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BRISTOL MYERS SQUIBB CO

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0000014272
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0 purchase rows · 4 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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Dec 202500
Jan 202600
Feb 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, 2017 Filed Mar 15, 2017 00:29 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionMarket Share Units · Derivative 2,318 $0.00 $0.00
Disclosure

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,636

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

Expires 2019-03-10

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

F9 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F5 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2015.

F5 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2015.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionMarket Share Units · Derivative 2,439 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000080 · wf-form4_148953774442731.xml · derivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,440

Underlying: Common Stock, $0.10 par value · 2,439 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.

F9 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F4 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2014.

F4 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2014.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionMarket Share Units · Derivative 2,108 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000080 · wf-form4_148953774442731.xml · derivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 2,108 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.

F9 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F1 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2013.

F1 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2013.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Powell AnnSVP, Global Human Resources
Tax withholdingCommon Stock, $0.10 par value 9,975 $58.32 $581,742.00
Disclosure

SEC source: 0000014272-17-000080 · wf-form4_148953774442731.xml · nonDerivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,570.72

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionCommon Stock, $0.10 par value 22,156 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000080 · wf-form4_148953774442731.xml · nonDerivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,545.72

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.

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.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Powell AnnSVP, Global Human Resources
Tax withholdingCommon Stock, $0.10 par value 961 $58.32 $56,045.52
Disclosure

SEC source: 0000014272-17-000080 · wf-form4_148953774442731.xml · nonDerivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,389.72

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Powell AnnSVP, Global Human Resources
OtherCommon Stock, $0.10 par value 359 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000080 · wf-form4_148953774442731.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,350.72

F6 · shares: Represents a downward adjustment to the number of shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionCommon Stock, $0.10 par value 2,492 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000080 · wf-form4_148953774442731.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,709.72

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

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Powell AnnSVP, Global Human Resources
Tax withholdingCommon Stock, $0.10 par value 907 $58.32 $52,896.24
Disclosure

SEC source: 0000014272-17-000080 · wf-form4_148953774442731.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,217.72

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Powell AnnSVP, Global Human Resources
OtherCommon Stock, $0.10 par value 304 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000080 · wf-form4_148953774442731.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,124.72

F6 · shares: Represents a downward adjustment to the number of shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionCommon Stock, $0.10 par value 2,318 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000080 · wf-form4_148953774442731.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,428.72

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

F5 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2015.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Powell AnnSVP, Global Human Resources
Tax withholdingCommon Stock, $0.10 par value 1,093 $58.32 $63,743.76
Disclosure

SEC source: 0000014272-17-000080 · wf-form4_148953774442731.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,110.72

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Powell AnnSVP, Global Human Resources
OtherCommon Stock, $0.10 par value 19 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000080 · wf-form4_148953774442731.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,203.72

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionCommon Stock, $0.10 par value 2,439 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000080 · wf-form4_148953774442731.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,184.72

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

F4 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2014.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Powell AnnSVP, Global Human Resources
Tax withholdingCommon Stock, $0.10 par value 956 $58.32 $55,753.92
Disclosure

SEC source: 0000014272-17-000080 · wf-form4_148953774442731.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,745.72

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Powell AnnSVP, Global Human Resources
OtherCommon Stock, $0.10 par value 1,034 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000080 · wf-form4_148953774442731.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,701.72

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionCommon Stock, $0.10 par value 2,108 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000080 · wf-form4_148953774442731.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,667.72

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

F1 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2013.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Caldarella Joseph CSVP & Controller
GrantPerformance Shares · Derivative 7,727 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000079 · wf-form4_148953772519591.xml · derivative · entry 22

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,727

Underlying: Common Stock, $0.10 par value · 7,727 shares

Expires 2020-03-10

F13 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2020.

F13 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2020.

F13 · 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
Caldarella Joseph CSVP & Controller
Exercise / conversionPerformance Shares · Derivative 10,232 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000079 · wf-form4_148953772519591.xml · derivative · entry 21

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 10,232 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.

