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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, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
Tax withholdingCommon Stock, $0.10 par value 38,328 $67.92 $2,603,237.76
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · nonDerivative · entry 14

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,088.333

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionCommon Stock, $0.10 par value 77,951 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · nonDerivative · entry 13

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 283,416.333

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 2015-2017 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, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
Tax withholdingCommon Stock, $0.10 par value 12,432 $67.92 $844,381.44
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · nonDerivative · entry 12

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,465.333

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
OtherCommon Stock, $0.10 par value 3,842 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · nonDerivative · entry 11

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,897.333

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionCommon Stock, $0.10 par value 21,442 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · nonDerivative · entry 10

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,055.333

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, 2017.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
Tax withholdingCommon Stock, $0.10 par value 9,322 $67.92 $633,150.24
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · nonDerivative · entry 9

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,613.333

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
OtherCommon Stock, $0.10 par value 775 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · nonDerivative · entry 8

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,935.333

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionCommon Stock, $0.10 par value 18,183 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · nonDerivative · entry 7

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,160.333

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, 2016.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
Tax withholdingCommon Stock, $0.10 par value 3,669 $67.92 $249,198.48
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · nonDerivative · entry 6

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,977.333

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
OtherCommon Stock, $0.10 par value 411 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · nonDerivative · entry 5

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,646.333

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionCommon Stock, $0.10 par value 7,051 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · nonDerivative · entry 4

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,235.333

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, 2015.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
Tax withholdingCommon Stock, $0.10 par value 3,441 $67.92 $233,712.72
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · nonDerivative · entry 3

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,184.333

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
OtherCommon Stock, $0.10 par value 1,295 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · nonDerivative · entry 2

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,625.333

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionCommon Stock, $0.10 par value 5,702 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000083 · wf-form4_152097454740989.xml · nonDerivative · entry 1

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,330.333

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, 2014.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Elicker John ESVP, Public Affairs & IR
GrantPerformance Shares · Derivative 9,995 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000085 · wf-form4_152097459850551.xml · derivative · entry 21

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,995

Underlying: Common Stock, $0.10 par value · 9,995 shares

Expires 2021-03-10

F11 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2021.

F11 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2021.

F11 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2021.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Elicker John ESVP, Public Affairs & IR
Exercise / conversionPerformance Shares · Derivative 14,110 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000085 · wf-form4_152097459850551.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 · 14,110 shares

Expires 2018-03-10

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 2018, subject to a Total Shareholder Return modifier.

F7 · shares: Amount represents distribution of performance shares earned under the 2015-2017 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 2018, 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 2018, subject to a Total Shareholder Return modifier.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Elicker John ESVP, Public Affairs & IR
GrantMarket Share Units · Derivative 6,664 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000085 · wf-form4_152097459850551.xml · derivative · entry 19

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,664

Underlying: Common Stock, $0.10 par value · 6,664 shares

Expires 2022-03-10

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, 2018 Filed Mar 13, 2018 20:56 UTC
Elicker John ESVP, Public Affairs & IR
Exercise / conversionMarket Share Units · Derivative 1,890 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000085 · wf-form4_152097459850551.xml · derivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,671

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

Expires 2021-03-10

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

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, 2017.

F6 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2017.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Elicker John ESVP, Public Affairs & IR
Exercise / conversionMarket Share Units · Derivative 1,346 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000085 · wf-form4_152097459850551.xml · derivative · entry 17

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,695

Underlying: Common Stock, $0.10 par value · 1,346 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%.

F5 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2016.

F5 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2016.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Elicker John ESVP, Public Affairs & IR
Exercise / conversionMarket Share Units · Derivative 1,276 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000085 · wf-form4_152097459850551.xml · derivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,277

Underlying: Common Stock, $0.10 par value · 1,276 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%.

F4 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2015.

F4 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2015.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Elicker John ESVP, Public Affairs & IR
Exercise / conversionMarket Share Units · Derivative 1,421 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000085 · wf-form4_152097459850551.xml · derivative · entry 15

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 · 1,421 shares

Expires 2018-03-10

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, 2014.

F1 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2014.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Elicker John ESVP, Public Affairs & IR
Tax withholdingCommon Stock, $0.10 par value 5,964 $67.92 $405,074.88
Disclosure

SEC source: 0000014272-18-000085 · wf-form4_152097459850551.xml · nonDerivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,967.583

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Elicker John ESVP, Public Affairs & IR
Exercise / conversionCommon Stock, $0.10 par value 14,110 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000085 · wf-form4_152097459850551.xml · nonDerivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,931.583

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

F7 · shares: Amount represents distribution of performance shares earned under the 2015-2017 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, 2018 Filed Mar 13, 2018 20:56 UTC
Elicker John ESVP, Public Affairs & IR
Tax withholdingCommon Stock, $0.10 par value 612 $67.92 $41,567.04
Disclosure

SEC source: 0000014272-18-000085 · wf-form4_152097459850551.xml · nonDerivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,821.583

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Elicker John ESVP, Public Affairs & IR
OtherCommon Stock, $0.10 par value 339 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000085 · wf-form4_152097459850551.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,433.583

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Elicker John ESVP, Public Affairs & IR
Exercise / conversionCommon Stock, $0.10 par value 1,890 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000085 · wf-form4_152097459850551.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,094.583

