Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BRISTOL MYERS SQUIBB COBMY · Entity 1662 | Director | March 31, 2021 | April 02, 2021 |
| RTX CorpRTX · Entity 2823 | Director | May 02, 2023 | May 04, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
BRISTOL MYERS SQUIBB CO
Report date March 31, 2021 · Filed April 02, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Deferred Share UnitsSEC Table II · derivative / convertible security | Direct | 40,501.112 |
Reported balance
After 2021-03-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-03-31 · Grant · Acquired 613.813 · Balance 40,501.112 F1: 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: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.
RTX Corp
Report date May 02, 2023 · Filed May 04, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitSEC Table II · derivative / convertible security | Direct | 19,198.5018 |
Reported balance
After 2023-05-02 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-05-02 · Grant · Acquired 4,096.2881 · Balance 19,198.5018 F1: The reporting person acquired these stock units under the Raytheon Technologies Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person acquired these stock units under the Raytheon Technologies Corporation Board of Directors Deferred Stock Unit Plan (the "Plan") in connection with the reporting person's annual compensation for service as a non-employee director. The Plan provides for payment of a portion or all of the annual compensation in deferred stock units. Upon retirement or termination, the deferred stock units in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
HARMAN INTERNATIONAL INDUSTRIES INC /DE/
Report date March 10, 2017 · Filed March 15, 2017
Section 16 reporting ended · disclosed 2017-03-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2017-03-10 transaction · row 11
9 source rows · reconciled sequenceRow 1 · 2017-03-10 · Exercise / conversion · Acquired 33,062 · Balance 206,489 F1: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). Row 2 · 2017-03-10 · Exercise / conversion · Acquired 19,172 · Balance 225,661 F1: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). Row 3 · 2017-03-10 · Exercise / conversion · Acquired 17,302 · Balance 242,963 F1: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). Row 4 · 2017-03-10 · Grant · Acquired 48,455 · Balance 291,418 F1: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). F2: Upon the Closing, all unvested RSUs held by the Reporting Person were cancelled and converted into the right to receive an amount of cash equal to the number of shares at the Merger Consideration of $112 per share. F3: With respect to outstanding performance restricted stock units ("PRSUs"), 60% of the target award amount and a pro rata portion of the remaining 40%, calculated based on number of days lapsed between date of grant and March 10, 2017, were vested and converted to cash, and the remaining PRSUs were forfeited. Row 5 · 2017-03-10 · Grant · Acquired 68,855 · Balance 360,273 F1: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). F2: Upon the Closing, all unvested RSUs held by the Reporting Person were cancelled and converted into the right to receive an amount of cash equal to the number of shares at the Merger Consideration of $112 per share. F3: With respect to outstanding performance restricted stock units ("PRSUs"), 60% of the target award amount and a pro rata portion of the remaining 40%, calculated based on number of days lapsed between date of grant and March 10, 2017, were vested and converted to cash, and the remaining PRSUs were forfeited. Row 6 · 2017-03-10 · Grant · Acquired 65,961 · Balance 426,234 F1: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). F3: With respect to outstanding performance restricted stock units ("PRSUs"), 60% of the target award amount and a pro rata portion of the remaining 40%, calculated based on number of days lapsed between date of grant and March 10, 2017, were vested and converted to cash, and the remaining PRSUs were forfeited. F2: Upon the Closing, all unvested RSUs held by the Reporting Person were cancelled and converted into the right to receive an amount of cash equal to the number of shares at the Merger Consideration of $112 per share. Row 7 · 2017-03-10 · Tax withholding · Disposed 123,485 · Balance 302,749 F1: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). F5: Represents the aggregate number of shares of common stock of the issuer withheld to cover taxes due upon vesting of the restricted share units reported in Column 4. Row 10 · 2017-03-10 · Disposition to issuer · Disposed 129,323 · Balance 173,426 F1: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). Row 11 · 2017-03-10 · Disposition to issuer · Disposed 173,426 · Balance 0 F1: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) | 0 |
Reported balance
After 2017-03-10 transaction · row 8
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 8 · 2017-03-10 · Disposition to issuer · Disposed 18,712.72 · Balance 0 F1: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k)Plan | 0 |
Reported balance
After 2017-03-10 transaction · row 9
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 9 · 2017-03-10 · Disposition to issuer · Disposed 19,017.75 · Balance 0 F1: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). |
