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BRISTOL MYERS SQUIBB CO

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1662
SEC CIK
0000014272
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2,253

Last 12 months

Inside the activity.

0 purchase rows · 4 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202602
May 202600
Jun 202600
Jul 202600
Aug 202601
Sep 202601
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
September 06, 2017 Filed Sep 8, 2017 20:31 UTC
Caldarella Joseph CSVP & Controller
SaleCommon Stock, $0.10 par value 9,340 $60.00 $560,400.00
Disclosure

SEC source: 0000014272-17-000173 · wf-form4_150490265600750.xml · nonDerivative · entry 1

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,297.083

Read SEC document
September 03, 2017 Filed Sep 6, 2017 20:46 UTC
Nielsen AnneChief Compliance & Ethics Off
Exercise / conversionRestricted Stock Units · Derivative 1,594 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000171 · wf-form4_150473074778999.xml · derivative · entry 3

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,594

Underlying: Common Stock, $0.10 par value · 1,594 shares

Expires 2018-09-03

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.

F3 · derivative.exercise_price: Each restricted stock unit converts into one share of common stock upon vesting.

F1 · shares: Represents vesting of one-third of restricted stock units granted on September 3, 2013. The balance of the award is scheduled to vest on the fifth anniversaries of the grant date.

F1 · derivative.exercise_date: Represents vesting of one-third of restricted stock units granted on September 3, 2013. The balance of the award is scheduled to vest on the fifth anniversaries of the grant date.

Read SEC document
September 03, 2017 Filed Sep 6, 2017 20:46 UTC
Nielsen AnneChief Compliance & Ethics Off
Tax withholdingCommon Stock, $0.10 par value 837 $59.81 $50,060.97
Disclosure

SEC source: 0000014272-17-000171 · wf-form4_150473074778999.xml · nonDerivative · entry 2

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,973.789

F2 · shares: Shares withheld for payment of taxes upon vesting of restricted stock units.

Read SEC document
September 03, 2017 Filed Sep 6, 2017 20:46 UTC
Nielsen AnneChief Compliance & Ethics Off
Exercise / conversionCommon Stock, $0.10 par value 1,594 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000171 · wf-form4_150473074778999.xml · nonDerivative · entry 1

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,810.789

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-third of restricted stock units granted on September 3, 2013. The balance of the award is scheduled to vest on the fifth anniversaries of the grant date.

Read SEC document
August 02, 2017 Filed Aug 3, 2017 21:08 UTC PurchaseCommon Stock, $0.10 par value 6,000 $55.94 $335,622.00
Disclosure

SEC source: 0000014272-17-000169 · wf-form4_150179447492283.xml · nonDerivative · entry 1

Samuels Theodore R. II · CIK 0001688276 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Read SEC document
August 01, 2017 Filed Aug 3, 2017 21:07 UTC
Gordon MurdoEVP, Chief Commercial Officer
Exercise / conversionRestricted Stock Units · Derivative 1,510 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000168 · wf-form4_150179445913805.xml · derivative · entry 3

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,510

Underlying: Common Stock, $0.10 par value · 1,510 shares

Expires 2018-08-01

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.

F3 · derivative.exercise_price: Each restricted stock unit converts into one share of common stock upon vesting.

F1 · shares: Represents vesting of one-third of restricted stock units granted on August 1, 2013. The balance of the award is scheduled to vest on the fifth anniversary of the grant date.

F1 · derivative.exercise_date: Represents vesting of one-third of restricted stock units granted on August 1, 2013. The balance of the award is scheduled to vest on the fifth anniversary of the grant date.

Read SEC document
August 01, 2017 Filed Aug 3, 2017 21:07 UTC
Gordon MurdoEVP, Chief Commercial Officer
Tax withholdingCommon Stock, $0.10 par value 783 $56.10 $43,926.30
Disclosure

SEC source: 0000014272-17-000168 · wf-form4_150179445913805.xml · nonDerivative · entry 2

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,967.605

F2 · shares: Shares withheld for payment of taxes upon vesting of restricted stock units.

Read SEC document
August 01, 2017 Filed Aug 3, 2017 21:07 UTC
Gordon MurdoEVP, Chief Commercial Officer
Exercise / conversionCommon Stock, $0.10 par value 1,510 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000168 · wf-form4_150179445913805.xml · nonDerivative · entry 1

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,750.605

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-third of restricted stock units granted on August 1, 2013. The balance of the award is scheduled to vest on the fifth anniversary of the grant date.

