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BRISTOL MYERS SQUIBB CO

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0000014272
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Last 12 months

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0 purchase rows · 4 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202602
May 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
April 01, 2014 Filed Apr 3, 2014 20:17 UTC
Powell AnnSVP, Human Resources
Tax withholdingCommon Stock, $0.10 par value 473 $51.87 $24,534.51
Disclosure

SEC source: 0000014272-14-000164 · wf-form4_139655625972688.xml · nonDerivative · entry 2

JUDGE ANN POWELL · CIK 0001570844 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,220

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

Read SEC document
April 01, 2014 Filed Apr 3, 2014 20:17 UTC
Powell AnnSVP, Human Resources
Exercise / conversionCommon Stock, $0.10 par value 1,554 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000164 · wf-form4_139655625972688.xml · nonDerivative · entry 1

JUDGE ANN POWELL · CIK 0001570844 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,693

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, 2014 Filed Apr 2, 2014 11:51 UTC GrantCommon Stock, $0.10 par value 481 $51.95 $24,987.95
Disclosure

SEC source: 0000014272-14-000156 · wf-form4_139643945583184.xml · nonDerivative · entry 3

CORNELIUS JAMES M · CIK 0001198959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 268,038

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

Read SEC document
March 31, 2014 Filed Apr 2, 2014 11:51 UTC GrantDeferred Share Units · Derivative 288.46 $52.00 $14,999.92
Disclosure

SEC source: 0000014272-14-000157 · wf-form4_139643947494489.xml · derivative · entry 1

GROBSTEIN MICHAEL · CIK 0001222342 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,625.66

Underlying: Common Stock, $0.10 par value · 288.46 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, 2014 Filed Apr 2, 2014 11:52 UTC GrantDeferred Share Units · Derivative 229.57 $52.00 $11,937.64
Disclosure

SEC source: 0000014272-14-000159 · wf-form4_139643951629201.xml · derivative · entry 1

Paliwal Dinesh C · CIK 0001360224 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,519.71

Underlying: Common Stock, $0.10 par value · 229.57 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, 2014 Filed Apr 2, 2014 11:51 UTC GrantDeferred Share Units · Derivative 126.2 $52.00 $6,562.40
Disclosure

SEC source: 0000014272-14-000158 · wf-form4_139643950010072.xml · derivative · entry 1

Lynch Thomas J. Jr. · CIK 0001474056 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,573.04

Underlying: Common Stock, $0.10 par value · 126.2 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, 2014 Filed Apr 2, 2014 11:52 UTC GrantDeferred Share Units · Derivative 576.92 $52.00 $29,999.84
Disclosure

SEC source: 0000014272-14-000160 · wf-form4_139643953354501.xml · derivative · entry 1

Storch Gerald L · CIK 0001205004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,920.68

Underlying: Common Stock, $0.10 par value · 576.92 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, 2014 Filed Jul 2, 2014 22:26 UTC Amendment GrantDeferred Share Units · Derivative 234.38 $52.00 $12,187.76
Disclosure

SEC source: 0000014272-14-000199 · wf-form4a_140433994562254.xml · derivative · entry 1

Paliwal Dinesh C · CIK 0001360224 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,541.15

Underlying: Common Stock, $0.10 par value · 234.38 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: This Form 4 is being amended to reflect the correct number of deferred share units received by the reporting person on the transaction date and to reflect the correct number of dividends reinvested as of the transaction date.

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 · derivative.underlying_shares: This Form 4 is being amended to reflect the correct number of deferred share units received by the reporting person on the transaction date and to reflect the correct number of dividends reinvested as of the transaction date.

F2 · balance_after: This Form 4 is being amended to reflect the correct number of deferred share units received by the reporting person on the transaction date and to reflect the correct number of dividends reinvested as of the transaction date.