| Restricted Share UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-03-10 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2017-03-10 · Exercise / conversion · Disposed 33,062 · Balance 0 F2: Upon the Closing, all unvested RSUs held by the Reporting Person were cancelled and converted into the right to receive an amount of cash equal to the number of shares at the Merger Consideration of $112 per share. |
| Restricted Share UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-03-10 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2017-03-10 · Exercise / conversion · Disposed 19,172 · Balance 0 F2: Upon the Closing, all unvested RSUs held by the Reporting Person were cancelled and converted into the right to receive an amount of cash equal to the number of shares at the Merger Consideration of $112 per share. |
| Restricted Share UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-03-10 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2017-03-10 · Exercise / conversion · Disposed 17,302 · Balance 0 F2: Upon the Closing, all unvested RSUs held by the Reporting Person were cancelled and converted into the right to receive an amount of cash equal to the number of shares at the Merger Consideration of $112 per share. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $116.65 | Direct | 0 |
Reported balance
After 2017-03-10 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2017-03-10 · Exercise / conversion · Disposed 100,000 · Balance 0 F4: Any option or stock appreciation right that has an exercise price that equals or exceeds the merger consideration will be cancelled without consideration. |
Filing footnotes · ownership attribution and instrument terms
F1: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration").
F2: Upon the Closing, all unvested RSUs held by the Reporting Person were cancelled and converted into the right to receive an amount of cash equal to the number of shares at the Merger Consideration of $112 per share.
F3: With respect to outstanding performance restricted stock units ("PRSUs"), 60% of the target award amount and a pro rata portion of the remaining 40%, calculated based on number of days lapsed between date of grant and March 10, 2017, were vested and converted to cash, and the remaining PRSUs were forfeited.
F4: Any option or stock appreciation right that has an exercise price that equals or exceeds the merger consideration will be cancelled without consideration.
F5: Represents the aggregate number of shares of common stock of the issuer withheld to cover taxes due upon vesting of the restricted share units reported in Column 4.
RAYTHEON CO/
Report date April 03, 2020 · Filed April 07, 2020
Section 16 reporting ended · disclosed 2020-04-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-04-03 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-04-03 · Disposition to issuer · Disposed 2,849 · Balance 0 F1: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock. |
| Common StockSEC Table I · non-derivative | IndirectBenefit Plan | 0 |
Reported balance
After 2020-04-03 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2020-04-03 · Disposition to issuer · Disposed 146 · Balance 0 F2: Represents shares of Raytheon Common Stock in the Reporting Person's benefit plan account. F1: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock. |
| Deferred Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 668 |
Reported balance
After 2020-04-03 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-04-03 · Disposition to issuer · Disposed 878 · Balance 668 F3: Represents restricted stock units ("RSUs") granted under the Director Deferred Restricted Stock Unit Program on May 30, 2019. These RSUs were converted into shares of UTC Common Stock pursuant to the terms of the Merger Agreement. |
| Deferred Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-04-03 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-04-03 · Disposition to issuer · Disposed 668 · Balance 0 F4: Represents RSUs granted under the Director Deferred Restricted Stock Unit Program on May 31, 2018. These RSUs were converted into shares of UTC Common Stock pursuant to the terms of the Merger Agreement. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the terms of the Agreement and Plan of Merger, dated as of June 9, 2019, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of March 9, 2020, by and between United Technologies Corporation ("UTC") and Raytheon Company ("Raytheon") (the "Merger Agreement"), on April 3, 2020 (the "Closing Date"), Raytheon became a wholly owned subsidiary of UTC, with UTC becoming Raytheon Technologies Corporation. Pursuant to the Merger Agreement, on the Closing Date, each share of Raytheon Common Stock held by the reporting person was converted automatically into 2.3348 shares of UTC Common Stock.
F2: Represents shares of Raytheon Common Stock in the Reporting Person's benefit plan account.
F3: Represents restricted stock units ("RSUs") granted under the Director Deferred Restricted Stock Unit Program on May 30, 2019. These RSUs were converted into shares of UTC Common Stock pursuant to the terms of the Merger Agreement.
