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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
March 10, 2017 Filed Mar 15, 2017 00:30 UTC
Nielsen AnneChief Compliance & Ethics Off
Exercise / conversionCommon Stock, $0.10 par value 689 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000083 · wf-form4_148953781598205.xml · nonDerivative · entry 1

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,561.789

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-quarter of market share units granted on March 10, 2013.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:30 UTC Exercise / conversionPerformance Shares · Derivative 102,174 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000084 · wf-form4_148953783426382.xml · derivative · entry 5

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 102,174 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.

F3 · 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.

F1 · 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.

F3 · 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.

F3 · 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 Tax withholdingCommon Stock, $0.10 par value 56,993 $58.32 $3,323,831.76
Disclosure

SEC source: 0000014272-17-000084 · wf-form4_148953783426382.xml · nonDerivative · entry 2

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,003,112

F2 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:30 UTC Exercise / conversionCommon Stock, $0.10 par value 102,174 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000084 · wf-form4_148953783426382.xml · nonDerivative · entry 1

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,060,105

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: 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 00:31 UTC
von Autenried PaulSVP, Enterp. Services & CIO
GrantPerformance Shares · Derivative 12,321 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000085 · wf-form4_148953785825406.xml · derivative · entry 22

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,321

Underlying: Common Stock, $0.10 par value · 12,321 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 00:31 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Exercise / conversionPerformance Shares · Derivative 22,453 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000085 · wf-form4_148953785825406.xml · derivative · entry 21

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 22,453 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 00:31 UTC
von Autenried PaulSVP, Enterp. Services & CIO
GrantMarket Share Units · Derivative 8,214 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000085 · wf-form4_148953785825406.xml · derivative · entry 20

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,214

Underlying: Common Stock, $0.10 par value · 8,214 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 00:31 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Exercise / conversionMarket Share Units · Derivative 2,003 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000085 · wf-form4_148953785825406.xml · derivative · entry 19

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,009

Underlying: Common Stock, $0.10 par value · 2,003 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 00:31 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Exercise / conversionMarket Share Units · Derivative 2,053 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000085 · wf-form4_148953785825406.xml · derivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,106

Underlying: Common Stock, $0.10 par value · 2,053 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 00:31 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Exercise / conversionMarket Share Units · Derivative 2,472 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000085 · wf-form4_148953785825406.xml · derivative · entry 17

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,472

Underlying: Common Stock, $0.10 par value · 2,472 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 00:31 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Exercise / conversionMarket Share Units · Derivative 2,740 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000085 · wf-form4_148953785825406.xml · derivative · entry 16

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

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 00:31 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Tax withholdingCommon Stock, $0.10 par value 11,642 $58.32 $678,961.44
Disclosure

SEC source: 0000014272-17-000085 · wf-form4_148953785825406.xml · nonDerivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,130.066

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:31 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Exercise / conversionCommon Stock, $0.10 par value 22,453 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000085 · wf-form4_148953785825406.xml · nonDerivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,772.066

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 00:31 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Tax withholdingCommon Stock, $0.10 par value 745 $58.32 $43,448.40
Disclosure

SEC source: 0000014272-17-000085 · wf-form4_148953785825406.xml · nonDerivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,319.066

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:31 UTC
von Autenried PaulSVP, Enterp. Services & CIO
OtherCommon Stock, $0.10 par value 288 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000085 · wf-form4_148953785825406.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,064.066

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 00:31 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Exercise / conversionCommon Stock, $0.10 par value 2,003 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000085 · wf-form4_148953785825406.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,352.066

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 00:31 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Tax withholdingCommon Stock, $0.10 par value 665 $58.32 $38,782.80
Disclosure

SEC source: 0000014272-17-000085 · wf-form4_148953785825406.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,349.066

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:31 UTC
von Autenried PaulSVP, Enterp. Services & CIO
OtherCommon Stock, $0.10 par value 269 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000085 · wf-form4_148953785825406.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,014.066

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 00:31 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Exercise / conversionCommon Stock, $0.10 par value 2,053 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000085 · wf-form4_148953785825406.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,283.066