F3 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
March 13, 2014 Filed Mar 13, 2014 20:32 UTC
Caldarella Joseph CSVP & Controller
SaleCommon Stock, $0.10 par value 9,137 $55.20 $504,362.40
Disclosure

SEC source: 0000014272-14-000150 · wf-form4_139474276086595.xml · nonDerivative · entry 1

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,965

Read SEC document
March 13, 2014 Filed Apr 2, 2014 11:51 UTC GiftCommon Stock, $0.10 par value 2,918 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000156 · wf-form4_139643945583184.xml · nonDerivative · entry 2

CORNELIUS JAMES M · CIK 0001198959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,557

Read SEC document
March 13, 2014 Filed Apr 2, 2014 11:51 UTC GiftCommon Stock, $0.10 par value 2,918 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000156 · wf-form4_139643945583184.xml · nonDerivative · entry 1

CORNELIUS JAMES M · CIK 0001198959 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,475

Read SEC document
March 10, 2014 Filed Mar 10, 2014 20:40 UTC
ANDREOTTI LAMBERTODirector · Chief Executive Officer
SaleCommon Stock, $0.10 par value 100,000 $55.52 $5,552,260.00
Disclosure

SEC source: 0000014272-14-000109 · wf-form4_139448399689767.xml · nonDerivative · entry 4

ANDREOTTI LAMBERTO · CIK 0001208099 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 630,783

F4 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $55.22 to $55.89, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
March 10, 2014 Filed Mar 10, 2014 20:40 UTC
Bancroft Charles AEVP & Chief Financial Officer
Exercise / conversionMarket Share Units · Derivative 7,323 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000110 · wf-form4_139448401304293.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,647

Underlying: Common Stock, $0.10 par value · 7,323 shares

Expires 2016-03-06

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

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

F1 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 6, 2012.

F1 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 6, 2012.

Read SEC document
March 10, 2014 Filed Mar 10, 2014 20:43 UTC
Schmukler Louis SPres., Global Mfg. & Supply
SaleCommon Stock, $0.10 par value 8,799 $55.81 $491,063.39
Disclosure

SEC source: 0000014272-14-000119 · wf-form4_139448417329310.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,860.789

F4 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $55.8013 to $55.825, 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
March 10, 2014 Filed Mar 12, 2014 20:50 UTC
ANDREOTTI LAMBERTODirector · Chief Executive Officer
GrantMarket Share Units · Derivative 84,950 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000135 · wf-form4_139465742836650.xml · derivative · entry 5

ANDREOTTI LAMBERTO · CIK 0001208099 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,950

Underlying: Common Stock, $0.10 par value · 84,950 shares

Expires 2018-03-10

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

F5 · 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.

F5 · 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, 2014 Filed Mar 12, 2014 20:50 UTC
ANDREOTTI LAMBERTODirector · Chief Executive Officer
Exercise / conversionMarket Share Units · Derivative 27,613 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000135 · wf-form4_139465742836650.xml · derivative · entry 4

ANDREOTTI LAMBERTO · CIK 0001208099 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,840

Underlying: Common Stock, $0.10 par value · 27,613 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.

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

F1 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on 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, 2014 Filed Mar 12, 2014 20:50 UTC
ANDREOTTI LAMBERTODirector · Chief Executive Officer
Tax withholdingCommon Stock, $0.10 par value 22,451 $56.14 $1,260,399.14
Disclosure

SEC source: 0000014272-14-000135 · wf-form4_139465742836650.xml · nonDerivative · entry 3

ANDREOTTI LAMBERTO · CIK 0001208099 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 648,479

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

Read SEC document
March 10, 2014 Filed Mar 12, 2014 20:50 UTC
ANDREOTTI LAMBERTODirector · Chief Executive Officer
OtherCommon Stock, $0.10 par value 12,534 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000135 · wf-form4_139465742836650.xml · nonDerivative · entry 2

ANDREOTTI LAMBERTO · CIK 0001208099 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 670,930

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

Read SEC document
March 10, 2014 Filed Mar 12, 2014 20:50 UTC
ANDREOTTI LAMBERTODirector · Chief Executive Officer
Exercise / conversionCommon Stock, $0.10 par value 27,613 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000135 · wf-form4_139465742836650.xml · nonDerivative · entry 1

ANDREOTTI LAMBERTO · CIK 0001208099 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 658,396

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, 2014 Filed Mar 12, 2014 20:50 UTC
Bancroft Charles AEVP & Chief Financial Officer
GrantMarket Share Units · Derivative 27,316 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000136 · wf-form4_139465744321401.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,316

Underlying: Common Stock, $0.10 par value · 27,316 shares

Expires 2018-03-10

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

F5 · 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.

