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BRISTOL MYERS SQUIBB CO

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1662
SEC CIK
0000014272
Parsed reports
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
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Elicker John ESVP, Public Affairs & IR
Tax withholdingCommon Stock, $0.10 par value 338 $58.32 $19,712.16
Disclosure

SEC source: 0000014272-17-000081 · wf-form4_148953777325402.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,577.583

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 167 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000081 · wf-form4_148953777325402.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,915.583

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 1,276 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000081 · wf-form4_148953777325402.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,082.583

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

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

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 436 $58.32 $25,427.52
Disclosure

SEC source: 0000014272-17-000081 · wf-form4_148953777325402.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,806.583

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 11 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000081 · wf-form4_148953777325402.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,242.583

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Elicker John ESVP, Public Affairs & IR
Exercise / conversionCommon Stock, $0.10 par value 1,421 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000081 · wf-form4_148953777325402.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,231.583

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

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

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 840 $58.32 $48,988.80
Disclosure

SEC source: 0000014272-17-000081 · wf-form4_148953777325402.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,810.583

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 908 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000081 · wf-form4_148953777325402.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,650.583

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:29 UTC
Elicker John ESVP, Public Affairs & IR
Exercise / conversionCommon Stock, $0.10 par value 1,851 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000081 · wf-form4_148953777325402.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,742.583

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

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:30 UTC
Schmukler Louis SPres., Global Mfg. & Supply
GrantPerformance Shares · Derivative 18,014 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000082 · wf-form4_148953779627533.xml · derivative · entry 21

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,014

Underlying: Common Stock, $0.10 par value · 18,014 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 00:30 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionPerformance Shares · Derivative 23,134 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000082 · wf-form4_148953779627533.xml · derivative · entry 20

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 23,134 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 00:30 UTC
Schmukler Louis SPres., Global Mfg. & Supply
GrantMarket Share Units · Derivative 12,009 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000082 · wf-form4_148953779627533.xml · derivative · entry 19

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,009

Underlying: Common Stock, $0.10 par value · 12,009 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 00:30 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionMarket Share Units · Derivative 2,654 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000082 · wf-form4_148953779627533.xml · derivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,963

Underlying: Common Stock, $0.10 par value · 2,654 shares

Expires 2020-03-10

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

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 00:30 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionMarket Share Units · Derivative 2,196 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000082 · wf-form4_148953779627533.xml · derivative · entry 17

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,394

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

Expires 2019-03-10

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

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 00:30 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionMarket Share Units · Derivative 2,547 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000082 · wf-form4_148953779627533.xml · derivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,547

Underlying: Common Stock, $0.10 par value · 2,547 shares

Expires 2018-03-10

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

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 00:30 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionMarket Share Units · Derivative 2,740 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000082 · wf-form4_148953779627533.xml · derivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 2,740 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 00:30 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Tax withholdingCommon Stock, $0.10 par value 10,415 $58.32 $607,402.80
Disclosure

SEC source: 0000014272-17-000082 · wf-form4_148953779627533.xml · nonDerivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,483.466

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:30 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionCommon Stock, $0.10 par value 23,134 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000082 · wf-form4_148953779627533.xml · nonDerivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,898.466

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

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 00:30 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Tax withholdingCommon Stock, $0.10 par value 1,023 $58.32 $59,661.36
Disclosure

SEC source: 0000014272-17-000082 · wf-form4_148953779627533.xml · nonDerivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,764.466

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:30 UTC
Schmukler Louis SPres., Global Mfg. & Supply
OtherCommon Stock, $0.10 par value 382 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000082 · wf-form4_148953779627533.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,787.466

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 00:30 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionCommon Stock, $0.10 par value 2,654 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000082 · wf-form4_148953779627533.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,169.466

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

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:30 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Tax withholdingCommon Stock, $0.10 par value 859 $58.32 $50,096.88
Disclosure

SEC source: 0000014272-17-000082 · wf-form4_148953779627533.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,515.466

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:30 UTC
Schmukler Louis SPres., Global Mfg. & Supply
OtherCommon Stock, $0.10 par value 288 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000082 · wf-form4_148953779627533.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,374.466

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 00:30 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionCommon Stock, $0.10 par value 2,196 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000082 · wf-form4_148953779627533.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,662.466

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

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:30 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Tax withholdingCommon Stock, $0.10 par value 912 $58.32 $53,187.84
Disclosure

SEC source: 0000014272-17-000082 · wf-form4_148953779627533.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,466.466

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:30 UTC
Schmukler Louis SPres., Global Mfg. & Supply
OtherCommon Stock, $0.10 par value 20 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000082 · wf-form4_148953779627533.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,378.466

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:30 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionCommon Stock, $0.10 par value 2,547 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000082 · wf-form4_148953779627533.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,358.466

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

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 00:30 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Tax withholdingCommon Stock, $0.10 par value 1,243 $58.32 $72,491.76
Disclosure

SEC source: 0000014272-17-000082 · wf-form4_148953779627533.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,811.466

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:30 UTC
Schmukler Louis SPres., Global Mfg. & Supply
OtherCommon Stock, $0.10 par value 1,343 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000082 · wf-form4_148953779627533.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,054.466

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:30 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionCommon Stock, $0.10 par value 2,740 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000082 · wf-form4_148953779627533.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,711.466

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

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 00:30 UTC
Nielsen AnneChief Compliance & Ethics Off
GrantPerformance Shares · Derivative 6,521 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000083 · wf-form4_148953781598205.xml · derivative · entry 21

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,521

Underlying: Common Stock, $0.10 par value · 6,521 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 00:30 UTC
Nielsen AnneChief Compliance & Ethics Off
Exercise / conversionPerformance Shares · Derivative 9,988 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000083 · wf-form4_148953781598205.xml · derivative · entry 20

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 9,988 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 00:30 UTC
Nielsen AnneChief Compliance & Ethics Off
GrantMarket Share Units · Derivative 4,347 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000083 · wf-form4_148953781598205.xml · derivative · entry 19

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,347

Underlying: Common Stock, $0.10 par value · 4,347 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.

