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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
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Aug 202601
Sep 202601
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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
May 03, 2016 Filed May 5, 2016 20:31 UTC
Caforio GiovanniDirector · Chief Executive Officer
SaleCommon Stock, $0.10 par value 19,449 $71.30 $1,386,713.70
Disclosure

SEC source: 0000014272-16-000409 · wf-form4_146248027193607.xml · nonDerivative · entry 4

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,509.3365

F2 · shares: These shares were sold to cover exercise price and taxes in accordance with broker's procedure for sell-to-cover transactions.

Read SEC document
May 03, 2016 Filed May 5, 2016 20:31 UTC
Caforio GiovanniDirector · Chief Executive Officer
Exercise / conversionCommon Stock, $0.10 par value 28,840 $23.12 $666,780.80
Disclosure

SEC source: 0000014272-16-000409 · wf-form4_146248027193607.xml · nonDerivative · entry 3

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,958.3365

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.

Read SEC document
May 03, 2016 Filed May 5, 2016 20:31 UTC
Caforio GiovanniDirector · Chief Executive Officer
SaleCommon Stock, $0.10 par value 15,145 $71.32 $1,080,171.69
Disclosure

SEC source: 0000014272-16-000409 · wf-form4_146248027193607.xml · nonDerivative · entry 2

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,118.3365

F1 · shares: 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 $71.31 to $71.34, 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: 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 $71.31 to $71.34, 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 / conversionCommon Stock, $0.10 par value 21,615 $27.01 $583,821.15
Disclosure

SEC source: 0000014272-16-000409 · wf-form4_146248027193607.xml · nonDerivative · entry 1

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,263.3365

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.

Read SEC document
May 02, 2016 Filed May 4, 2016 21:28 UTC
Schmukler Louis SPres., Global Mfg. & Supply
SaleCommon Stock, $0.10 par value 22,218 $71.95 $1,598,651.75
Disclosure

SEC source: 0000014272-16-000404 · wf-form4_146239727176417.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,971.467

F1 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $71.75 to $72.29, 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 02, 2016 Filed May 4, 2016 21:28 UTC Exercise / conversionOption (right to buy) · Derivative 134,720 $0.00 Strike: $27.01 $0.00
Disclosure

SEC source: 0000014272-16-000405 · wf-form4_146239730665735.xml · derivative · entry 7

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock, $0.10 par value · 134,720 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: Twenty-five percent of the stock option award vested on each of the first, second, third, and fourth anniversaries of the grant date, which was March 6, 2007.

Read SEC document
May 02, 2016 Filed May 4, 2016 21:28 UTC Exercise / conversionOption (right to buy) · Derivative 100,000 $0.00 Strike: $24.74 $0.00
Disclosure

SEC source: 0000014272-16-000405 · wf-form4_146239730665735.xml · derivative · entry 6

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

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.

F2 · derivative.exercise_date: One-third of the stock option award vested on each of the third, fourth, and fifth anniversaries of the grant date, which was December 1, 2006.

Read SEC document
May 02, 2016 Filed May 4, 2016 21:28 UTC SaleCommon Stock, $0.10 par value 134,720 $71.87 $9,682,191.68
Disclosure

SEC source: 0000014272-16-000405 · wf-form4_146239730665735.xml · nonDerivative · entry 4

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 436,794.001

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 $71.59 to $72.13, 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 $71.59 to $72.13, 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 02, 2016 Filed May 4, 2016 21:28 UTC SaleCommon Stock, $0.10 par value 100,000 $71.89 $7,188,600.00
Disclosure

SEC source: 0000014272-16-000405 · wf-form4_146239730665735.xml · nonDerivative · entry 3

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 571,514.001

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 $71.59 to $72.13, 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 $71.59 to $72.13, 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 02, 2016 Filed May 4, 2016 21:28 UTC Exercise / conversionCommon Stock, $0.10 par value 134,720 $27.01 $3,638,787.20
Disclosure

SEC source: 0000014272-16-000405 · wf-form4_146239730665735.xml · nonDerivative · entry 2

