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BRISTOL MYERS SQUIBB CO

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1662
SEC CIK
0000014272
Parsed reports
2,253

Last 12 months

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0 purchase rows · 4 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
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Dec 202500
Jan 202600
Feb 202600
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Apr 202602
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
September 30, 2016 Filed Oct 4, 2016 21:51 UTC GrantDeferred Share Units · Derivative 324.555 $53.92 $17,500.01
Disclosure

SEC source: 0000014272-16-000481 · wf-form4_147561788037457.xml · derivative · entry 1

GROBSTEIN MICHAEL · CIK 0001222342 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,989.959

Underlying: Common Stock, $0.10 par value · 324.555 shares

Expires not disclosed

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

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

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

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

Read SEC document
September 08, 2016 Filed Sep 9, 2016 20:41 UTC SaleCommon Stock, $0.10 par value 10,800 $56.97 $615,276.00
Disclosure

SEC source: 0000014272-16-000469 · wf-form4_147345369744632.xml · nonDerivative · entry 2

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 323,699.001

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 27, 2015.

F3 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $56.34 to $57.23, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
September 07, 2016 Filed Sep 9, 2016 20:41 UTC SaleCommon Stock, $0.10 par value 10,800 $56.77 $613,116.00
Disclosure

SEC source: 0000014272-16-000469 · wf-form4_147345369744632.xml · nonDerivative · entry 1

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 334,499.001

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 27, 2015.

F2 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $56.42 to $57.42, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
September 03, 2016 Filed Sep 7, 2016 20:33 UTC
Nielsen AnneChief Compliance & Ethics Off
Exercise / conversionRestricted Stock Units · Derivative 1,596 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000467 · wf-form4_147328039257811.xml · derivative · entry 3

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,188

Underlying: Common Stock, $0.10 par value · 1,596 shares

Expires 2018-09-03

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

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

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

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

Read SEC document
September 03, 2016 Filed Sep 7, 2016 20:33 UTC
Nielsen AnneChief Compliance & Ethics Off
Tax withholdingCommon Stock, $0.10 par value 849 $56.96 $48,359.04
Disclosure

SEC source: 0000014272-16-000467 · wf-form4_147328039257811.xml · nonDerivative · entry 2

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,872.789

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

Read SEC document
September 03, 2016 Filed Sep 7, 2016 20:33 UTC
Nielsen AnneChief Compliance & Ethics Off
Exercise / conversionCommon Stock, $0.10 par value 1,596 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000467 · wf-form4_147328039257811.xml · nonDerivative · entry 1

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,721.789

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

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

Read SEC document
August 25, 2016 Filed Aug 25, 2016 21:10 UTC SaleCommon Stock, $0.10 par value 11,600 $58.92 $683,472.00
Disclosure

SEC source: 0000014272-16-000465 · wf-form4_147215941704915.xml · nonDerivative · entry 3

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 345,299.001

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 27, 2015.

F4 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $58.39 to $59.38, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
August 24, 2016 Filed Aug 25, 2016 21:10 UTC SaleCommon Stock, $0.10 par value 8,100 $59.69 $483,489.00
Disclosure

SEC source: 0000014272-16-000465 · wf-form4_147215941704915.xml · nonDerivative · entry 2

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 356,899.001

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 27, 2015.

F3 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $59.51 to $59.89, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
August 24, 2016 Filed Aug 25, 2016 21:10 UTC SaleCommon Stock, $0.10 par value 3,500 $58.82 $205,870.00
Disclosure

SEC source: 0000014272-16-000465 · wf-form4_147215941704915.xml · nonDerivative · entry 1

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 364,999.001

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 27, 2015.

F2 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $58.41 to $59.38, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
August 01, 2016 Filed Aug 3, 2016 20:56 UTC
Gordon MurdoEVP, Chief Commercial Officer
Exercise / conversionRestricted Stock Units · Derivative 1,511 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000463 · wf-form4_147025778147800.xml · derivative · entry 3

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,020

Underlying: Common Stock, $0.10 par value · 1,511 shares

Expires 2018-08-01

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

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

F1 · shares: Represents vesting of one-third of restricted stock units granted on August 1, 2013. The balance of the award is scheduled to vest in two equal installments on the fourth and fifth anniversaries of the grant date.