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 00:31 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Tax withholdingCommon Stock, $0.10 par value 928 $58.32 $54,120.96
Disclosure

SEC source: 0000014272-17-000085 · wf-form4_148953785825406.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,230.066

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:31 UTC
von Autenried PaulSVP, Enterp. Services & CIO
OtherCommon Stock, $0.10 par value 19 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000085 · wf-form4_148953785825406.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,158.066

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 00:31 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Exercise / conversionCommon Stock, $0.10 par value 2,472 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000085 · wf-form4_148953785825406.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,139.066

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 00:31 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Tax withholdingCommon Stock, $0.10 par value 1,521 $58.32 $88,704.72
Disclosure

SEC source: 0000014272-17-000085 · wf-form4_148953785825406.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,667.066

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:31 UTC
von Autenried PaulSVP, Enterp. Services & CIO
OtherCommon Stock, $0.10 par value 1,343 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000085 · wf-form4_148953785825406.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,188.066

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 00:31 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Exercise / conversionCommon Stock, $0.10 par value 2,740 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000085 · wf-form4_148953785825406.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,845.066

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 00:31 UTC
Gordon MurdoEVP, Chief Commercial Officer
GrantPerformance Shares · Derivative 28,332 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000086 · wf-form4_148953787848749.xml · derivative · entry 21

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,332

Underlying: Common Stock, $0.10 par value · 28,332 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 00:31 UTC
Gordon MurdoEVP, Chief Commercial Officer
Exercise / conversionPerformance Shares · Derivative 16,696 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000086 · wf-form4_148953787848749.xml · derivative · entry 20

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 16,696 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 00:31 UTC
Gordon MurdoEVP, Chief Commercial Officer
GrantMarket Share Units · Derivative 18,888 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000086 · wf-form4_148953787848749.xml · derivative · entry 19

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,888

Underlying: Common Stock, $0.10 par value · 18,888 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 00:31 UTC
Gordon MurdoEVP, Chief Commercial Officer
Exercise / conversionMarket Share Units · Derivative 3,073 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000086 · wf-form4_148953787848749.xml · derivative · entry 18

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,219

Underlying: Common Stock, $0.10 par value · 3,073 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 00:31 UTC
Gordon MurdoEVP, Chief Commercial Officer
Exercise / conversionMarket Share Units · Derivative 2,455 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000086 · wf-form4_148953787848749.xml · derivative · entry 17

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,912

Underlying: Common Stock, $0.10 par value · 2,455 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 00:31 UTC
Gordon MurdoEVP, Chief Commercial Officer
Exercise / conversionMarket Share Units · Derivative 1,838 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000086 · wf-form4_148953787848749.xml · derivative · entry 16

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,838

Underlying: Common Stock, $0.10 par value · 1,838 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 00:31 UTC
Gordon MurdoEVP, Chief Commercial Officer
Exercise / conversionMarket Share Units · Derivative 1,530 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000086 · wf-form4_148953787848749.xml · derivative · entry 15

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 1,530 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 00:31 UTC
Gordon MurdoEVP, Chief Commercial Officer
Tax withholdingCommon Stock, $0.10 par value 8,657 $58.32 $504,876.24
Disclosure

SEC source: 0000014272-17-000086 · wf-form4_148953787848749.xml · nonDerivative · entry 14

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,240.605

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:31 UTC
Gordon MurdoEVP, Chief Commercial Officer
Exercise / conversionCommon Stock, $0.10 par value 16,696 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000086 · wf-form4_148953787848749.xml · nonDerivative · entry 13

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,897.605

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.

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 00:31 UTC
Gordon MurdoEVP, Chief Commercial Officer
Tax withholdingCommon Stock, $0.10 par value 1,365 $58.32 $79,606.80
Disclosure

SEC source: 0000014272-17-000086 · wf-form4_148953787848749.xml · nonDerivative · entry 12

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,201.605

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:31 UTC
Gordon MurdoEVP, Chief Commercial Officer
OtherCommon Stock, $0.10 par value 442 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000086 · wf-form4_148953787848749.xml · nonDerivative · entry 11

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,566.605

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 00:31 UTC
Gordon MurdoEVP, Chief Commercial Officer
Exercise / conversionCommon Stock, $0.10 par value 3,073 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000086 · wf-form4_148953787848749.xml · nonDerivative · entry 10

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,008.605

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.