Read SEC document
August 01, 2017 Filed Feb 15, 2018 00:11 UTC
von Autenried PaulSVP, Enterp. Services & CIO
GiftCommon Stock, $0.10 par value 100 $0.00 $0.00
Disclosure

SEC source: 0000014272-18-000057 · wf-form5_151865345008128.xml · nonDerivative · entry 3

von Autenried Paul · CIK 0001524143 · SVP, Enterp. Services & CIO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Son

Disclosed balance after: 0

F2 · shares: This transaction involved a gift of securities by the Reporting Person to his son, who no longer shares the Reporting Person's household. The Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Read SEC document
June 30, 2017 Filed Jul 5, 2017 22:00 UTC GrantDeferred Share Units · Derivative 550.365 $55.72 $30,666.34
Disclosure

SEC source: 0000014272-17-000151 · wf-form4_149929199755671.xml · derivative · entry 1

Paliwal Dinesh C · CIK 0001360224 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,773.99

Underlying: Common Stock, $0.10 par value · 550.365 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
June 30, 2017 Filed Jul 5, 2017 22:01 UTC GrantDeferred Share Units · Derivative 560.348 $55.72 $31,222.59
Disclosure

SEC source: 0000014272-17-000152 · wf-form4_149929203153684.xml · derivative · entry 1

Arduini Peter J · CIK 0001323134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,253.992

Underlying: Common Stock, $0.10 par value · 560.348 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
June 30, 2017 Filed Jul 5, 2017 22:01 UTC GrantDeferred Share Units · Derivative 583.274 $55.72 $32,500.03
Disclosure

SEC source: 0000014272-17-000153 · wf-form4_149929207714758.xml · derivative · entry 1

Storch Gerald L · CIK 0001205004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,827.172

Underlying: Common Stock, $0.10 par value · 583.274 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
June 30, 2017 Filed Jul 5, 2017 22:02 UTC GrantDeferred Share Units · Derivative 537.423 $55.72 $29,945.21
Disclosure

SEC source: 0000014272-17-000154 · wf-form4_149929212647399.xml · derivative · entry 1

Emmens Matthew · CIK 0001298332 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,683.031

Underlying: Common Stock, $0.10 par value · 537.423 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
June 30, 2017 Filed Jul 5, 2017 22:03 UTC GrantDeferred Share Units · Derivative 515.23 $55.72 $28,708.62
Disclosure

SEC source: 0000014272-17-000156 · wf-form4_149929218679840.xml · derivative · entry 1

BERTOLINI ROBERT J · CIK 0001270263 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,660.838

Underlying: Common Stock, $0.10 par value · 515.23 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
June 30, 2017 Filed Jul 5, 2017 22:02 UTC
LACY ALAN JDirector
GrantDeferred Share Units · Derivative 594.49 $55.72 $33,124.98
Disclosure

SEC source: 0000014272-17-000155 · wf-form4_149929215708866.xml · derivative · entry 1

LACY ALAN J · CIK 0001200232 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,881.385

Underlying: Common Stock, $0.10 par value · 594.49 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
June 30, 2017 Filed Jul 5, 2017 22:03 UTC GrantDeferred Share Units · Derivative 257.615 $55.72 $14,354.31
Disclosure

SEC source: 0000014272-17-000157 · wf-form4_149929221061333.xml · derivative · entry 1

Samuels Theodore R. II · CIK 0001688276 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,302.924

Underlying: Common Stock, $0.10 par value · 257.615 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
June 30, 2017 Filed Jul 5, 2017 22:04 UTC GrantDeferred Share Units · Derivative 314.07 $55.72 $17,499.98
Disclosure

SEC source: 0000014272-17-000158 · wf-form4_149929223170128.xml · derivative · entry 1

GROBSTEIN MICHAEL · CIK 0001222342 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,798.674

Underlying: Common Stock, $0.10 par value · 314.07 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
May 14, 2017 Filed Jun 8, 2017 20:51 UTC
Lynch Thomas J. Jr.EVP & Chief Scientific Officer
Exercise / conversionDeferred Share Units · Derivative 14,550.964 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000142 · wf-form4_149695506322084.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 14,550.964 shares