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

Read SEC document
August 01, 2016 Filed Aug 3, 2016 20:56 UTC
Gordon MurdoEVP, Chief Commercial Officer
Tax withholdingCommon Stock, $0.10 par value 784 $76.19 $59,732.96
Disclosure

SEC source: 0000014272-16-000463 · wf-form4_147025778147800.xml · nonDerivative · entry 2

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,465.605

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

Read SEC document
August 01, 2016 Filed Aug 3, 2016 20:56 UTC
Gordon MurdoEVP, Chief Commercial Officer
Exercise / conversionCommon Stock, $0.10 par value 1,511 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000463 · wf-form4_147025778147800.xml · nonDerivative · entry 1

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,249.605

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

F1 · shares: Represents vesting of one-third of restricted stock units granted on August 1, 2013. The balance of the award is scheduled to vest in two equal installments on the fourth and fifth anniversaries of the grant date.

Read SEC document
July 08, 2016 Filed Jul 11, 2016 21:12 UTC SaleCommon Stock, $0.10 par value 5,700 $75.35 $429,495.00
Disclosure

SEC source: 0000014272-16-000454 · wf-form4_146827154552064.xml · nonDerivative · entry 3

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 368,499.001

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 27, 2015.

F4 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $75.125 to $75.66, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
July 08, 2016 Filed Jul 11, 2016 21:12 UTC SaleCommon Stock, $0.10 par value 5,900 $74.74 $440,966.00
Disclosure

SEC source: 0000014272-16-000454 · wf-form4_146827154552064.xml · nonDerivative · entry 2

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 374,199.001

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 27, 2015.

F3 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $74.12 to $75.105, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
July 07, 2016 Filed Jul 11, 2016 21:12 UTC SaleCommon Stock, $0.10 par value 11,600 $73.86 $856,776.00
Disclosure

SEC source: 0000014272-16-000454 · wf-form4_146827154552064.xml · nonDerivative · entry 1

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 380,099.001

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 27, 2015.

F2 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $73.68 to $74.14, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
July 02, 2016 Filed Jul 6, 2016 21:58 UTC
Blin EmmanuelSVP, Chief Strategy Officer
Exercise / conversionRestricted Stock Units · Derivative 951 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000450 · wf-form4_146784229404844.xml · derivative · entry 3

Blin Emmanuel · CIK 0001642115 · SVP, Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 951

Underlying: Common Stock, $0.10 par value · 951 shares

Expires 2017-07-02

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

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

F3 · shares: Represents vesting of one-third of restricted stock units granted on July 2, 2012. The balance of the award is scheduled to vest on the fifth anniversary of the grant date.

F3 · derivative.exercise_date: Represents vesting of one-third of restricted stock units granted on July 2, 2012. The balance of the award is scheduled to vest on the fifth anniversary of the grant date.

Read SEC document
July 02, 2016 Filed Jul 6, 2016 21:58 UTC
Blin EmmanuelSVP, Chief Strategy Officer
Tax withholdingCommon Stock, $0.10 par value 219 $73.78 $16,157.82
Disclosure

SEC source: 0000014272-16-000450 · wf-form4_146784229404844.xml · nonDerivative · entry 2

Blin Emmanuel · CIK 0001642115 · SVP, Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,297.2053

F1 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
July 02, 2016 Filed Jul 6, 2016 21:58 UTC
Blin EmmanuelSVP, Chief Strategy Officer
Exercise / conversionCommon Stock, $0.10 par value 951 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000450 · wf-form4_146784229404844.xml · nonDerivative · entry 1

Blin Emmanuel · CIK 0001642115 · SVP, Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,516.2053

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

Read SEC document
July 01, 2016 Filed Jul 6, 2016 21:58 UTC
Gordon MurdoEVP, Chief Commercial Officer
Exercise / conversionRestricted Stock Units · Derivative 2,335 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000451 · wf-form4_146784230916468.xml · derivative · entry 3

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 · 2,335 shares

Expires 2016-07-01

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

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

F3 · shares: Represents the final vesting of restricted stock units granted on July 1, 2011.

F3 · derivative.exercise_date: Represents the final vesting of restricted stock units granted on July 1, 2011.