F12 · 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.

F12 · 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.

F12 · 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
Caldarella Joseph CSVP & Controller
GrantMarket Share Units · Derivative 5,151 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000079 · wf-form4_148953772519591.xml · derivative · entry 20

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,151

Underlying: Common Stock, $0.10 par value · 5,151 shares

Expires 2021-03-10

F10 · 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%.

F11 · 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.

F11 · 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
Caldarella Joseph CSVP & Controller
Exercise / conversionMarket Share Units · Derivative 1,105 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000079 · wf-form4_148953772519591.xml · derivative · entry 19

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,316

Underlying: Common Stock, $0.10 par value · 1,105 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.

F10 · 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
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Caldarella Joseph CSVP & Controller
Exercise / conversionMarket Share Units · Derivative 1,170 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000079 · wf-form4_148953772519591.xml · derivative · entry 18

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,342

Underlying: Common Stock, $0.10 par value · 1,170 shares

Expires 2019-03-10

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

F10 · derivative.exercise_price: Each 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, 2015.

F5 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2015.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Caldarella Joseph CSVP & Controller
Exercise / conversionMarket Share Units · Derivative 1,126 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000079 · wf-form4_148953772519591.xml · derivative · entry 17

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,127

Underlying: Common Stock, $0.10 par value · 1,126 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 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, 2014.

F4 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2014.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Caldarella Joseph CSVP & Controller
Exercise / conversionMarket Share Units · Derivative 1,851 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000079 · wf-form4_148953772519591.xml · derivative · entry 16

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 1,851 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.

F10 · 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, 2013.

F1 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2013.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Caldarella Joseph CSVP & Controller
Tax withholdingCommon Stock, $0.10 par value 5,178 $58.32 $301,980.96
Disclosure

SEC source: 0000014272-17-000079 · wf-form4_148953772519591.xml · nonDerivative · entry 14

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,733.083

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Caldarella Joseph CSVP & Controller
Exercise / conversionCommon Stock, $0.10 par value 10,232 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000079 · wf-form4_148953772519591.xml · nonDerivative · entry 13

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,911.083

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 · 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.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Caldarella Joseph CSVP & Controller
Tax withholdingCommon Stock, $0.10 par value 390 $58.32 $22,744.80
Disclosure

SEC source: 0000014272-17-000079 · wf-form4_148953772519591.xml · nonDerivative · entry 12

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,679.083

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Caldarella Joseph CSVP & Controller
OtherCommon Stock, $0.10 par value 159 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000079 · wf-form4_148953772519591.xml · nonDerivative · entry 11

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,069.083

F6 · shares: Represents a downward adjustment to the number of shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Caldarella Joseph CSVP & Controller
Exercise / conversionCommon Stock, $0.10 par value 1,105 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000079 · wf-form4_148953772519591.xml · nonDerivative · entry 10

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,228.083

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Caldarella Joseph CSVP & Controller
Tax withholdingCommon Stock, $0.10 par value 420 $58.32 $24,494.40
Disclosure

SEC source: 0000014272-17-000079 · wf-form4_148953772519591.xml · nonDerivative · entry 9

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,123.083

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Caldarella Joseph CSVP & Controller
OtherCommon Stock, $0.10 par value 153 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000079 · wf-form4_148953772519591.xml · nonDerivative · entry 8

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,543.083

F6 · shares: Represents a downward adjustment to the number of shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Caldarella Joseph CSVP & Controller
Exercise / conversionCommon Stock, $0.10 par value 1,170 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000079 · wf-form4_148953772519591.xml · nonDerivative · entry 7

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,696.083

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, 2015.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Caldarella Joseph CSVP & Controller
Tax withholdingCommon Stock, $0.10 par value 468 $58.32 $27,293.76
Disclosure

SEC source: 0000014272-17-000079 · wf-form4_148953772519591.xml · nonDerivative · entry 6