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 671,514.001

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 02, 2016 Filed May 4, 2016 21:28 UTC Exercise / conversionCommon Stock, $0.10 par value 100,000 $24.74 $2,474,000.00
Disclosure

SEC source: 0000014272-16-000405 · wf-form4_146239730665735.xml · nonDerivative · entry 1

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 536,794.001

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 02, 2016 Filed May 4, 2016 21:29 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Exercise / conversionOption (right to buy) · Derivative 51,504 $0.00 Strike: $17.51 $0.00
Disclosure

SEC source: 0000014272-16-000406 · wf-form4_146239733357773.xml · derivative · entry 3

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 · 51,504 shares

Expires 2019-03-02

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_date: Twenty-five percent of the stock option award vested on each of the first, second, third, and fourth anniversaries of the grant date, which was March 3, 2009.

Read SEC document
May 02, 2016 Filed May 4, 2016 21:29 UTC
von Autenried PaulSVP, Enterp. Services & CIO
SaleCommon Stock, $0.10 par value 37,258 $71.93 $2,679,818.91
Disclosure

SEC source: 0000014272-16-000406 · wf-form4_146239733357773.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,205.0656

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 $71.91 to $71.99, 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 $71.91 to $71.99, 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 02, 2016 Filed May 4, 2016 21:29 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Exercise / conversionCommon Stock, $0.10 par value 51,504 $17.51 $901,835.04
Disclosure

SEC source: 0000014272-16-000406 · wf-form4_146239733357773.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,463.0656

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 02, 2016 Filed May 4, 2016 21:29 UTC
Nielsen AnneChief Compliance & Ethics Off
SaleCommon Stock, $0.10 par value 28,451 $71.88 $2,045,171.68
Disclosure

SEC source: 0000014272-16-000407 · wf-form4_146239734949231.xml · nonDerivative · entry 1

Nielsen Anne · CIK 0001584387 · Chief Compliance & Ethics Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,125.789

F1 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $71.85 to $71.97, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
April 05, 2016 Filed Apr 6, 2016 20:18 UTC SaleCommon Stock, $0.10 par value 200 $66.70 $13,340.00
Disclosure

SEC source: 0000014272-16-000391 · wf-form4_145997388342731.xml · nonDerivative · entry 4

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 436,794.001

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 $66.65 to $66.745, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
April 05, 2016 Filed Apr 6, 2016 20:18 UTC SaleCommon Stock, $0.10 par value 11,400 $65.99 $752,286.00
Disclosure

SEC source: 0000014272-16-000391 · wf-form4_145997388342731.xml · nonDerivative · entry 3

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 436,994.001

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.

F4 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $65.63 to $66.59, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
April 04, 2016 Filed Apr 6, 2016 20:18 UTC SaleCommon Stock, $0.10 par value 4,700 $66.08 $310,576.00
Disclosure

SEC source: 0000014272-16-000391 · wf-form4_145997388342731.xml · nonDerivative · entry 2

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 448,394.001

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.

F3 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $65.955 to $66.30, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
April 04, 2016 Filed Apr 6, 2016 20:18 UTC SaleCommon Stock, $0.10 par value 6,900 $65.60 $452,640.00
Disclosure

SEC source: 0000014272-16-000391 · wf-form4_145997388342731.xml · nonDerivative · entry 1

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 453,094.001

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 $64.96 to $65.94, 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
April 01, 2016 Filed Apr 5, 2016 20:59 UTC GrantDeferred Share Units · Derivative 2,188.47 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000388 · wf-form4_145988994999048.xml · derivative · entry 1

Arduini Peter J · CIK 0001323134 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,188.47

Underlying: Common Stock, $0.10 par value · 2,188.47 shares

Expires not disclosed

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

F2 · shares: Represents pro rata portion of the 2016 annual Deferred Share Units awards granted to the Company's directors.

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

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

Read SEC document
April 01, 2016 Filed Apr 5, 2016 20:59 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionRestricted Stock Units · Derivative 1,554 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000389 · wf-form4_145988996300166.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,554

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

Expires 2017-04-01

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

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

F3 · derivative.exercise_date: Represents vesting of one-quarter of restricted stock units granted on 4/1/2013.

