 0001744507 · Chief Compliance & Ethics Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,672.152

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:41 UTC
Dubow AdamChief Compliance & Ethics Offi
Exercise / conversionCommon Stock, $0.10 par value 369 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000081 · wf-form4_155247730503907.xml · nonDerivative · entry 4

Dubow Adam · CIK 0001744507 · Chief Compliance & Ethics Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,750.152

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

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:41 UTC
Dubow AdamChief Compliance & Ethics Offi
Tax withholdingCommon Stock, $0.10 par value 84 $51.39 $4,316.76
Disclosure

SEC source: 0000014272-19-000081 · wf-form4_155247730503907.xml · nonDerivative · entry 3

Dubow Adam · CIK 0001744507 · Chief Compliance & Ethics Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,381.152

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:41 UTC
Dubow AdamChief Compliance & Ethics Offi
OtherCommon Stock, $0.10 par value 61 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000081 · wf-form4_155247730503907.xml · nonDerivative · entry 2

Dubow Adam · CIK 0001744507 · Chief Compliance & Ethics Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,465.152

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:41 UTC
Dubow AdamChief Compliance & Ethics Offi
Exercise / conversionCommon Stock, $0.10 par value 304 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000081 · wf-form4_155247730503907.xml · nonDerivative · entry 1

Dubow Adam · CIK 0001744507 · Chief Compliance & Ethics Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,526.152

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

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

Read SEC document
March 10, 2019 Filed Mar 13, 2019 11:42 UTC
Elicker John ESVP, Public Affairs & IR
GrantPerformance Shares · Derivative 12,967 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000082 · wf-form4_155247734643488.xml · derivative · entry 21

Elicker John E · CIK 0001554788 · SVP, Public Affairs & IR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,967

Underlying: Common Stock, $0.10 par value · 12,967 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 11:42 UTC
Elicker John ESVP, Public Affairs & IR
Exercise / conversionPerformance Shares · Derivative 8,001 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000082 · wf-form4_155247734643488.xml · derivative · entry 20

Elicker John E · CIK 0001554788 · SVP, Public Affairs & IR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 8,001 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 11:42 UTC
Elicker John ESVP, Public Affairs & IR
GrantMarket Share Units · Derivative 8,645 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000082 · wf-form4_155247734643488.xml · derivative · entry 19

Elicker John E · CIK 0001554788 · SVP, Public Affairs & IR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,645

Underlying: Common Stock, $0.10 par value · 8,645 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 11:42 UTC
Elicker John ESVP, Public Affairs & IR
Exercise / conversionMarket Share Units · Derivative 1,666 $0.00 $0.00
Disclosure

SEC source: 0000014272-19-000082 · wf-form4_155247734643488.xml · derivative · entry 18

Elicker John E · CIK 0001554788 · SVP, Public Affairs & IR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,998

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

Expires 2022-03-10

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

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

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