Expires not disclosed

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 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · shares: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors earned for service as a Director prior to Dr. Lynch's retirement from the Board on March 15, 2017.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

Read SEC document
May 14, 2017 Filed Jun 8, 2017 20:51 UTC
Lynch Thomas J. Jr.EVP & Chief Scientific Officer
Exercise / conversionCommon Stock, $0.10 par value 14,550.964 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000142 · wf-form4_149695506322084.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,550.964

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

Read SEC document
May 05, 2017 Filed May 9, 2017 20:32 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionMarket Share Units · Derivative 8,040 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000134 · wf-form4_149436196015026.xml · derivative · entry 4

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,080

Underlying: Common Stock, $0.10 par value · 8,040 shares

Expires 2019-05-05

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

F4 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F1 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on May 5, 2015.

F1 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on May 5, 2015.

Read SEC document
May 05, 2017 Filed May 9, 2017 20:32 UTC
Caforio GiovanniDirector · Chairman and CEO
Tax withholdingCommon Stock, $0.10 par value 3,446 $55.15 $190,046.90
Disclosure

SEC source: 0000014272-17-000134 · wf-form4_149436196015026.xml · nonDerivative · entry 3

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,628.333

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

Read SEC document
May 05, 2017 Filed May 9, 2017 20:32 UTC
Caforio GiovanniDirector · Chairman and CEO
OtherCommon Stock, $0.10 par value 1,384 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000134 · wf-form4_149436196015026.xml · nonDerivative · entry 2

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,074.333

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
May 05, 2017 Filed May 9, 2017 20:32 UTC
Caforio GiovanniDirector · Chairman and CEO
Exercise / conversionCommon Stock, $0.10 par value 8,040 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000134 · wf-form4_149436196015026.xml · nonDerivative · entry 1

Caforio Giovanni · CIK 0001533201 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,458.333

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 May 5, 2015.

Read SEC document
April 07, 2017 Filed Apr 10, 2017 21:09 UTC SaleCommon Stock, $0.10 par value 17,000 $53.22 $904,791.00
Disclosure

SEC source: 0000014272-17-000125 · wf-form4_149185856045658.xml · nonDerivative · entry 2

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 935,571

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 22, 2017.

F3 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $52.885 to $53.645, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
April 06, 2017 Filed Apr 10, 2017 21:09 UTC SaleCommon Stock, $0.10 par value 17,000 $53.29 $905,964.00
Disclosure

SEC source: 0000014272-17-000125 · wf-form4_149185856045658.xml · nonDerivative · entry 1

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 952,571

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 22, 2017.

F2 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $52.585 to $53.52, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
April 03, 2017 Filed Apr 5, 2017 21:04 UTC
Lynch Thomas J. Jr.EVP & Chief Scientific Officer
GrantPerformance Shares · Derivative 36,427 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000123 · wf-form4_149142625856582.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,427

Underlying: Common Stock, $0.10 par value · 36,427 shares

Expires 2020-03-10

F5 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2020.

F5 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2020.

F5 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2020.

Read SEC document
April 03, 2017 Filed Apr 5, 2017 21:04 UTC
Lynch Thomas J. Jr.EVP & Chief Scientific Officer
GrantMarket Share Units · Derivative 24,285 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000123 · wf-form4_149142625856582.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,285

Underlying: Common Stock, $0.10 par value · 24,285 shares

Expires 2021-04-03

F3 · 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: 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.

F4 · 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
April 03, 2017 Filed Apr 5, 2017 21:04 UTC
Lynch Thomas J. Jr.EVP & Chief Scientific Officer
GrantRestricted Stock Units · Derivative 25,184 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000123 · wf-form4_149142625856582.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,184

Underlying: Common Stock, $0.10 par value · 25,184 shares

Expires 2021-04-03

F1 · derivative.exercise_price: Each restricted stock unit converts into one share of common stock upon vesting.

F2 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning on April 3, 2018.

F2 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning on April 3, 2018.

Read SEC document
April 01, 2017 Filed Apr 4, 2017 23:17 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionRestricted Stock Units · Derivative 1,554 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000111 · wf-form4_149134784716329.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 1,554 shares

Expires 2017-04-01

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.

F2 · derivative.exercise_price: Each restricted stock unit converts into one share of common stock upon vesting.