Read SEC document
July 01, 2016 Filed Jul 6, 2016 21:58 UTC
Gordon MurdoEVP, Chief Commercial Officer
Tax withholdingCommon Stock, $0.10 par value 1,211 $73.78 $89,347.58
Disclosure

SEC source: 0000014272-16-000451 · wf-form4_146784230916468.xml · nonDerivative · entry 2

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,738.605

F1 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
July 01, 2016 Filed Jul 6, 2016 21:58 UTC
Gordon MurdoEVP, Chief Commercial Officer
Exercise / conversionCommon Stock, $0.10 par value 2,335 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000451 · wf-form4_146784230916468.xml · nonDerivative · entry 1

Gordon Murdo · CIK 0001642156 · EVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,949.605

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.

Read SEC document
July 01, 2016 Filed Jul 6, 2016 21:58 UTC Exercise / conversionRestricted Stock Units · Derivative 3,655 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000452 · wf-form4_146784232428841.xml · derivative · entry 3

Cuss Francis M · CIK 0001490216 · EVP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,308

Underlying: Common Stock, $0.10 par value · 3,655 shares

Expires 2018-07-01

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

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

F3 · shares: Represents vesting of one third of restricted stock units granted on July 1, 2013. The balance of the award is scheduled to to vest in two equal installments on the fourth and fifth anniversaries of the grant date.

F3 · derivative.exercise_date: Represents vesting of one third of restricted stock units granted on July 1, 2013. The balance of the award is scheduled to to vest in two equal installments on the fourth and fifth anniversaries of the grant date.

Read SEC document
July 01, 2016 Filed Jul 6, 2016 21:58 UTC Tax withholdingCommon Stock, $0.10 par value 1,896 $73.78 $139,886.88
Disclosure

SEC source: 0000014272-16-000452 · wf-form4_146784232428841.xml · nonDerivative · entry 2

Cuss Francis M · CIK 0001490216 · EVP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 289,731.5285

F1 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
July 01, 2016 Filed Jul 6, 2016 21:58 UTC Exercise / conversionCommon Stock, $0.10 par value 3,655 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000452 · wf-form4_146784232428841.xml · nonDerivative · entry 1

Cuss Francis M · CIK 0001490216 · EVP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291,627.5285

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

Read SEC document
June 30, 2016 Filed Jul 5, 2016 22:09 UTC GrantCommon Stock, $0.10 par value 474 $73.55 $34,862.70
Disclosure

SEC source: 0000014272-16-000436 · wf-form4_146775652869021.xml · nonDerivative · entry 1

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 391,699.001

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

Read SEC document
June 30, 2016 Filed Jul 5, 2016 22:56 UTC GrantDeferred Share Units · Derivative 104.096 $73.55 $7,656.26
Disclosure

SEC source: 0000014272-16-000442 · wf-form4_146775940264531.xml · derivative · entry 1

Lynch Thomas J. Jr. · CIK 0001474056 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,397.385

Underlying: Common Stock, $0.10 par value · 104.096 shares

Expires not disclosed

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

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

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

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

Read SEC document
June 30, 2016 Filed Jul 5, 2016 22:57 UTC GrantDeferred Share Units · Derivative 231.955 $73.55 $17,060.29
Disclosure

SEC source: 0000014272-16-000444 · wf-form4_146775943331678.xml · derivative · entry 1

GROBSTEIN MICHAEL · CIK 0001222342 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,359.373

Underlying: Common Stock, $0.10 par value · 231.955 shares

Expires not disclosed

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

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

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

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

Read SEC document
June 30, 2016 Filed Jul 5, 2016 22:57 UTC GrantDeferred Share Units · Derivative 441.876 $73.55 $32,499.98
Disclosure

SEC source: 0000014272-16-000443 · wf-form4_146775941808357.xml · derivative · entry 1

Storch Gerald L · CIK 0001205004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,156.692

Underlying: Common Stock, $0.10 par value · 441.876 shares

Expires not disclosed

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

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

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

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

Read SEC document
June 30, 2016 Filed Jul 5, 2016 22:57 UTC
LACY ALAN JDirector
GrantDeferred Share Units · Derivative 450.374 $73.55 $33,125.01
Disclosure

SEC source: 0000014272-16-000445 · wf-form4_146775944851667.xml · derivative · entry 1