F5 · 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, 2014 Filed Mar 12, 2014 20:50 UTC
Bancroft Charles AEVP & Chief Financial Officer
Exercise / conversionMarket Share Units · Derivative 6,410 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000136 · wf-form4_139465744321401.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,230

Underlying: Common Stock, $0.10 par value · 6,410 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.

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

F1 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on 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, 2014 Filed Mar 12, 2014 20:50 UTC
Bancroft Charles AEVP & Chief Financial Officer
Tax withholdingCommon Stock, $0.10 par value 4,196 $56.14 $235,563.44
Disclosure

SEC source: 0000014272-14-000136 · wf-form4_139465744321401.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,185.166

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

Read SEC document
March 10, 2014 Filed Mar 12, 2014 20:50 UTC
Bancroft Charles AEVP & Chief Financial Officer
OtherCommon Stock, $0.10 par value 2,909 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000136 · wf-form4_139465744321401.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,381.166

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

Read SEC document
March 10, 2014 Filed Mar 12, 2014 20:50 UTC
Bancroft Charles AEVP & Chief Financial Officer
Exercise / conversionCommon Stock, $0.10 par value 6,410 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000136 · wf-form4_139465744321401.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,472.166

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, 2014 Filed Mar 12, 2014 20:51 UTC
Caforio GiovanniEVP & Chief Commercial Officer
GrantMarket Share Units · Derivative 22,807 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000137 · wf-form4_139465745662350.xml · derivative · entry 5

Caforio Giovanni · CIK 0001533201 · EVP & Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,807

Underlying: Common Stock, $0.10 par value · 22,807 shares

Expires 2018-03-10

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

F5 · 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.

F5 · 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, 2014 Filed Mar 12, 2014 20:51 UTC
Caforio GiovanniEVP & Chief Commercial Officer
Exercise / conversionMarket Share Units · Derivative 4,878 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000137 · wf-form4_139465745662350.xml · derivative · entry 4

Caforio Giovanni · CIK 0001533201 · EVP & Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,635

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.

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

F1 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on 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, 2014 Filed Mar 12, 2014 20:51 UTC
Caforio GiovanniEVP & Chief Commercial Officer
Tax withholdingCommon Stock, $0.10 par value 3,678 $56.14 $206,482.92
Disclosure

SEC source: 0000014272-14-000137 · wf-form4_139465745662350.xml · nonDerivative · entry 3

Caforio Giovanni · CIK 0001533201 · EVP & Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,445.716

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

Read SEC document
March 10, 2014 Filed Mar 12, 2014 20:51 UTC
Caforio GiovanniEVP & Chief Commercial Officer
OtherCommon Stock, $0.10 par value 2,214 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000137 · wf-form4_139465745662350.xml · nonDerivative · entry 2

Caforio Giovanni · CIK 0001533201 · EVP & Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,123.716

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

Read SEC document
March 10, 2014 Filed Mar 12, 2014 20:51 UTC
Caforio GiovanniEVP & Chief Commercial Officer
Exercise / conversionCommon Stock, $0.10 par value 4,878 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000137 · wf-form4_139465745662350.xml · nonDerivative · entry 1

Caforio Giovanni · CIK 0001533201 · EVP & Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,909.716

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, 2014 Filed Mar 12, 2014 20:51 UTC
Caldarella Joseph CSVP & Controller
GrantMarket Share Units · Derivative 4,506 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000138 · wf-form4_139465747093142.xml · derivative · entry 6

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,506

Underlying: Common Stock, $0.10 par value · 4,506 shares

Expires 2018-03-10

F5 · 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%.

