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BRISTOL MYERS SQUIBB CO

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SEC CIK
0000014272
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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.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202602
May 202600
Jun 202600
Jul 202600
Aug 202601
Sep 202601
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
March 10, 2016 Filed Mar 15, 2016 01:42 UTC
Blin EmmanuelSVP, Head of Commercialization
Tax withholdingCommon Stock, $0.10 par value 250 $64.94 $16,235.00
Disclosure

SEC source: 0000014272-16-000362 · wf-form4_145800611008240.xml · nonDerivative · entry 6

Blin Emmanuel · CIK 0001642115 · SVP, Head of Commercialization

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,033.7825

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:42 UTC
Blin EmmanuelSVP, Head of Commercialization
OtherCommon Stock, $0.10 par value 134 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000362 · wf-form4_145800611008240.xml · nonDerivative · entry 5

Blin Emmanuel · CIK 0001642115 · SVP, Head of Commercialization

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,283.7825

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 01:42 UTC
Blin EmmanuelSVP, Head of Commercialization
Exercise / conversionCommon Stock, $0.10 par value 949 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000362 · wf-form4_145800611008240.xml · nonDerivative · entry 4

Blin Emmanuel · CIK 0001642115 · SVP, Head of Commercialization

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,149.7825

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 01:42 UTC
Blin EmmanuelSVP, Head of Commercialization
Tax withholdingCommon Stock, $0.10 par value 370 $64.94 $24,027.80
Disclosure

SEC source: 0000014272-16-000362 · wf-form4_145800611008240.xml · nonDerivative · entry 3

Blin Emmanuel · CIK 0001642115 · SVP, Head of Commercialization

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,200.7825

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:42 UTC
Blin EmmanuelSVP, Head of Commercialization
OtherCommon Stock, $0.10 par value 655 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000362 · wf-form4_145800611008240.xml · nonDerivative · entry 2

Blin Emmanuel · CIK 0001642115 · SVP, Head of Commercialization

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,570.7825

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 01:42 UTC
Blin EmmanuelSVP, Head of Commercialization
Exercise / conversionCommon Stock, $0.10 par value 952 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000362 · wf-form4_145800611008240.xml · nonDerivative · entry 1

Blin Emmanuel · CIK 0001642115 · SVP, Head of Commercialization

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,915.7825

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 01:44 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionPerformance Shares · Derivative 24,142.158 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000371 · wf-form4_145800626316259.xml · derivative · entry 19

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 24,142.158 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 01:44 UTC
Schmukler Louis SPres., Global Mfg. & Supply
OtherPerformance Shares · Derivative 553.478 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000371 · wf-form4_145800626316259.xml · derivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,142.158

Underlying: Common Stock, $0.10 par value · 553.478 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 01:44 UTC
Schmukler Louis SPres., Global Mfg. & Supply
GrantPerformance Shares · Derivative 9,177.325 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000371 · wf-form4_145800626316259.xml · derivative · entry 17

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,588.68

Underlying: Common Stock, $0.10 par value · 9,177.325 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 01:44 UTC
Schmukler Louis SPres., Global Mfg. & Supply
GrantPerformance Shares · Derivative 15,926 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000371 · wf-form4_145800626316259.xml · derivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,926

Underlying: Common Stock, $0.10 par value · 15,926 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 01:44 UTC
Schmukler Louis SPres., Global Mfg. & Supply
GrantMarket Share Units · Derivative 10,617 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000371 · wf-form4_145800626316259.xml · derivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,617

Underlying: Common Stock, $0.10 par value · 10,617 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 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%.