F3 · derivative.expiration_date: Represents vesting of one-quarter of restricted stock units granted on 4/1/2013.

Read SEC document
April 01, 2016 Filed Apr 5, 2016 20:59 UTC
Powell AnnSVP, Global Human Resources
Tax withholdingCommon Stock, $0.10 par value 700 $64.91 $45,437.00
Disclosure

SEC source: 0000014272-16-000389 · wf-form4_145988996300166.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,559.72

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

Read SEC document
April 01, 2016 Filed Apr 5, 2016 20:59 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionCommon Stock, $0.10 par value 1,554 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000389 · wf-form4_145988996300166.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,259.72

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

Read SEC document
March 31, 2016 Filed Apr 4, 2016 20:55 UTC
LACY ALAN JDirector
GrantDeferred Share Units · Derivative 518.55 $63.88 $33,124.97
Disclosure

SEC source: 0000014272-16-000380 · wf-form4_145980334513545.xml · derivative · entry 1

LACY ALAN J · CIK 0001200232 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,919.589

Underlying: Common Stock, $0.10 par value · 518.55 shares

Expires not disclosed

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

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

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

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

Read SEC document
March 31, 2016 Filed Apr 4, 2016 21:01 UTC GrantDeferred Share Units · Derivative 254.383 $63.88 $16,249.99
Disclosure

SEC source: 0000014272-16-000381 · wf-form4_145980366888241.xml · derivative · entry 1

GROBSTEIN MICHAEL · CIK 0001222342 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,806.321

Underlying: Common Stock, $0.10 par value · 254.383 shares

Expires not disclosed

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

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

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

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

Read SEC document
March 31, 2016 Filed Apr 4, 2016 21:01 UTC GrantDeferred Share Units · Derivative 119.854 $63.88 $7,656.27
Disclosure

SEC source: 0000014272-16-000382 · wf-form4_145980368261392.xml · derivative · entry 1

Lynch Thomas J. Jr. · CIK 0001474056 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,239.222

Underlying: Common Stock, $0.10 par value · 119.854 shares

Expires not disclosed

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

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

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

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

Read SEC document
March 31, 2016 Filed Apr 4, 2016 21:01 UTC GrantDeferred Share Units · Derivative 508.766 $63.88 $32,499.97
Disclosure

SEC source: 0000014272-16-000383 · wf-form4_145980369586389.xml · derivative · entry 1

Storch Gerald L · CIK 0001205004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,558.721

Underlying: Common Stock, $0.10 par value · 508.766 shares

Expires not disclosed

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

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

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

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

Read SEC document
March 31, 2016 Filed Jul 5, 2016 22:07 UTC GrantCommon Stock, $0.10 par value 831 $63.88 $53,084.28
Disclosure

SEC source: 0000014272-16-000434 · wf-form4_146775642077481.xml · nonDerivative · entry 1

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 460,825.001

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

Read SEC document
March 15, 2016 Filed Mar 15, 2016 01:42 UTC
Caforio GiovanniDirector · Chief Executive Officer
GrantPerformance Shares · Derivative 16,342.975 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000364 · wf-form4_145800614612241.xml · derivative · entry 17

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,005.971

Underlying: Common Stock, $0.10 par value · 16,342.975 shares

Expires 2016-03-10

F11 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2016.

F12 · shares: Represents performance shares earned under the 2013-2015 Long-Term Performance Award.

F11 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2016.

F11 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2016.

Read SEC document
March 15, 2016 Filed Mar 15, 2016 01:43 UTC GrantPerformance Shares · Derivative 54,489.425 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000368 · wf-form4_145800620684301.xml · derivative · entry 4

ANDREOTTI LAMBERTO · CIK 0001208099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,760.567

Underlying: Common Stock, $0.10 par value · 54,489.425 shares

Expires 2016-03-10

F3 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2016.

F4 · shares: Represents performance shares earned under the 2013-2015 Long-Term Performance Award.

F3 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2016.

F3 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2016.