F4: Represents RSUs granted under the Director Deferred Restricted Stock Unit Program on May 31, 2018. These RSUs were converted into shares of UTC Common Stock pursuant to the terms of the Merger Agreement.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 10, 2017 Filed Mar 15, 2017 06:00 UTC | HARMAN INTERNATIONAL INDUSTRIES INC /DE/ HAR · Entity 177647 | Disposition to issuerCommon Stock | 129,323 | $112.00 | $14,484,176.00 |
DisclosureSEC source: 0001246360-17-001381 · form.xml · nonDerivative · entry 10 Paliwal Dinesh C · CIK 0001360224 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,426 F1 · date: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). F1 · shares: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). Read SEC document |
| March 10, 2017 Filed Mar 15, 2017 06:00 UTC | HARMAN INTERNATIONAL INDUSTRIES INC /DE/ HAR · Entity 177647 | Disposition to issuerCommon Stock | 19,017.75 | $112.00 | $2,129,988.00 |
DisclosureSEC source: 0001246360-17-001381 · form.xml · nonDerivative · entry 9 Paliwal Dinesh C · CIK 0001360224 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By 401(k)Plan Disclosed balance after: 0 F1 · date: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). F1 · shares: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). Read SEC document |
| March 10, 2017 Filed Mar 15, 2017 06:00 UTC | HARMAN INTERNATIONAL INDUSTRIES INC /DE/ HAR · Entity 177647 | Disposition to issuerCommon Stock | 18,712.72 | $112.00 | $2,095,824.64 |
DisclosureSEC source: 0001246360-17-001381 · form.xml · nonDerivative · entry 8 Paliwal Dinesh C · CIK 0001360224 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By 401(k) Disclosed balance after: 0 F1 · date: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). F1 · shares: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). Read SEC document |
| March 10, 2017 Filed Mar 15, 2017 06:00 UTC | HARMAN INTERNATIONAL INDUSTRIES INC /DE/ HAR · Entity 177647 | Tax withholdingCommon Stock | 123,485 | $112.00 | $13,830,320.00 |
DisclosureSEC source: 0001246360-17-001381 · form.xml · nonDerivative · entry 7 Paliwal Dinesh C · CIK 0001360224 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 302,749 F1 · date: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). F5 · shares: Represents the aggregate number of shares of common stock of the issuer withheld to cover taxes due upon vesting of the restricted share units reported in Column 4. Read SEC document |
| March 10, 2017 Filed Mar 15, 2017 06:00 UTC | HARMAN INTERNATIONAL INDUSTRIES INC /DE/ HAR · Entity 177647 | GrantCommon Stock | 65,961 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-17-001381 · form.xml · nonDerivative · entry 6 Paliwal Dinesh C · CIK 0001360224 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 426,234 F1 · date: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). F3 · shares: With respect to outstanding performance restricted stock units ("PRSUs"), 60% of the target award amount and a pro rata portion of the remaining 40%, calculated based on number of days lapsed between date of grant and March 10, 2017, were vested and converted to cash, and the remaining PRSUs were forfeited. F2 · shares: Upon the Closing, all unvested RSUs held by the Reporting Person were cancelled and converted into the right to receive an amount of cash equal to the number of shares at the Merger Consideration of $112 per share. Read SEC document |
| March 10, 2017 Filed Mar 15, 2017 06:00 UTC | HARMAN INTERNATIONAL INDUSTRIES INC /DE/ HAR · Entity 177647 | GrantCommon Stock | 68,855 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-17-001381 · form.xml · nonDerivative · entry 5 Paliwal Dinesh C · CIK 0001360224 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 360,273 F1 · date: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). F2 · shares: Upon the Closing, all unvested RSUs held by the Reporting Person were cancelled and converted into the right to receive an amount of cash equal to the number of shares at the Merger Consideration of $112 per share. F3 · shares: With respect to outstanding performance restricted stock units ("PRSUs"), 60% of the target award amount and a pro rata portion of the remaining 40%, calculated based on number of days lapsed between date of grant and March 10, 2017, were vested and converted to cash, and the remaining PRSUs were forfeited. Read SEC document |
| March 10, 2017 Filed Mar 15, 2017 06:00 UTC | HARMAN INTERNATIONAL INDUSTRIES INC /DE/ HAR · Entity 177647 | GrantCommon Stock | 48,455 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-17-001381 · form.xml · nonDerivative · entry 4 Paliwal Dinesh C · CIK 0001360224 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 291,418 F1 · date: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). F2 · shares: Upon the Closing, all unvested RSUs held by the Reporting Person were cancelled and converted into the right to receive an amount of cash equal to the number of shares at the Merger Consideration of $112 per share. F3 · shares: With respect to outstanding performance restricted stock units ("PRSUs"), 60% of the target award amount and a pro rata portion of the remaining 40%, calculated based on number of days lapsed between date of grant and March 10, 2017, were vested and converted to cash, and the remaining PRSUs were forfeited. Read SEC document |
