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BRISTOL MYERS SQUIBB CO

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0000014272
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0 purchase rows · 4 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202602
May 202600
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Aug 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
March 10, 2016 Filed Mar 15, 2016 01:42 UTC
Caforio GiovanniDirector · Chief Executive Officer
Exercise / conversionMarket Share Units · Derivative 4,878 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000364 · wf-form4_145800614612241.xml · derivative · entry 12

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,879

Underlying: Common Stock, $0.10 par value · 4,878 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
Caforio GiovanniDirector · Chief Executive Officer
Tax withholdingCommon Stock, $0.10 par value 22,258 $64.94 $1,445,434.52
Disclosure

SEC source: 0000014272-16-000364 · wf-form4_145800614612241.xml · nonDerivative · entry 11

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,648.3365

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
Caforio GiovanniDirector · Chief Executive Officer
Exercise / conversionCommon Stock, $0.10 par value 42,991.59 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000364 · wf-form4_145800614612241.xml · nonDerivative · entry 10

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,906.3365

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.

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
Caforio GiovanniDirector · Chief Executive Officer
Tax withholdingCommon Stock, $0.10 par value 3,594 $64.94 $233,394.36
Disclosure

SEC source: 0000014272-16-000364 · wf-form4_145800614612241.xml · nonDerivative · entry 9

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,914.7465

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
Caforio GiovanniDirector · Chief Executive Officer
OtherCommon Stock, $0.10 par value 110 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000364 · wf-form4_145800614612241.xml · nonDerivative · entry 8

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,508.7465

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
Caforio GiovanniDirector · Chief Executive Officer
Exercise / conversionCommon Stock, $0.10 par value 7,051 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000364 · wf-form4_145800614612241.xml · nonDerivative · entry 7

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,618.7465

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
Caforio GiovanniDirector · Chief Executive Officer
Tax withholdingCommon Stock, $0.10 par value 3,370 $64.94 $218,847.80
Disclosure

SEC source: 0000014272-16-000364 · wf-form4_145800614612241.xml · nonDerivative · entry 6

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,567.7465

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
Caforio GiovanniDirector · Chief Executive Officer
OtherCommon Stock, $0.10 par value 807 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000364 · wf-form4_145800614612241.xml · nonDerivative · entry 5

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,937.7465

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
Caforio GiovanniDirector · Chief Executive Officer
Exercise / conversionCommon Stock, $0.10 par value 5,702 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000364 · wf-form4_145800614612241.xml · nonDerivative · entry 4

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,130.7465

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
Caforio GiovanniDirector · Chief Executive Officer
Tax withholdingCommon Stock, $0.10 par value 4,264 $64.94 $276,904.16
Disclosure

SEC source: 0000014272-16-000364 · wf-form4_145800614612241.xml · nonDerivative · entry 3

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,428.7465

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
Caforio GiovanniDirector · Chief Executive Officer
OtherCommon Stock, $0.10 par value 3,358 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000364 · wf-form4_145800614612241.xml · nonDerivative · entry 2

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,692.7465

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
Caforio GiovanniDirector · Chief Executive Officer
Exercise / conversionCommon Stock, $0.10 par value 4,878 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000364 · wf-form4_145800614612241.xml · nonDerivative · entry 1

Caforio Giovanni · CIK 0001533201 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,334.7465

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
LEUNG SANDRAEVP, General Counsel
Exercise / conversionPerformance Shares · Derivative 42,991.5905 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000365 · wf-form4_145800616079082.xml · derivative · entry 20

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 42,991.5905 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.

F12 · 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.

F12 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2016.

F12 · 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
LEUNG SANDRAEVP, General Counsel
OtherPerformance Shares · Derivative 985.6195 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000365 · wf-form4_145800616079082.xml · derivative · entry 19

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,991.5905

Underlying: Common Stock, $0.10 par value · 985.6195 shares

Expires 2016-03-10

F14 · derivative.exercise_price: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2016.

F15 · shares: Represents dividend equivalents earned under the 2013-2015 Long-Term Performance Award.

F14 · derivative.exercise_date: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2016.

F14 · 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
LEUNG SANDRAEVP, General Counsel
GrantPerformance Shares · Derivative 16,342.975 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000365 · wf-form4_145800616079082.xml · derivative · entry 18

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

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

F12 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2016.

F13 · shares: Represents performance shares earned under the 2013-2015 Long-Term Performance Award.

F12 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2016.