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 01:44 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionMarket Share Units · Derivative 2,196 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000371 · wf-form4_145800626316259.xml · derivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,590

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

Expires 2019-03-10

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

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 the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

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

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:44 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionMarket Share Units · Derivative 2,547 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000371 · wf-form4_145800626316259.xml · derivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,094

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

Expires 2018-03-10

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

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 the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

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

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:44 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionMarket Share Units · Derivative 2,739 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000371 · wf-form4_145800626316259.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,740

Underlying: Common Stock, $0.10 par value · 2,739 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 the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

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

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:44 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Tax withholdingCommon Stock, $0.10 par value 10,870 $64.94 $705,897.80
Disclosure

SEC source: 0000014272-16-000371 · wf-form4_145800626316259.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,189.467

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:44 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionCommon Stock, $0.10 par value 24,142.158 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000371 · wf-form4_145800626316259.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,059.467

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 01:44 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Tax withholdingCommon Stock, $0.10 par value 974 $64.94 $63,251.56
Disclosure

SEC source: 0000014272-16-000371 · wf-form4_145800626316259.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,917.309

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:44 UTC
Schmukler Louis SPres., Global Mfg. & Supply
OtherCommon Stock, $0.10 par value 34 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000371 · wf-form4_145800626316259.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,891.309

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 01:44 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionCommon Stock, $0.10 par value 2,196 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000371 · wf-form4_145800626316259.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,925.309

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 01:44 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Tax withholdingCommon Stock, $0.10 par value 1,309 $64.94 $85,006.46
Disclosure

SEC source: 0000014272-16-000371 · wf-form4_145800626316259.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,729.309

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:44 UTC
Schmukler Louis SPres., Global Mfg. & Supply
OtherCommon Stock, $0.10 par value 360 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000371 · wf-form4_145800626316259.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,038.309

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 01:44 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionCommon Stock, $0.10 par value 2,547 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000371 · wf-form4_145800626316259.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,678.309

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 01:44 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Tax withholdingCommon Stock, $0.10 par value 2,082 $64.94 $135,205.08
Disclosure

SEC source: 0000014272-16-000371 · wf-form4_145800626316259.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,131.309

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:44 UTC
Schmukler Louis SPres., Global Mfg. & Supply
OtherCommon Stock, $0.10 par value 1,885 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000371 · wf-form4_145800626316259.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,213.309

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 01:44 UTC
Schmukler Louis SPres., Global Mfg. & Supply
Exercise / conversionCommon Stock, $0.10 par value 2,739 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000371 · wf-form4_145800626316259.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,328.309

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 01:42 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Exercise / conversionPerformance Shares · Derivative 24,142.158 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000363 · wf-form4_145800612979295.xml · derivative · entry 19

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 · 24,142.158 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 01:42 UTC
von Autenried PaulSVP, Enterp. Services & CIO
OtherPerformance Shares · Derivative 553.478 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000363 · wf-form4_145800612979295.xml · derivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,142.158

Underlying: Common Stock, $0.10 par value · 553.478 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 01:42 UTC
von Autenried PaulSVP, Enterp. Services & CIO
GrantPerformance Shares · Derivative 9,177.325 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000363 · wf-form4_145800612979295.xml · derivative · entry 17

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,588.68

Underlying: Common Stock, $0.10 par value · 9,177.325 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 01:42 UTC
von Autenried PaulSVP, Enterp. Services & CIO
GrantPerformance Shares · Derivative 12,018 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000363 · wf-form4_145800612979295.xml · derivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,018

Underlying: Common Stock, $0.10 par value · 12,018 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 01:42 UTC
von Autenried PaulSVP, Enterp. Services & CIO
GrantMarket Share Units · Derivative 8,012 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000363 · wf-form4_145800612979295.xml · derivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,012

Underlying: Common Stock, $0.10 par value · 8,012 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 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%.