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:41 UTC
Gordon MurdoSVP, Head of Worldwide Markets
Exercise / conversionPerformance Shares · Derivative 13,485.605 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000359 · wf-form4_145800606009148.xml · derivative · entry 19

Gordon Murdo · CIK 0001642156 · SVP, Head of Worldwide Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 13,485.605 shares

Expires 2016-03-10

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 2016.

F7 · shares: Represents distribution of performance shares earned under the 2013-2015 Long-Term Performance Award.

F11 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2016.

F11 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2016.

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:41 UTC
Gordon MurdoSVP, Head of Worldwide Markets
OtherPerformance Shares · Derivative 618.772 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000359 · wf-form4_145800606009148.xml · derivative · entry 18

Gordon Murdo · CIK 0001642156 · SVP, Head of Worldwide Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,485.605

Underlying: Common Stock, $0.10 par value · 618.772 shares

Expires 2016-03-10

F13 · derivative.exercise_price: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2016.

F14 · shares: Represents dividend equivalents earned under the 2013-2015 Long-Term Performance Award.

F13 · derivative.exercise_date: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2016.

F13 · derivative.expiration_date: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2016.

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:41 UTC
Gordon MurdoSVP, Head of Worldwide Markets
GrantPerformance Shares · Derivative 5,127.175 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000359 · wf-form4_145800606009148.xml · derivative · entry 17

Gordon Murdo · CIK 0001642156 · SVP, Head of Worldwide Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,866.833

Underlying: Common Stock, $0.10 par value · 5,127.175 shares

Expires 2016-03-10

F11 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2016.

F12 · shares: Represents performance shares earned under the 2013-2015 Long-Term Performance Award.

F11 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2016.

F11 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2016.

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:41 UTC
Gordon MurdoSVP, Head of Worldwide Markets
GrantPerformance Shares · Derivative 18,438 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000359 · wf-form4_145800606009148.xml · derivative · entry 16

Gordon Murdo · CIK 0001642156 · SVP, Head of Worldwide Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,438

Underlying: Common Stock, $0.10 par value · 18,438 shares

Expires 2019-03-10

F10 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2019.

F10 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2019.

F10 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2019.

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:41 UTC
Gordon MurdoSVP, Head of Worldwide Markets
GrantMarket Share Units · Derivative 12,292 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000359 · wf-form4_145800606009148.xml · derivative · entry 15

Gordon Murdo · CIK 0001642156 · SVP, Head of Worldwide Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,292

Underlying: Common Stock, $0.10 par value · 12,292 shares

Expires 2020-03-10

F8 · 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 theaverage 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 beachieved to earn a payout is 60% and the maximum payout factor is 200%.

F9 · 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.

F9 · 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, 2016 Filed Mar 15, 2016 01:41 UTC
Gordon MurdoSVP, Head of Worldwide Markets
Exercise / conversionMarket Share Units · Derivative 2,455 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000359 · wf-form4_145800606009148.xml · derivative · entry 14

Gordon Murdo · CIK 0001642156 · SVP, Head of Worldwide Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,367

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.

F8 · 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 theaverage 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 beachieved 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, 2016 Filed Mar 15, 2016 01:41 UTC
Gordon MurdoSVP, Head of Worldwide Markets
Exercise / conversionMarket Share Units · Derivative 1,838 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000359 · wf-form4_145800606009148.xml · derivative · entry 13

Gordon Murdo · CIK 0001642156 · SVP, Head of Worldwide Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,676

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.

F8 · 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 theaverage 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 beachieved 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, 2016 Filed Mar 15, 2016 01:41 UTC
Gordon MurdoSVP, Head of Worldwide Markets
Exercise / conversionMarket Share Units · Derivative 1,530 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000359 · wf-form4_145800606009148.xml · derivative · entry 12

Gordon Murdo · CIK 0001642156 · SVP, Head of Worldwide Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,530

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.