| March 10, 2017 Filed Mar 15, 2017 06:00 UTC | HARMAN INTERNATIONAL INDUSTRIES INC /DE/ HAR · Entity 177647 | Exercise / conversionCommon Stock | 17,302 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-17-001381 · form.xml · nonDerivative · entry 3 Paliwal Dinesh C · CIK 0001360224 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 242,963 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 · date: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). F1 · shares: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). Read SEC document |
| March 10, 2017 Filed Mar 15, 2017 06:00 UTC | HARMAN INTERNATIONAL INDUSTRIES INC /DE/ HAR · Entity 177647 | Exercise / conversionCommon Stock | 19,172 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-17-001381 · form.xml · nonDerivative · entry 2 Paliwal Dinesh C · CIK 0001360224 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,661 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 · date: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). F1 · shares: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). Read SEC document |
| March 10, 2017 Filed Mar 15, 2017 06:00 UTC | HARMAN INTERNATIONAL INDUSTRIES INC /DE/ HAR · Entity 177647 | Exercise / conversionCommon Stock | 33,062 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-17-001381 · form.xml · nonDerivative · entry 1 Paliwal Dinesh C · CIK 0001360224 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 206,489 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 · date: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). F1 · shares: On November 14, 2016, Harman International Industries, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among Samsung Electronics Co., Ltd., Samsung Electronics America, Inc. ("Samsung USA"), Silk Delaware, Inc., a wholly owned subsidiary of Samsung USA ("Merger Sub"). Upon completion of the merger of the Issuer and Merger Sub (the "Closing"), the Reporting Person's shares of the Issuer's common stocks, shares of restricted stock units ("RSUs") and stock options were converted into the right to receive $112 in cash, without interest, (the "Merger Consideration"). Read SEC document |
| February 01, 2017 Filed Feb 3, 2017 22:19 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantDeferred Share Units · Derivative | 3,448.975 | $49.29 | $169,999.98 |
DisclosureSEC source: 0000014272-17-000036 · wf-form4_148616037501209.xml · derivative · entry 1 Paliwal Dinesh C · CIK 0001360224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,555.745 Underlying: Common Stock, $0.10 par value · 3,448.975 shares Expires not disclosed F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person. F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person. F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person. F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors. Read SEC document |
| September 22, 2016 Filed Sep 26, 2016 17:10 UTC | RAYTHEON CO/ RTN · Entity 149943 | GrantCommon Stock | 670 | $0.00 | $0.00 |
DisclosureSEC source: 0001047122-16-000323 · wf-form4_147492421575469.xml · nonDerivative · entry 1 Paliwal Dinesh C · CIK 0001360224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 670 F1 · shares: Shares of restricted stock that vest on the date of the Issuer's 2017 annual meeting of stockholders. Read SEC document |
| September 15, 2016 Filed Sep 19, 2016 18:14 UTC | HARMAN INTERNATIONAL INDUSTRIES INC /DE/ HAR · Entity 177647 | Exercise / conversionRestricted Share Unit · Derivative | 9,590 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-006821 · form.xml · derivative · entry 3 Paliwal Dinesh C · CIK 0001360224 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,172 Underlying: Common Stock · 9,590 shares Expires not disclosed 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 · derivative.exercise_price: Each restricted share unit represents a contingent right to receive one share of common stock of the issuer. F2 · derivative.exercise_date: Restricted share units vest 33 1/3% per year commencing on September 15, 2016. F2 · derivative.expiration_date: Restricted share units vest 33 1/3% per year commencing on September 15, 2016. Read SEC document |
| September 15, 2016 Filed Sep 19, 2016 18:14 UTC | HARMAN INTERNATIONAL INDUSTRIES INC /DE/ HAR · Entity 177647 | Tax withholdingCommon Stock | 4,666 | $81.76 | $381,492.16 |