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

F6 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2017.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Elicker John ESVP, Public Affairs & IR
Tax withholdingCommon Stock, $0.10 par value 385 $67.92 $26,149.20
Disclosure

SEC source: 0000014272-18-000085 · wf-form4_152097459850551.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,204.583

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Elicker John ESVP, Public Affairs & IR
OtherCommon Stock, $0.10 par value 57 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000085 · wf-form4_152097459850551.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,589.583

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Elicker John ESVP, Public Affairs & IR
Exercise / conversionCommon Stock, $0.10 par value 1,346 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000085 · wf-form4_152097459850551.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,532.583

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

F5 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2016.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Elicker John ESVP, Public Affairs & IR
Tax withholdingCommon Stock, $0.10 par value 371 $67.92 $25,198.32
Disclosure

SEC source: 0000014272-18-000085 · wf-form4_152097459850551.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,186.583

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Elicker John ESVP, Public Affairs & IR
OtherCommon Stock, $0.10 par value 74 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000085 · wf-form4_152097459850551.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,557.583

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Elicker John ESVP, Public Affairs & IR
Exercise / conversionCommon Stock, $0.10 par value 1,276 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000085 · wf-form4_152097459850551.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,483.583

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

F4 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2015.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Elicker John ESVP, Public Affairs & IR
Tax withholdingCommon Stock, $0.10 par value 479 $67.92 $32,533.68
Disclosure

SEC source: 0000014272-18-000085 · wf-form4_152097459850551.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,207.583

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Elicker John ESVP, Public Affairs & IR
OtherCommon Stock, $0.10 par value 323 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000085 · wf-form4_152097459850551.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,686.583

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:56 UTC
Elicker John ESVP, Public Affairs & IR
Exercise / conversionCommon Stock, $0.10 par value 1,421 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000085 · wf-form4_152097459850551.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,363.583

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

F1 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2014.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:57 UTC
Schmukler Louis SPres., Global Mfg. & Supply
GrantPerformance Shares · Derivative 17,680 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000086 · wf-form4_152097461544567.xml · derivative · entry 21

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,680

Underlying: Common Stock, $0.10 par value · 17,680 shares

Expires 2021-03-10

F11 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2021.

F11 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2021.

F11 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2021.

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March 10, 2018 Filed Mar 13, 2018 20:57 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionPerformance Shares · Derivative 24,282 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000086 · wf-form4_152097461544567.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 · 24,282 shares

Expires 2018-03-10

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 2018, subject to a Total Shareholder Return modifier.

F7 · shares: Amount represents distribution of performance shares earned under the 2015-2017 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 2018, 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 2018, subject to a Total Shareholder Return modifier.

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March 10, 2018 Filed Mar 13, 2018 20:57 UTC
Schmukler Louis SPres., Global Mfg. & Supply
GrantMarket Share Units · Derivative 11,787 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000086 · wf-form4_152097461544567.xml · derivative · entry 19

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,787

Underlying: Common Stock, $0.10 par value · 11,787 shares

Expires 2022-03-10

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, 2018 Filed Mar 13, 2018 20:57 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionMarket Share Units · Derivative 3,002 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000086 · wf-form4_152097461544567.xml · derivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,007

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%.

F6 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2017.

F6 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2017.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:57 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionMarket Share Units · Derivative 2,654 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000086 · wf-form4_152097461544567.xml · derivative · entry 17

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,309

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%.

F5 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2016.

F5 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2016.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:57 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionMarket Share Units · Derivative 2,196 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000086 · wf-form4_152097461544567.xml · derivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,198

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.

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, 2015.

F4 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2015.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:57 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionMarket Share Units · Derivative 2,547 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000086 · wf-form4_152097461544567.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 · 2,547 shares

Expires 2018-03-10

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, 2014.

F1 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2014.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:57 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Tax withholdingCommon Stock, $0.10 par value 10,301 $67.92 $699,643.92
Disclosure

SEC source: 0000014272-18-000086 · wf-form4_152097461544567.xml · nonDerivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,831.466

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:57 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionCommon Stock, $0.10 par value 24,282 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000086 · wf-form4_152097461544567.xml · nonDerivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,132.466

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 2015-2017 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, 2018 Filed Mar 13, 2018 20:57 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Tax withholdingCommon Stock, $0.10 par value 1,502 $67.92 $102,015.84
Disclosure

SEC source: 0000014272-18-000086 · wf-form4_152097461544567.xml · nonDerivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,850.466

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:57 UTC
Schmukler Louis SPres., Global Mfg. & Supply
OtherCommon Stock, $0.10 par value 538 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000086 · wf-form4_152097461544567.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,352.466

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:57 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionCommon Stock, $0.10 par value 3,002 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000086 · wf-form4_152097461544567.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,814.466

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, 2017.

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:57 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Tax withholdingCommon Stock, $0.10 par value 1,174 $67.92 $79,738.08
Disclosure

SEC source: 0000014272-18-000086 · wf-form4_152097461544567.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,812.466

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:57 UTC
Schmukler Louis SPres., Global Mfg. & Supply
OtherCommon Stock, $0.10 par value 113 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000086 · wf-form4_152097461544567.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,986.466

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

Read SEC document
March 10, 2018 Filed Mar 13, 2018 20:57 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionCommon Stock, $0.10 par value 2,654 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000086 · wf-form4_152097461544567.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,873.466

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, 2016.

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.