F12 · 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
LEUNG SANDRAEVP, General Counsel
GrantPerformance Shares · Derivative 26,604 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000365 · wf-form4_145800616079082.xml · derivative · entry 17

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,604

Underlying: Common Stock, $0.10 par value · 26,604 shares

Expires 2019-03-10

F11 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2019.

F11 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2019.

F11 · 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
LEUNG SANDRAEVP, General Counsel
GrantMarket Share Units · Derivative 17,736 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000365 · wf-form4_145800616079082.xml · derivative · entry 16

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,736

Underlying: Common Stock, $0.10 par value · 17,736 shares

Expires 2020-03-10

F9 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

F10 · derivative.exercise_date: Twenty-five percent of the market share unit award will vest on each of the first, second, third and fourth anniversaries of the grant date.

F10 · derivative.expiration_date: Twenty-five percent of the market share unit award will vest on each of the first, second, third and fourth anniversaries of the grant date.

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:42 UTC
LEUNG SANDRAEVP, General Counsel
Exercise / conversionMarket Share Units · Derivative 4,494 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000365 · wf-form4_145800616079082.xml · derivative · entry 15

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,483

Underlying: Common Stock, $0.10 par value · 4,494 shares

Expires 2019-03-10

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

F9 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

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

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:42 UTC
LEUNG SANDRAEVP, General Counsel
Exercise / conversionMarket Share Units · Derivative 5,120 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000365 · wf-form4_145800616079082.xml · derivative · entry 14

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,239

Underlying: Common Stock, $0.10 par value · 5,120 shares

Expires 2018-03-10

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

F9 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

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

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:42 UTC
LEUNG SANDRAEVP, General Counsel
Exercise / conversionMarket Share Units · Derivative 4,878 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000365 · wf-form4_145800616079082.xml · derivative · entry 13

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,879

Underlying: Common Stock, $0.10 par value · 4,878 shares

Expires 2017-03-10

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

F9 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.

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

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:42 UTC
LEUNG SANDRAEVP, General Counsel
Tax withholdingCommon Stock, $0.10 par value 22,223 $64.94 $1,443,161.62
Disclosure

SEC source: 0000014272-16-000365 · wf-form4_145800616079082.xml · nonDerivative · entry 11

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 344,507.3322

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
LEUNG SANDRAEVP, General Counsel
Exercise / conversionCommon Stock, $0.10 par value 42,991.5905 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000365 · wf-form4_145800616079082.xml · nonDerivative · entry 10

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 366,730.3322

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

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
LEUNG SANDRAEVP, General Counsel
Tax withholdingCommon Stock, $0.10 par value 2,287 $64.94 $148,517.78
Disclosure

SEC source: 0000014272-16-000365 · wf-form4_145800616079082.xml · nonDerivative · entry 9

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 323,738.7417

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
LEUNG SANDRAEVP, General Counsel
OtherCommon Stock, $0.10 par value 70 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000365 · wf-form4_145800616079082.xml · nonDerivative · entry 8

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 326,025.7417

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
LEUNG SANDRAEVP, General Counsel
Exercise / conversionCommon Stock, $0.10 par value 4,494 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000365 · wf-form4_145800616079082.xml · nonDerivative · entry 7

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 326,095.7417

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
LEUNG SANDRAEVP, General Counsel
Tax withholdingCommon Stock, $0.10 par value 3,021 $64.94 $196,183.74
Disclosure

SEC source: 0000014272-16-000365 · wf-form4_145800616079082.xml · nonDerivative · entry 6

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 321,601.7417

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
LEUNG SANDRAEVP, General Counsel
OtherCommon Stock, $0.10 par value 724 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000365 · wf-form4_145800616079082.xml · nonDerivative · entry 5

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,622.7417

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
LEUNG SANDRAEVP, General Counsel
Exercise / conversionCommon Stock, $0.10 par value 5,120 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000365 · wf-form4_145800616079082.xml · nonDerivative · entry 4

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 323,898.7417

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
LEUNG SANDRAEVP, General Counsel
Tax withholdingCommon Stock, $0.10 par value 4,258 $64.94 $276,514.52
Disclosure

SEC source: 0000014272-16-000365 · wf-form4_145800616079082.xml · nonDerivative · entry 3

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 318,778.7417

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
LEUNG SANDRAEVP, General Counsel
OtherCommon Stock, $0.10 par value 3,358 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000365 · wf-form4_145800616079082.xml · nonDerivative · entry 2