DisclosureSEC source: 0001246360-16-006821 · form.xml · nonDerivative · entry 2 Paliwal Dinesh C · CIK 0001360224 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,427 F3 · shares: Represents the aggregate number of shares of common stock of the issuer withheld to cover taxes due upon vesting of the restricted share units reported in Column 4. Read SEC document |
| September 15, 2016 Filed Sep 19, 2016 18:14 UTC | HARMAN INTERNATIONAL INDUSTRIES INC /DE/ HAR · Entity 177647 | Exercise / conversionCommon Stock | 9,590 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-006821 · form.xml · nonDerivative · entry 1 Paliwal Dinesh C · CIK 0001360224 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,093 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: Each restricted share unit represents a contingent right to receive one share of common stock of the issuer. Read SEC document |
| September 13, 2016 Filed Sep 15, 2016 16:07 UTC | HARMAN INTERNATIONAL INDUSTRIES INC /DE/ HAR · Entity 177647 | GrantRestricted Share Unit · Derivative | 33,062 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-006761 · form.xml · derivative · entry 1 Paliwal Dinesh C · CIK 0001360224 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,062 Underlying: Common Stock · 33,062 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted share unit represents a contingent right to receive one share of common stock of the issuer. F2 · derivative.exercise_date: Restricted share units vest 33 1/3% per year commencing on September 13, 2017. F2 · derivative.expiration_date: Restricted share units vest 33 1/3% per year commencing on September 13, 2017. Read SEC document |
| September 10, 2016 Filed Sep 13, 2016 20:35 UTC | HARMAN INTERNATIONAL INDUSTRIES INC /DE/ HAR · Entity 177647 | Exercise / conversionRestricted Share Unit · Derivative | 27,462 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-006735 · form.xml · derivative · entry 4 Paliwal Dinesh C · CIK 0001360224 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 27,462 shares Expires not disclosed 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 · derivative.exercise_price: Each restricted share unit represents a contingent right to receive one share of common stock of the issuer. F3 · derivative.exercise_date: Restricted share units vest fully 3 years from the date of grant. F3 · derivative.expiration_date: Restricted share units vest fully 3 years from the date of grant. Read SEC document |
| September 10, 2016 Filed Sep 13, 2016 20:35 UTC | HARMAN INTERNATIONAL INDUSTRIES INC /DE/ HAR · Entity 177647 | Tax withholdingCommon Stock | 47,373 | $80.93 | $3,833,896.89 |
DisclosureSEC source: 0001246360-16-006735 · form.xml · nonDerivative · entry 3 Paliwal Dinesh C · CIK 0001360224 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,164 F4 · shares: Represents the aggregate number of shares of common stock of the issuer withheld to cover taxes due upon vesting of the restricted share units reported in Column 4. Read SEC document |
| September 10, 2016 Filed Sep 13, 2016 20:35 UTC | HARMAN INTERNATIONAL INDUSTRIES INC /DE/ HAR · Entity 177647 | GrantCommon Stock | 73,324 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-006735 · form.xml · nonDerivative · entry 2 Paliwal Dinesh C · CIK 0001360224 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 217,537 F2 · shares: The vesting of the 73,324 share grant is generally subject to the achievement of certain performance metrics and the continued employment of the reporting person. Read SEC document |
| September 10, 2016 Filed Sep 13, 2016 20:35 UTC | HARMAN INTERNATIONAL INDUSTRIES INC /DE/ HAR · Entity 177647 | Exercise / conversionCommon Stock | 27,462 | $0.00 | $0.00 |
DisclosureSEC source: 0001246360-16-006735 · form.xml · nonDerivative · entry 1 Paliwal Dinesh C · CIK 0001360224 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,213 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: Each restricted share unit represents a contingent right to receive one share of common stock of the issuer. Read SEC document |
| September 10, 2016 Filed Sep 19, 2016 16:28 UTC Amendment | HARMAN INTERNATIONAL INDUSTRIES INC /DE/ HAR · Entity 177647 | Tax withholdingCommon Stock | 49,034 | $80.93 | $3,968,321.62 |
DisclosureSEC source: 0001246360-16-006814 · form.xml · nonDerivative · entry 1 Paliwal Dinesh C · CIK 0001360224 · Director · Chairman, President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,503 F1 · kind: This amended Form 4 is being filed to correct an error in Table I in the previous Form 4 filing of the reporting person, as the number of shares withheld to cover taxes due upon vesting of the restricted share units previously reported was estimated. This amended Form 4 includes the final number of shares withheld to cover taxes. No other changes were made to the previously filed Form 4. F2 · shares: Represents the aggregate number of shares of common stock of the issuer withheld to cover taxes due upon vesting of the restricted share units reported in Column 4 on the originally filed Form 4. Read SEC document |