LACY ALAN J · CIK 0001200232 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,628.293

Underlying: Common Stock, $0.10 par value · 450.374 shares

Expires not disclosed

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

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

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

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

Read SEC document
June 30, 2016 Filed Jul 5, 2016 22:57 UTC GrantDeferred Share Units · Derivative 372.962 $73.55 $27,431.36
Disclosure

SEC source: 0000014272-16-000446 · wf-form4_146775946421886.xml · derivative · entry 1

Arduini Peter J · CIK 0001323134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,572.989

Underlying: Common Stock, $0.10 par value · 372.962 shares

Expires not disclosed

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

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

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

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

Read SEC document
June 29, 2016 Filed Jun 30, 2016 21:42 UTC SaleCommon Stock, $0.10 par value 9,800 $72.79 $713,342.00
Disclosure

SEC source: 0000014272-16-000432 · wf-form4_146732294447247.xml · nonDerivative · entry 3

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 392,194.001

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 27, 2015.

F4 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $72.04 to $73.03, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

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June 28, 2016 Filed Jun 30, 2016 21:42 UTC SaleCommon Stock, $0.10 par value 1,800 $73.09 $131,562.00
Disclosure

SEC source: 0000014272-16-000432 · wf-form4_146732294447247.xml · nonDerivative · entry 4

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 390,394.001

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 27, 2015.

F5 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $73.05 to $73.16, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

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June 28, 2016 Filed Jun 30, 2016 21:42 UTC SaleCommon Stock, $0.10 par value 1,100 $71.94 $79,134.00
Disclosure

SEC source: 0000014272-16-000432 · wf-form4_146732294447247.xml · nonDerivative · entry 2

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 401,994.001

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 27, 2015.

F3 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $71.85 to $72.06, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

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June 28, 2016 Filed Jun 30, 2016 21:42 UTC SaleCommon Stock, $0.10 par value 10,500 $71.40 $749,700.00
Disclosure

SEC source: 0000014272-16-000432 · wf-form4_146732294447247.xml · nonDerivative · entry 1

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 403,094.001

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 27, 2015.

F2 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $70.83 to $71.81, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

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June 14, 2016 Filed Jun 16, 2016 20:31 UTC
Elicker John ESVP, Public Affairs & IR
SaleCommon Stock, $0.10 par value 11,820 $72.69 $859,219.44
Disclosure

SEC source: 0000014272-16-000421 · wf-form4_146610905544515.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,010.583

F1 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $72.64 to $72.74, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

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June 02, 2016 Filed Feb 3, 2017 22:27 UTC
von Autenried PaulSVP, Enterp. Services & CIO
GiftCommon Stock, $0.10 par value 100 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000041 · wf-form5_148616082672932.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Son

Disclosed balance after: 100

F1 · shares: This transaction involved a gift of securities by the Reporting Person to his son, who shares the Reporting Person's household. The Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

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June 02, 2016 Filed Feb 3, 2017 22:27 UTC
von Autenried PaulSVP, Enterp. Services & CIO
GiftCommon Stock, $0.10 par value 100 $0.00 $0.00
Disclosure

SEC source: 0000014272-17-000041 · wf-form5_148616082672932.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,105.0656

F1 · shares: This transaction involved a gift of securities by the Reporting Person to his son, who shares the Reporting Person's household. The Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

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May 20, 2016 Filed May 24, 2016 21:04 UTC
Bancroft Charles AEVP & Chief Financial Officer
SaleCommon Stock, $0.10 par value 30,201 $70.79 $2,137,838.19
Disclosure

SEC source: 0000014272-16-000419 · wf-form4_146412388006258.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,694.284

F1 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $70.52 to $71.01, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

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May 16, 2016 Filed May 17, 2016 20:46 UTC
Caldarella Joseph CSVP & Controller
SaleCommon Stock, $0.10 par value 3,519 $72.47 $255,004.34
Disclosure

SEC source: 0000014272-16-000417 · wf-form4_146351799215779.xml · nonDerivative · entry 1

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,238.0817

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May 06, 2016 Filed May 10, 2016 20:35 UTC
LEUNG SANDRAEVP, General Counsel
Exercise / conversionOption (right to buy) · Derivative 100,000 $0.00 Strike: $24.74 $0.00
Disclosure

SEC source: 0000014272-16-000415 · wf-form4_146291254024914.xml · derivative · entry 4

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 100,000 shares

Expires 2016-11-30

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_date: All of the shares are currently exercisable.