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 323,036.7417

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
LEUNG SANDRAEVP, General Counsel
Exercise / conversionCommon Stock, $0.10 par value 4,878 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000365 · wf-form4_145800616079082.xml · nonDerivative · entry 1

LEUNG SANDRA · CIK 0001199294 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 319,678.7417

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 01:43 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionPerformance Shares · Derivative 18,570.72 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000366 · wf-form4_145800617783608.xml · derivative · entry 19

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 18,570.72 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 01:43 UTC
Powell AnnSVP, Global Human Resources
OtherPerformance Shares · Derivative 425.751 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000366 · wf-form4_145800617783608.xml · derivative · entry 18

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,570.72

Underlying: Common Stock, $0.10 par value · 425.751 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 01:43 UTC
Powell AnnSVP, Global Human Resources
GrantPerformance Shares · Derivative 7,060.125 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000366 · wf-form4_145800617783608.xml · derivative · entry 17

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,144.969

Underlying: Common Stock, $0.10 par value · 7,060.125 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 01:43 UTC
Powell AnnSVP, Global Human Resources
GrantPerformance Shares · Derivative 14,953 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000366 · wf-form4_145800617783608.xml · derivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,953

Underlying: Common Stock, $0.10 par value · 14,953 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 01:43 UTC
Powell AnnSVP, Global Human Resources
GrantMarket Share Units · Derivative 9,968 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000366 · wf-form4_145800617783608.xml · derivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,968

Underlying: Common Stock, $0.10 par value · 9,968 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 01:43 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionMarket Share Units · Derivative 2,318 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000366 · wf-form4_145800617783608.xml · derivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,954

Underlying: Common Stock, $0.10 par value · 2,318 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 01:43 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionMarket Share Units · Derivative 2,439 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000366 · wf-form4_145800617783608.xml · derivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,879

Underlying: Common Stock, $0.10 par value · 2,439 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 01:43 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionMarket Share Units · Derivative 2,107 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000366 · wf-form4_145800617783608.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,108

Underlying: Common Stock, $0.10 par value · 2,107 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 01:43 UTC
Powell AnnSVP, Global Human Resources
Tax withholdingCommon Stock, $0.10 par value 8,363 $64.94 $543,093.22
Disclosure

SEC source: 0000014272-16-000366 · wf-form4_145800617783608.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,705.72

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:43 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionCommon Stock, $0.10 par value 18,570.72 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000366 · wf-form4_145800617783608.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,068.72

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.

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 01:43 UTC
Powell AnnSVP, Global Human Resources
Tax withholdingCommon Stock, $0.10 par value 1,028 $64.94 $66,758.32
Disclosure

SEC source: 0000014272-16-000366 · wf-form4_145800617783608.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,498

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:43 UTC
Powell AnnSVP, Global Human Resources
OtherCommon Stock, $0.10 par value 36 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000366 · wf-form4_145800617783608.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,526

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 01:43 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionCommon Stock, $0.10 par value 2,318 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000366 · wf-form4_145800617783608.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,562

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 01:43 UTC
Powell AnnSVP, Global Human Resources
Tax withholdingCommon Stock, $0.10 par value 1,254 $64.94 $81,434.76
Disclosure

SEC source: 0000014272-16-000366 · wf-form4_145800617783608.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,244

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:43 UTC
Powell AnnSVP, Global Human Resources
OtherCommon Stock, $0.10 par value 345 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000366 · wf-form4_145800617783608.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,498

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 01:43 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionCommon Stock, $0.10 par value 2,439 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000366 · wf-form4_145800617783608.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,153

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 01:43 UTC
Powell AnnSVP, Global Human Resources
Tax withholdingCommon Stock, $0.10 par value 1,190 $64.94 $77,278.60
Disclosure

SEC source: 0000014272-16-000366 · wf-form4_145800617783608.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,714

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

Read SEC document
March 10, 2016 Filed Mar 15, 2016 01:43 UTC
Powell AnnSVP, Global Human Resources
OtherCommon Stock, $0.10 par value 1,450 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000366 · wf-form4_145800617783608.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,904

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 01:43 UTC
Powell AnnSVP, Global Human Resources
Exercise / conversionCommon Stock, $0.10 par value 2,107 $0.00 $0.00
Disclosure

SEC source: 0000014272-16-000366 · wf-form4_145800617783608.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,454

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

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