| February 01, 2016 Filed Feb 3, 2016 21:58 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantDeferred Share Units · Derivative | 2,795.133 | $60.82 | $169,999.99 |
DisclosureSEC source: 0000014272-16-000273 · wf-form4_145453672649396.xml · derivative · entry 1 Paliwal Dinesh C · CIK 0001360224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,082.917 Underlying: Common Stock, $0.10 par value · 2,795.133 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 |
| February 01, 2016 Filed Feb 3, 2016 23:28 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionDeferred Share Units · Derivative | 3,256.609 | $60.82 | $198,066.96 |
DisclosureSEC source: 0000014272-16-000282 · wf-form4_145454209015627.xml · derivative · entry 2 Paliwal Dinesh C · CIK 0001360224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,826.308 Underlying: Common Stock, $0.10 par value · 3,256.609 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each 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 date previously specified by the reporting person. F1 · shares: Settlement of Deferred Share Units in common stock pursuant to Mr. Paliwal's prior election to receive distribution on February 1, 2016. F2 · 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 date previously specified by the reporting person. F2 · 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 date previously specified by the reporting person. F3 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors. Read SEC document |
| February 01, 2016 Filed Feb 3, 2016 23:28 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionCommon Stock, $0.10 par value | 3,256.609 | $0.00 | $0.00 |
DisclosureSEC source: 0000014272-16-000282 · wf-form4_145454209015627.xml · nonDerivative · entry 1 Paliwal Dinesh C · CIK 0001360224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,256.609 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: Settlement of Deferred Share Units in common stock pursuant to Mr. Paliwal's prior election to receive distribution on February 1, 2016. Read SEC document |
| December 31, 2015 Filed Jan 5, 2016 23:22 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantDeferred Share Units · Derivative | 204.427 | $68.79 | $14,062.53 |
DisclosureSEC source: 0000014272-16-000255 · wf-form4_145203613772749.xml · derivative · entry 1 Paliwal Dinesh C · CIK 0001360224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,217.697 Underlying: Common Stock, $0.10 par value · 204.427 shares Expires not disclosed F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person. F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person. F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person. F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors. Read SEC document |
| September 30, 2015 Filed Oct 2, 2015 20:41 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantDeferred Share Units · Derivative | 237.542 | $59.20 | $14,062.49 |
DisclosureSEC source: 0000014272-15-000226 · wf-form4_144381845636164.xml · derivative · entry 1 Paliwal Dinesh C · CIK 0001360224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,951.641 Underlying: Common Stock, $0.10 par value · 237.542 shares Expires not disclosed F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person. F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person. F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person. F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors. Read SEC document |
| June 30, 2015 Filed Jul 1, 2015 21:07 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantDeferred Share Units · Derivative | 211.339 | $66.54 | $14,062.50 |
DisclosureSEC source: 0000014272-15-000202 · wf-form4_143578484473081.xml · derivative · entry 1 Paliwal Dinesh C · CIK 0001360224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,653.769 Underlying: Common Stock, $0.10 par value · 211.339 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, 2015 Filed Apr 2, 2015 21:53 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantDeferred Share Units · Derivative | 218.02 | $64.50 | $14,062.29 |
DisclosureSEC source: 0000014272-15-000169 · wf-form4_142801159303157.xml · derivative · entry 1 Paliwal Dinesh C · CIK 0001360224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,383.02 Underlying: Common Stock, $0.10 par value · 218.02 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 |
| February 01, 2015 Filed Feb 3, 2015 23:17 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantDeferred Share Units · Derivative | 2,654.72 | $60.27 | $159,999.97 |
DisclosureSEC source: 0000014272-15-000042 · wf-form4_142300546060084.xml · derivative · entry 1 Paliwal Dinesh C · CIK 0001360224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,164.99 Underlying: Common Stock, $0.10 par value · 2,654.72 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 |