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March 10, 2017 Filed Mar 15, 2017 00:30 UTC
Nielsen AnneChief Compliance & Ethics Off
Exercise / conversionMarket Share Units · Derivative 971 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000083 · wf-form4_148953781598205.xml · derivative · entry 18

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,916

Underlying: Common Stock, $0.10 par value · 971 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.

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March 10, 2017 Filed Mar 15, 2017 00:30 UTC
Nielsen AnneChief Compliance & Ethics Off
Exercise / conversionMarket Share Units · Derivative 948 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000083 · wf-form4_148953781598205.xml · derivative · entry 17

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,898

Underlying: Common Stock, $0.10 par value · 948 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 00:30 UTC
Nielsen AnneChief Compliance & Ethics Off
Exercise / conversionMarket Share Units · Derivative 1,100 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000083 · wf-form4_148953781598205.xml · derivative · entry 16

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,100

Underlying: Common Stock, $0.10 par value · 1,100 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 00:30 UTC
Nielsen AnneChief Compliance & Ethics Off
Exercise / conversionMarket Share Units · Derivative 689 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000083 · wf-form4_148953781598205.xml · derivative · entry 15

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 689 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 00:30 UTC
Nielsen AnneChief Compliance & Ethics Off
Tax withholdingCommon Stock, $0.10 par value 3,998 $58.32 $233,163.36
Disclosure

SEC source: 0000014272-17-000083 · wf-form4_148953781598205.xml · nonDerivative · entry 14

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,216.789

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:30 UTC
Nielsen AnneChief Compliance & Ethics Off
Exercise / conversionCommon Stock, $0.10 par value 9,988 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000083 · wf-form4_148953781598205.xml · nonDerivative · entry 13

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,214.789

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.

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 00:30 UTC
Nielsen AnneChief Compliance & Ethics Off
Tax withholdingCommon Stock, $0.10 par value 315 $58.32 $18,370.80
Disclosure

SEC source: 0000014272-17-000083 · wf-form4_148953781598205.xml · nonDerivative · entry 12

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,226.789

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:30 UTC
Nielsen AnneChief Compliance & Ethics Off
OtherCommon Stock, $0.10 par value 140 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000083 · wf-form4_148953781598205.xml · nonDerivative · entry 11

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,541.789

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 00:30 UTC
Nielsen AnneChief Compliance & Ethics Off
Exercise / conversionCommon Stock, $0.10 par value 971 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000083 · wf-form4_148953781598205.xml · nonDerivative · entry 10

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,681.789

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.

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 00:30 UTC
Nielsen AnneChief Compliance & Ethics Off
Tax withholdingCommon Stock, $0.10 par value 312 $58.32 $18,195.84
Disclosure

SEC source: 0000014272-17-000083 · wf-form4_148953781598205.xml · nonDerivative · entry 9

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,710.789

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:30 UTC
Nielsen AnneChief Compliance & Ethics Off
OtherCommon Stock, $0.10 par value 124 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000083 · wf-form4_148953781598205.xml · nonDerivative · entry 8

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,022.789

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 00:30 UTC
Nielsen AnneChief Compliance & Ethics Off
Exercise / conversionCommon Stock, $0.10 par value 948 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000083 · wf-form4_148953781598205.xml · nonDerivative · entry 7

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,146.789

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.

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 00:30 UTC
Nielsen AnneChief Compliance & Ethics Off
Tax withholdingCommon Stock, $0.10 par value 420 $58.32 $24,494.40
Disclosure

SEC source: 0000014272-17-000083 · wf-form4_148953781598205.xml · nonDerivative · entry 6

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,198.789

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:30 UTC
Nielsen AnneChief Compliance & Ethics Off
OtherCommon Stock, $0.10 par value 8 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000083 · wf-form4_148953781598205.xml · nonDerivative · entry 5

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,618.789

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 00:30 UTC
Nielsen AnneChief Compliance & Ethics Off
Exercise / conversionCommon Stock, $0.10 par value 1,100 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000083 · wf-form4_148953781598205.xml · nonDerivative · entry 4

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,610.789

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.

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 00:30 UTC
Nielsen AnneChief Compliance & Ethics Off
Tax withholdingCommon Stock, $0.10 par value 389 $58.32 $22,686.48
Disclosure

SEC source: 0000014272-17-000083 · wf-form4_148953781598205.xml · nonDerivative · entry 3

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,510.789

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:30 UTC
Nielsen AnneChief Compliance & Ethics Off
OtherCommon Stock, $0.10 par value 338 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000083 · wf-form4_148953781598205.xml · nonDerivative · entry 2

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,899.789

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

Read SEC document

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