F3 · derivative.exercise_date: Represents the final vesting of restricted stock units granted on April 1, 2013.

F3 · derivative.expiration_date: Represents the final vesting of restricted stock units granted on April 1, 2013.

Read SEC document
April 01, 2017 Filed Apr 4, 2017 23:17 UTC
Powell AnnSVP, Global Human Resources
Tax withholdingCommon Stock, $0.10 par value 700 $54.38 $38,066.00
Disclosure

SEC source: 0000014272-17-000111 · wf-form4_149134784716329.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,424.72

F1 · shares: Shares withheld for payment of taxes upon vesting of restricted stock units.

Read SEC document
April 01, 2017 Filed Apr 4, 2017 23:17 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionCommon Stock, $0.10 par value 1,554 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000111 · wf-form4_149134784716329.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,124.72

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

Read SEC document
March 31, 2017 Filed Apr 4, 2017 23:18 UTC GrantCommon Stock, $0.10 par value 459 $54.38 $24,960.42
Disclosure

SEC source: 0000014272-17-000113 · wf-form4_149134789572482.xml · nonDerivative · entry 1

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 969,571

F1 · shares: Shares awarded to Mr. Andreotti for service as Non-Executive Chairman.

Read SEC document
March 31, 2017 Filed Apr 4, 2017 23:18 UTC GrantDeferred Share Units · Derivative 597.646 $54.38 $32,499.99
Disclosure

SEC source: 0000014272-17-000112 · wf-form4_149134786862499.xml · derivative · entry 1

Storch Gerald L · CIK 0001205004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,994.603

Underlying: Common Stock, $0.10 par value · 597.646 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
March 31, 2017 Filed Apr 4, 2017 23:18 UTC
Lynch Thomas J. Jr.EVP & Chief Scientific Officer
GrantDeferred Share Units · Derivative 115.763 $54.38 $6,295.19
Disclosure

SEC source: 0000014272-17-000114 · wf-form4_149134791969036.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,451.674

Underlying: Common Stock, $0.10 par value · 115.763 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · shares: Represents Deferred Share Units earned for service as a Director prior to Dr. Lynch's retirement from the Board of Directors on March 15, 2017.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · derivative.underlying_shares: Represents Deferred Share Units earned for service as a Director prior to Dr. Lynch's retirement from the Board of Directors on March 15, 2017.

F3 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
March 31, 2017 Filed Apr 4, 2017 23:19 UTC GrantDeferred Share Units · Derivative 99.608 $54.38 $5,416.68
Disclosure

SEC source: 0000014272-17-000115 · wf-form4_149134793880673.xml · derivative · entry 1

Samuels Theodore R. II · CIK 0001688276 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,024.362

Underlying: Common Stock, $0.10 par value · 99.608 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
March 31, 2017 Filed Apr 4, 2017 23:19 UTC GrantDeferred Share Units · Derivative 528.687 $54.38 $28,750.00
Disclosure

SEC source: 0000014272-17-000116 · wf-form4_149134795875582.xml · derivative · entry 1

Arduini Peter J · CIK 0001323134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,640.725

Underlying: Common Stock, $0.10 par value · 528.687 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
March 31, 2017 Filed Apr 4, 2017 23:19 UTC GrantDeferred Share Units · Derivative 199.217 $54.38 $10,833.42
Disclosure

SEC source: 0000014272-17-000117 · wf-form4_149134797681078.xml · derivative · entry 1

BERTOLINI ROBERT J · CIK 0001270263 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,123.971

Underlying: Common Stock, $0.10 par value · 199.217 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
March 31, 2017 Filed Apr 4, 2017 23:20 UTC GrantDeferred Share Units · Derivative 563.167 $54.38 $30,625.02
Disclosure

SEC source: 0000014272-17-000118 · wf-form4_149134799674010.xml · derivative · entry 1

Paliwal Dinesh C · CIK 0001360224 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,118.912

Underlying: Common Stock, $0.10 par value · 563.167 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
March 31, 2017 Filed Apr 4, 2017 23:20 UTC GrantDeferred Share Units · Derivative 199.217 $54.38 $10,833.42
Disclosure

SEC source: 0000014272-17-000119 · wf-form4_149134801586871.xml · derivative · entry 1

Emmens Matthew · CIK 0001298332 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,123.971