F8 · 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 theaverage 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 beachieved 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, 2016 Filed Mar 15, 2016 01:41 UTC
Gordon MurdoSVP, Head of Worldwide Markets
Tax withholdingCommon Stock, $0.10 par value 6,993 $64.94 $454,125.42
Disclosure

SEC source: 0000014272-16-000359 · wf-form4_145800606009148.xml · nonDerivative · entry 11

Gordon Murdo · CIK 0001642156 · SVP, Head of Worldwide Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,614.605

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:41 UTC
Gordon MurdoSVP, Head of Worldwide Markets
Exercise / conversionCommon Stock, $0.10 par value 13,485.605 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000359 · wf-form4_145800606009148.xml · nonDerivative · entry 10

Gordon Murdo · CIK 0001642156 · SVP, Head of Worldwide Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,607.605

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 distribution of performance shares earned under the 2013-2015 Long-Term Performance Award.

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:41 UTC
Gordon MurdoSVP, Head of Worldwide Markets
Tax withholdingCommon Stock, $0.10 par value 1,254 $64.94 $81,434.76
Disclosure

SEC source: 0000014272-16-000359 · wf-form4_145800606009148.xml · nonDerivative · entry 9

Gordon Murdo · CIK 0001642156 · SVP, Head of Worldwide Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,122

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:41 UTC
Gordon MurdoSVP, Head of Worldwide Markets
OtherCommon Stock, $0.10 par value 38 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000359 · wf-form4_145800606009148.xml · nonDerivative · entry 8

Gordon Murdo · CIK 0001642156 · SVP, Head of Worldwide Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,376

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, 2016 Filed Mar 15, 2016 01:41 UTC
Gordon MurdoSVP, Head of Worldwide Markets
Exercise / conversionCommon Stock, $0.10 par value 2,455 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000359 · wf-form4_145800606009148.xml · nonDerivative · entry 7

Gordon Murdo · CIK 0001642156 · SVP, Head of Worldwide Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,414

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, 2016 Filed Mar 15, 2016 01:41 UTC
Gordon MurdoSVP, Head of Worldwide Markets
Tax withholdingCommon Stock, $0.10 par value 1,088 $64.94 $70,654.72
Disclosure

SEC source: 0000014272-16-000359 · wf-form4_145800606009148.xml · nonDerivative · entry 6

Gordon Murdo · CIK 0001642156 · SVP, Head of Worldwide Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,959

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:41 UTC
Gordon MurdoSVP, Head of Worldwide Markets
OtherCommon Stock, $0.10 par value 260 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000359 · wf-form4_145800606009148.xml · nonDerivative · entry 5

Gordon Murdo · CIK 0001642156 · SVP, Head of Worldwide Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,047

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:41 UTC
Gordon MurdoSVP, Head of Worldwide Markets
Exercise / conversionCommon Stock, $0.10 par value 1,838 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000359 · wf-form4_145800606009148.xml · nonDerivative · entry 4

Gordon Murdo · CIK 0001642156 · SVP, Head of Worldwide Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,787

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, 2016 Filed Mar 15, 2016 01:41 UTC
Gordon MurdoSVP, Head of Worldwide Markets
Tax withholdingCommon Stock, $0.10 par value 1,340 $64.94 $87,019.60
Disclosure

SEC source: 0000014272-16-000359 · wf-form4_145800606009148.xml · nonDerivative · entry 3

Gordon Murdo · CIK 0001642156 · SVP, Head of Worldwide Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,949

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:41 UTC
Gordon MurdoSVP, Head of Worldwide Markets
OtherCommon Stock, $0.10 par value 1,053 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000359 · wf-form4_145800606009148.xml · nonDerivative · entry 2

Gordon Murdo · CIK 0001642156 · SVP, Head of Worldwide Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,289

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:41 UTC
Gordon MurdoSVP, Head of Worldwide Markets
Exercise / conversionCommon Stock, $0.10 par value 1,530 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000359 · wf-form4_145800606009148.xml · nonDerivative · entry 1

Gordon Murdo · CIK 0001642156 · SVP, Head of Worldwide Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,236

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, 2016 Filed Mar 15, 2016 01:41 UTC
Nielsen AnneChief Compliance & Ethics Off
Exercise / conversionPerformance Shares · Derivative 6,069.458 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000360 · wf-form4_145800607677669.xml · derivative · entry 19

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 · 6,069.458 shares

Expires 2016-03-10

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 2016.

F7 · shares: Represents distribution of performance shares earned under the 2013-2015 Long-Term Performance Award.

F11 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2016.

F11 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 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.