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 01:42 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Exercise / conversionMarket Share Units · Derivative 2,053 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000363 · wf-form4_145800612979295.xml · derivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,159

Underlying: Common Stock, $0.10 par value · 2,053 shares

Expires 2019-03-10

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

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 the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

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

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:42 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Exercise / conversionMarket Share Units · Derivative 2,472 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000363 · wf-form4_145800612979295.xml · derivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,944

Underlying: Common Stock, $0.10 par value · 2,472 shares

Expires 2018-03-10

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

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 the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

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

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:42 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Exercise / conversionMarket Share Units · Derivative 2,739 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000363 · wf-form4_145800612979295.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,740

Underlying: Common Stock, $0.10 par value · 2,739 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 the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

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

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:42 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Tax withholdingCommon Stock, $0.10 par value 12,519 $64.94 $812,983.86
Disclosure

SEC source: 0000014272-16-000363 · wf-form4_145800612979295.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,959.0656

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:42 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Exercise / conversionCommon Stock, $0.10 par value 24,142.158 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000363 · wf-form4_145800612979295.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,478.0656

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.

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 01:42 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Tax withholdingCommon Stock, $0.10 par value 1,048 $64.94 $68,057.12
Disclosure

SEC source: 0000014272-16-000363 · wf-form4_145800612979295.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,335.9076

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:42 UTC
von Autenried PaulSVP, Enterp. Services & CIO
OtherCommon Stock, $0.10 par value 32 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000363 · wf-form4_145800612979295.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,383.9076

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 01:42 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Exercise / conversionCommon Stock, $0.10 par value 2,053 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000363 · wf-form4_145800612979295.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,415.9076

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 01:42 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Tax withholdingCommon Stock, $0.10 par value 1,464 $64.94 $95,072.16
Disclosure

SEC source: 0000014272-16-000363 · wf-form4_145800612979295.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,362.9076

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:42 UTC
von Autenried PaulSVP, Enterp. Services & CIO
OtherCommon Stock, $0.10 par value 350 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000363 · wf-form4_145800612979295.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,826.9076

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 01:42 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Exercise / conversionCommon Stock, $0.10 par value 2,472 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000363 · wf-form4_145800612979295.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,476.9076

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 01:42 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Tax withholdingCommon Stock, $0.10 par value 2,187 $64.94 $142,023.78
Disclosure

SEC source: 0000014272-16-000363 · wf-form4_145800612979295.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,004.9076

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:42 UTC
von Autenried PaulSVP, Enterp. Services & CIO
OtherCommon Stock, $0.10 par value 1,885 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000363 · wf-form4_145800612979295.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,191.9076

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 01:42 UTC
von Autenried PaulSVP, Enterp. Services & CIO
Exercise / conversionCommon Stock, $0.10 par value 2,739 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000363 · wf-form4_145800612979295.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,306.9076

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 01:42 UTC
Caforio GiovanniDirector · Chief Executive Officer
Exercise / conversionPerformance Shares · Derivative 42,991.59 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000364 · wf-form4_145800614612241.xml · derivative · entry 19

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 · 42,991.59 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 01:42 UTC
Caforio GiovanniDirector · Chief Executive Officer
OtherPerformance Shares · Derivative 985.619 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000364 · wf-form4_145800614612241.xml · derivative · entry 18

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,991.59

Underlying: Common Stock, $0.10 par value · 985.619 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 01:42 UTC
Caforio GiovanniDirector · Chief Executive Officer
GrantPerformance Shares · Derivative 109,099 $0.00 $0.00
Disclosure

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

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,099

Underlying: Common Stock, $0.10 par value · 109,099 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 01:42 UTC
Caforio GiovanniDirector · Chief Executive Officer
GrantMarket Share Units · Derivative 72,733 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000364 · wf-form4_145800614612241.xml · derivative · entry 15

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,733

Underlying: Common Stock, $0.10 par value · 72,733 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 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%.

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 01:42 UTC
Caforio GiovanniDirector · Chief Executive Officer
Exercise / conversionMarket Share Units · Derivative 7,051 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000364 · wf-form4_145800614612241.xml · derivative · entry 14

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,154

Underlying: Common Stock, $0.10 par value · 7,051 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 the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

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

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:42 UTC
Caforio GiovanniDirector · Chief Executive Officer
Exercise / conversionMarket Share Units · Derivative 5,702 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000364 · wf-form4_145800614612241.xml · derivative · entry 13

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,404

Underlying: Common Stock, $0.10 par value · 5,702 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 the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

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

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

Read SEC document

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