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 00:31 UTC
Gordon MurdoEVP, Chief Commercial Officer
Tax withholdingCommon Stock, $0.10 par value 1,106 $58.32 $64,501.92
Disclosure

SEC source: 0000014272-17-000086 · wf-form4_148953787848749.xml · nonDerivative · entry 9

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,935.605

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:31 UTC
Gordon MurdoEVP, Chief Commercial Officer
OtherCommon Stock, $0.10 par value 322 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000086 · wf-form4_148953787848749.xml · nonDerivative · entry 8

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,041.605

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 00:31 UTC
Gordon MurdoEVP, Chief Commercial Officer
Exercise / conversionCommon Stock, $0.10 par value 2,455 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000086 · wf-form4_148953787848749.xml · nonDerivative · entry 7

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,363.605

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.

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 00:31 UTC
Gordon MurdoEVP, Chief Commercial Officer
Tax withholdingCommon Stock, $0.10 par value 839 $58.32 $48,930.48
Disclosure

SEC source: 0000014272-17-000086 · wf-form4_148953787848749.xml · nonDerivative · entry 6

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,908.605

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:31 UTC
Gordon MurdoEVP, Chief Commercial Officer
OtherCommon Stock, $0.10 par value 14 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000086 · wf-form4_148953787848749.xml · nonDerivative · entry 5

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,747.605

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 00:31 UTC
Gordon MurdoEVP, Chief Commercial Officer
Exercise / conversionCommon Stock, $0.10 par value 1,838 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000086 · wf-form4_148953787848749.xml · nonDerivative · entry 4

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,733.605

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.

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 00:31 UTC
Gordon MurdoEVP, Chief Commercial Officer
Tax withholdingCommon Stock, $0.10 par value 850 $58.32 $49,572.00
Disclosure

SEC source: 0000014272-17-000086 · wf-form4_148953787848749.xml · nonDerivative · entry 3

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,895.605

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

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:31 UTC
Gordon MurdoEVP, Chief Commercial Officer
OtherCommon Stock, $0.10 par value 750 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000086 · wf-form4_148953787848749.xml · nonDerivative · entry 2

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,745.605

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 00:31 UTC
Gordon MurdoEVP, Chief Commercial Officer
Exercise / conversionCommon Stock, $0.10 par value 1,530 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000086 · wf-form4_148953787848749.xml · nonDerivative · entry 1

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,995.605

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-quarter of market share units granted on March 10, 2013.

Read SEC document
March 10, 2017 Filed Mar 15, 2017 00:31 UTC
Bancroft Charles AEVP & Chief Financial Officer
GrantPerformance Shares · Derivative 43,944 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000087 · wf-form4_148953790131708.xml · derivative · entry 21

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,944

Underlying: Common Stock, $0.10 par value · 43,944 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 00:31 UTC
Bancroft Charles AEVP & Chief Financial Officer
Exercise / conversionPerformance Shares · Derivative 62,025 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000087 · wf-form4_148953790131708.xml · derivative · entry 20

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 62,025 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 00:31 UTC
Bancroft Charles AEVP & Chief Financial Officer
GrantMarket Share Units · Derivative 29,296 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000087 · wf-form4_148953790131708.xml · derivative · entry 19

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,296

Underlying: Common Stock, $0.10 par value · 29,296 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 00:31 UTC
Bancroft Charles AEVP & Chief Financial Officer
Exercise / conversionMarket Share Units · Derivative 6,171 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000087 · wf-form4_148953790131708.xml · derivative · entry 18

Bancroft Charles A · CIK 0001480250 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,516

Underlying: Common Stock, $0.10 par value · 6,171 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.