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,526.083

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Caldarella Joseph CSVP & Controller
OtherCommon Stock, $0.10 par value 9 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000079 · wf-form4_148953772519591.xml · nonDerivative · entry 5

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,994.083

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Caldarella Joseph CSVP & Controller
Exercise / conversionCommon Stock, $0.10 par value 1,126 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000079 · wf-form4_148953772519591.xml · nonDerivative · entry 4

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,985.083

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, 2014.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Caldarella Joseph CSVP & Controller
Tax withholdingCommon Stock, $0.10 par value 1,138 $58.32 $66,368.16
Disclosure

SEC source: 0000014272-17-000079 · wf-form4_148953772519591.xml · nonDerivative · entry 3

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,859.083

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Caldarella Joseph CSVP & Controller
OtherCommon Stock, $0.10 par value 908 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000079 · wf-form4_148953772519591.xml · nonDerivative · entry 2

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,997.083

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Caldarella Joseph CSVP & Controller
Exercise / conversionCommon Stock, $0.10 par value 1,851 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000079 · wf-form4_148953772519591.xml · nonDerivative · entry 1

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,089.083

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, 2013.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Elicker John ESVP, Public Affairs & IR
GrantPerformance Shares · Derivative 11,341 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000081 · wf-form4_148953777325402.xml · derivative · entry 21

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,341

Underlying: Common Stock, $0.10 par value · 11,341 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
Elicker John ESVP, Public Affairs & IR
Exercise / conversionPerformance Shares · Derivative 12,905 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000081 · wf-form4_148953777325402.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 · 12,905 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
Elicker John ESVP, Public Affairs & IR
GrantMarket Share Units · Derivative 7,561 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000081 · wf-form4_148953777325402.xml · derivative · entry 19

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,561

Underlying: Common Stock, $0.10 par value · 7,561 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
Elicker John ESVP, Public Affairs & IR
Exercise / conversionMarket Share Units · Derivative 1,346 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000081 · wf-form4_148953777325402.xml · derivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,041

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.

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
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Elicker John ESVP, Public Affairs & IR
Exercise / conversionMarket Share Units · Derivative 1,276 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000081 · wf-form4_148953777325402.xml · derivative · entry 17

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,553

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.

F9 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F5 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2015.

F5 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2015.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Elicker John ESVP, Public Affairs & IR
Exercise / conversionMarket Share Units · Derivative 1,421 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000081 · wf-form4_148953777325402.xml · derivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,421

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.

F9 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F4 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2014.

F4 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2014.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Elicker John ESVP, Public Affairs & IR
Exercise / conversionMarket Share Units · Derivative 1,851 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000081 · wf-form4_148953777325402.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 · 1,851 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.

F9 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F1 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2013.

F1 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2013.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Elicker John ESVP, Public Affairs & IR
Tax withholdingCommon Stock, $0.10 par value 5,612 $58.32 $327,291.84
Disclosure

SEC source: 0000014272-17-000081 · wf-form4_148953777325402.xml · nonDerivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,671.583

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Elicker John ESVP, Public Affairs & IR
Exercise / conversionCommon Stock, $0.10 par value 12,905 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000081 · wf-form4_148953777325402.xml · nonDerivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,283.583

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.

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.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Elicker John ESVP, Public Affairs & IR
Tax withholdingCommon Stock, $0.10 par value 351 $58.32 $20,470.32
Disclosure

SEC source: 0000014272-17-000081 · wf-form4_148953777325402.xml · nonDerivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,378.583

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Elicker John ESVP, Public Affairs & IR
OtherCommon Stock, $0.10 par value 194 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000081 · wf-form4_148953777325402.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,729.583

F6 · shares: Represents a downward adjustment to the number of shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Elicker John ESVP, Public Affairs & IR
Exercise / conversionCommon Stock, $0.10 par value 1,346 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000081 · wf-form4_148953777325402.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,923.583

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: 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.