F6 · 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.

F6 · 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, 2014 Filed Mar 12, 2014 20:51 UTC
Caldarella Joseph CSVP & Controller
Exercise / conversionMarket Share Units · Derivative 1,850 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000138 · wf-form4_139465747093142.xml · derivative · entry 5

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,553

Underlying: Common Stock, $0.10 par value · 1,850 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.

F5 · 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, 2014 Filed Mar 12, 2014 20:51 UTC
Caldarella Joseph CSVP & Controller
Tax withholdingCommon Stock, $0.10 par value 1,506 $56.14 $84,546.84
Disclosure

SEC source: 0000014272-14-000138 · wf-form4_139465747093142.xml · nonDerivative · entry 3

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,102

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

Read SEC document
March 10, 2014 Filed Mar 12, 2014 20:51 UTC
Caldarella Joseph CSVP & Controller
OtherCommon Stock, $0.10 par value 840 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000138 · wf-form4_139465747093142.xml · nonDerivative · entry 2

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,608

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

Read SEC document
March 10, 2014 Filed Mar 12, 2014 20:51 UTC
Caldarella Joseph CSVP & Controller
Exercise / conversionCommon Stock, $0.10 par value 1,850 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000138 · wf-form4_139465747093142.xml · nonDerivative · entry 1

Caldarella Joseph C · CIK 0001341069 · SVP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,768

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, 2014 Filed Mar 12, 2014 20:51 UTC GrantMarket Share Units · Derivative 21,118 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000139 · wf-form4_139465748687174.xml · derivative · entry 5

Cuss Francis M · CIK 0001490216 · EVP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,118

Underlying: Common Stock, $0.10 par value · 21,118 shares

Expires 2018-03-10

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

F5 · 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.

F5 · 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, 2014 Filed Mar 12, 2014 20:51 UTC Exercise / conversionMarket Share Units · Derivative 2,739 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000139 · wf-form4_139465748687174.xml · derivative · entry 4

Cuss Francis M · CIK 0001490216 · EVP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,219

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.

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

F1 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on 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, 2014 Filed Mar 12, 2014 20:51 UTC Tax withholdingCommon Stock, $0.10 par value 2,065 $56.14 $115,929.10
Disclosure

SEC source: 0000014272-14-000139 · wf-form4_139465748687174.xml · nonDerivative · entry 3

Cuss Francis M · CIK 0001490216 · EVP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,446.292

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

Read SEC document
March 10, 2014 Filed Mar 12, 2014 20:51 UTC OtherCommon Stock, $0.10 par value 1,243 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000139 · wf-form4_139465748687174.xml · nonDerivative · entry 2

Cuss Francis M · CIK 0001490216 · EVP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,511.292

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

Read SEC document
March 10, 2014 Filed Mar 12, 2014 20:51 UTC Exercise / conversionCommon Stock, $0.10 par value 2,739 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000139 · wf-form4_139465748687174.xml · nonDerivative · entry 1

Cuss Francis M · CIK 0001490216 · EVP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 239,268.292

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, 2014 Filed Mar 12, 2014 20:51 UTC
DANIELS BRIANSVP Global Dev & Med Affairs
GrantMarket Share Units · Derivative 6,741 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000140 · wf-form4_139465750302579.xml · derivative · entry 5

DANIELS BRIAN · CIK 0001428698 · SVP Global Dev & Med Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,741

Underlying: Common Stock, $0.10 par value · 6,741 shares

Expires 2018-03-10

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

F5 · 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.

F5 · 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, 2014 Filed Mar 12, 2014 20:51 UTC
DANIELS BRIANSVP Global Dev & Med Affairs
Exercise / conversionMarket Share Units · Derivative 2,528 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000140 · wf-form4_139465750302579.xml · derivative · entry 4

DANIELS BRIAN · CIK 0001428698 · SVP Global Dev & Med Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,587

Underlying: Common Stock, $0.10 par value · 2,528 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.