Underlying: Common Stock, $0.10 par value · 199.217 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
March 31, 2017 Filed Apr 4, 2017 23:20 UTC
LACY ALAN JDirector
GrantDeferred Share Units · Derivative 609.139 $54.38 $33,124.98
Disclosure

SEC source: 0000014272-17-000120 · wf-form4_149134803378642.xml · derivative · entry 1

LACY ALAN J · CIK 0001200232 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,899.739

Underlying: Common Stock, $0.10 par value · 609.139 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
March 31, 2017 Filed Apr 4, 2017 23:21 UTC GrantDeferred Share Units · Derivative 321.809 $54.38 $17,499.97
Disclosure

SEC source: 0000014272-17-000121 · wf-form4_149134805583548.xml · derivative · entry 1

GROBSTEIN MICHAEL · CIK 0001222342 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,020.426

Underlying: Common Stock, $0.10 par value · 321.809 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
March 28, 2017 Filed Mar 29, 2017 22:19 UTC SaleCommon Stock, $0.10 par value 17,000 $56.20 $955,369.40
Disclosure

SEC source: 0000014272-17-000099 · wf-form4_149082595576646.xml · nonDerivative · entry 2

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 969,112

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 22, 2017.

F3 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $56.05 to $56.33, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
March 27, 2017 Filed Mar 29, 2017 22:19 UTC SaleCommon Stock, $0.10 par value 17,000 $56.14 $954,451.40
Disclosure

SEC source: 0000014272-17-000099 · wf-form4_149082595576646.xml · nonDerivative · entry 1

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 986,112

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 22, 2017.

F2 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $55.61 to $56.28, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
March 17, 2017 Filed Mar 21, 2017 20:35 UTC
Schmukler Louis SPres., Global Mfg. & Supply
SaleCommon Stock, $0.10 par value 5,000 $56.49 $282,470.00
Disclosure

SEC source: 0000014272-17-000095 · wf-form4_149012853727637.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,483.466

F1 · shares: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $56.49 to $56.50, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

F1 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $56.49 to $56.50, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
March 15, 2017 Filed Mar 22, 2017 22:20 UTC
Caldarella Joseph CSVP & Controller
SaleCommon Stock, $0.10 par value 8,096 $57.29 $463,779.36
Disclosure

SEC source: 0000014272-17-000097 · wf-form4_149022122941844.xml · nonDerivative · entry 1

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,637.083

F1 · shares: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $57.28 to $57.30, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

F1 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $57.28 to $57.30, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
March 14, 2017 Filed Mar 16, 2017 20:37 UTC
Schmukler Louis SPres., Global Mfg. & Supply
SaleCommon Stock, $0.10 par value 15,000 $56.75 $851,220.00
Disclosure

SEC source: 0000014272-17-000093 · wf-form4_148969662114611.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,483.466

F1 · shares: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $56.74 to $56.76, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

F1 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $56.74 to $56.76, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Powell AnnSVP, Global Human Resources
GrantPerformance Shares · Derivative 19,016 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000080 · wf-form4_148953774442731.xml · derivative · entry 21

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,016

Underlying: Common Stock, $0.10 par value · 19,016 shares

Expires 2020-03-10

F12 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2020.

F12 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2020.

F12 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2020.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionPerformance Shares · Derivative 22,156 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000080 · wf-form4_148953774442731.xml · derivative · entry 20

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 22,156 shares

Expires 2017-03-10

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 2017, subject to a Total Shareholder Return modifier.

F8 · shares: Amount represents distribution of performance shares earned under the 2014-2016 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 2017, 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 2017, subject to a Total Shareholder Return modifier.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Powell AnnSVP, Global Human Resources
GrantMarket Share Units · Derivative 12,677 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000080 · wf-form4_148953774442731.xml · derivative · entry 19

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,677

Underlying: Common Stock, $0.10 par value · 12,677 shares

Expires 2021-03-10

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 the market share unit award will vest on each of the first, second, third and fourth anniversaries of the grant date.

F10 · 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, 2017 Filed Mar 15, 2017 00:29 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionMarket Share Units · Derivative 2,492 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000080 · wf-form4_148953774442731.xml · derivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,476

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

Expires 2020-03-10

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

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%.

F7 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2016.

F7 · derivative.expiration_date: 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.