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May 06, 2016 Filed May 10, 2016 20:35 UTC
LEUNG SANDRAEVP, General Counsel
SaleCommon Stock, $0.10 par value 72,544 $70.39 $5,106,372.16
Disclosure

SEC source: 0000014272-16-000415 · wf-form4_146291254024914.xml · nonDerivative · entry 2

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 371,963.3322

F1 · shares: A portion of these shares were sold to cover exercise price and taxes in accordance with broker's procedure for sell-to-cover transactions. The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $70.35 to $70.48, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

F1 · price: A portion of these shares were sold to cover exercise price and taxes in accordance with broker's procedure for sell-to-cover transactions. The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $70.35 to $70.48, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

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May 06, 2016 Filed May 10, 2016 20:35 UTC
LEUNG SANDRAEVP, General Counsel
Exercise / conversionCommon Stock, $0.10 par value 100,000 $24.74 $2,474,000.00
Disclosure

SEC source: 0000014272-16-000415 · wf-form4_146291254024914.xml · nonDerivative · entry 1

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 444,507.3322

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

Read SEC document
May 05, 2016 Filed May 6, 2016 20:53 UTC SaleCommon Stock, $0.10 par value 11,600 $70.59 $818,844.00
Disclosure

SEC source: 0000014272-16-000411 · wf-form4_146256798425439.xml · nonDerivative · entry 2

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 413,594.001

F2 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $70.10 to $70.995, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
May 05, 2016 Filed May 9, 2016 20:42 UTC
Caforio GiovanniDirector · Chief Executive Officer
Exercise / conversionMarket Share Units · Derivative 8,040 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000413 · wf-form4_146282651828064.xml · derivative · entry 4

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,120

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

Expires 2019-05-05

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

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

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

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

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May 05, 2016 Filed May 9, 2016 20:42 UTC
Caforio GiovanniDirector · Chief Executive Officer
Tax withholdingCommon Stock, $0.10 par value 4,500 $70.78 $318,510.00
Disclosure

SEC source: 0000014272-16-000413 · wf-form4_146282651828064.xml · nonDerivative · entry 3

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,701.3365

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

Read SEC document
May 05, 2016 Filed May 9, 2016 20:42 UTC
Caforio GiovanniDirector · Chief Executive Officer
OtherCommon Stock, $0.10 par value 652 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000413 · wf-form4_146282651828064.xml · nonDerivative · entry 2

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,201.3365

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

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May 05, 2016 Filed May 9, 2016 20:42 UTC
Caforio GiovanniDirector · Chief Executive Officer
Exercise / conversionCommon Stock, $0.10 par value 8,040 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000413 · wf-form4_146282651828064.xml · nonDerivative · entry 1

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,549.3365

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

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

Read SEC document
May 04, 2016 Filed May 6, 2016 20:53 UTC SaleCommon Stock, $0.10 par value 11,600 $70.48 $817,568.00
Disclosure

SEC source: 0000014272-16-000411 · wf-form4_146256798425439.xml · nonDerivative · entry 1

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 425,194.001

F1 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $70.20 to $70.94, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
May 03, 2016 Filed May 5, 2016 20:31 UTC
Caforio GiovanniDirector · Chief Executive Officer
Exercise / conversionOption (right to buy) · Derivative 28,840 $0.00 Strike: $23.12 $0.00
Disclosure

SEC source: 0000014272-16-000409 · wf-form4_146248027193607.xml · derivative · entry 6

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 28,840 shares

Expires 2018-03-03

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

F3 · derivative.exercise_date: All of the shares are currently exercisable.

Read SEC document
May 03, 2016 Filed May 5, 2016 20:31 UTC
Caforio GiovanniDirector · Chief Executive Officer
Exercise / conversionOption (right to buy) · Derivative 21,615 $0.00 Strike: $27.01 $0.00
Disclosure

SEC source: 0000014272-16-000409 · wf-form4_146248027193607.xml · derivative · entry 5

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 21,615 shares

Expires 2017-03-05

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

F3 · derivative.exercise_date: All of the shares are currently exercisable.

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.