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

F1 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on 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, 2014 Filed Mar 12, 2014 20:51 UTC
DANIELS BRIANSVP Global Dev & Med Affairs
Tax withholdingCommon Stock, $0.10 par value 1,655 $56.14 $92,911.70
Disclosure

SEC source: 0000014272-14-000140 · wf-form4_139465750302579.xml · nonDerivative · entry 3

DANIELS BRIAN · CIK 0001428698 · SVP Global Dev & Med Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,806.041

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

Read SEC document
March 10, 2014 Filed Mar 12, 2014 20:51 UTC
DANIELS BRIANSVP Global Dev & Med Affairs
OtherCommon Stock, $0.10 par value 1,147 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000140 · wf-form4_139465750302579.xml · nonDerivative · entry 2

DANIELS BRIAN · CIK 0001428698 · SVP Global Dev & Med Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,461.041

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

Read SEC document
March 10, 2014 Filed Mar 12, 2014 20:51 UTC
DANIELS BRIANSVP Global Dev & Med Affairs
Exercise / conversionCommon Stock, $0.10 par value 2,528 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000140 · wf-form4_139465750302579.xml · nonDerivative · entry 1

DANIELS BRIAN · CIK 0001428698 · SVP Global Dev & Med Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,314.041

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, 2014 Filed Mar 12, 2014 20:52 UTC
Elicker John ESVP Pub Affairs & Inv Relation
GrantMarket Share Units · Derivative 5,683 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000141 · wf-form4_139465751944232.xml · derivative · entry 5

Elicker John E · CIK 0001554788 · SVP Pub Affairs & Inv Relation

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,683

Underlying: Common Stock, $0.10 par value · 5,683 shares

Expires 2018-03-10

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

F5 · 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.

F5 · 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, 2014 Filed Mar 12, 2014 20:52 UTC
Elicker John ESVP Pub Affairs & Inv Relation
Exercise / conversionMarket Share Units · Derivative 1,850 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000141 · wf-form4_139465751944232.xml · derivative · entry 4

Elicker John E · CIK 0001554788 · SVP Pub Affairs & Inv Relation

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,553

Underlying: Common Stock, $0.10 par value · 1,850 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.

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

F1 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on 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, 2014 Filed Mar 12, 2014 20:52 UTC
Elicker John ESVP Pub Affairs & Inv Relation
Tax withholdingCommon Stock, $0.10 par value 1,212 $56.14 $68,041.68
Disclosure

SEC source: 0000014272-14-000141 · wf-form4_139465751944232.xml · nonDerivative · entry 3

Elicker John E · CIK 0001554788 · SVP Pub Affairs & Inv Relation

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,026.97

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

Read SEC document
March 10, 2014 Filed Mar 12, 2014 20:52 UTC
Elicker John ESVP Pub Affairs & Inv Relation
OtherCommon Stock, $0.10 par value 840 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000141 · wf-form4_139465751944232.xml · nonDerivative · entry 2

Elicker John E · CIK 0001554788 · SVP Pub Affairs & Inv Relation

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,238.97

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

Read SEC document
March 10, 2014 Filed Mar 12, 2014 20:52 UTC
Elicker John ESVP Pub Affairs & Inv Relation
Exercise / conversionCommon Stock, $0.10 par value 1,850 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000141 · wf-form4_139465751944232.xml · nonDerivative · entry 1

Elicker John E · CIK 0001554788 · SVP Pub Affairs & Inv Relation

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,398.97

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, 2014 Filed Mar 12, 2014 20:52 UTC
Heller Frances KSVP, Business Development
GrantMarket Share Units · Derivative 5,109 $0.00 $0.00
Disclosure

SEC source: 0000014272-14-000142 · wf-form4_139465753285895.xml · derivative · entry 6

Heller Frances K · CIK 0001441724 · SVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,109

Underlying: Common Stock, $0.10 par value · 5,109 shares

Expires 2018-03-10

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

F5 · 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.

F5 · 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

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