| December 31, 2014 Filed Jan 6, 2015 00:38 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantDeferred Share Units · Derivative | 236.15 | $59.55 | $14,062.73 |
DisclosureSEC source: 0000014272-15-000008 · wf-form4_142050469791291.xml · derivative · entry 1 Paliwal Dinesh C · CIK 0001360224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,464.42 Underlying: Common Stock, $0.10 par value · 236.15 shares Expires not disclosed F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person. F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person. F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person. F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors. Read SEC document |
| September 30, 2014 Filed Oct 2, 2014 20:45 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantDeferred Share Units · Derivative | 545.59 | $51.55 | $28,125.16 |
DisclosureSEC source: 0000014272-14-000239 · wf-form4_141228273102030.xml · derivative · entry 1 Paliwal Dinesh C · CIK 0001360224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,456.52 Underlying: Common Stock, $0.10 par value · 545.59 shares Expires not disclosed F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person. F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person. F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person. F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors. Read SEC document |
| September 30, 2014 Filed Oct 6, 2014 21:53 UTC Amendment | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantDeferred Share Units · Derivative | 272.79 | $51.55 | $14,062.32 |
DisclosureSEC source: 0000014272-14-000244 · wf-form4a_141263239343718.xml · derivative · entry 1 Paliwal Dinesh C · CIK 0001360224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,183.73 Underlying: Common Stock, $0.10 par value · 272.79 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: Due to an administrative error, this Form 4 is being amended to reflect the correct number of Deferred Share Units received by the reporting person on 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: Due to an administrative error, this Form 4 is being amended to reflect the correct number of Deferred Share Units received by the reporting person on the transaction date. F2 · balance_after: Due to an administrative error, this Form 4 is being amended to reflect the correct number of Deferred Share Units received by the reporting person on 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 |
| June 30, 2014 Filed Jul 2, 2014 22:28 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantDeferred Share Units · Derivative | 273.06 | $48.83 | $13,333.52 |
DisclosureSEC source: 0000014272-14-000201 · wf-form4_140434007044413.xml · derivative · entry 1 Paliwal Dinesh C · CIK 0001360224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,883.3 Underlying: Common Stock, $0.10 par value · 273.06 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 | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantDeferred Share Units · Derivative | 229.57 | $52.00 | $11,937.64 |
DisclosureSEC 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 Jul 2, 2014 22:26 UTC Amendment | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantDeferred Share Units · Derivative | 234.38 | $52.00 | $12,187.76 |
DisclosureSEC 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 |
| February 01, 2014 Filed Feb 4, 2014 21:53 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantDeferred Share Units · Derivative | 3,192 | $50.12 | $159,983.04 |
DisclosureSEC source: 0000014272-14-000033 · wf-form4_139155077132514.xml · derivative · entry 1 Paliwal Dinesh C · CIK 0001360224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,267.74 Underlying: Common Stock, $0.10 par value · 3,192 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 |
| December 31, 2013 Filed Jan 2, 2014 22:36 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantDeferred Share Units · Derivative | 460 | $52.99 | $24,375.40 |
DisclosureSEC source: 0000014272-14-000011 · wf-form4_138870215357226.xml · derivative · entry 1 Paliwal Dinesh C · CIK 0001360224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,075.74 Underlying: Common Stock, $0.10 par value · 460 shares Expires not disclosed F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person. F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person. F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person. F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors. Read SEC document |
| September 30, 2013 Filed Oct 2, 2013 20:15 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantDeferred Share Units · Derivative | 528.51 | $46.12 | $24,374.88 |
DisclosureSEC source: 0000014272-13-000015 · wf-form4_138074494233248.xml · derivative · entry 1 Paliwal Dinesh C · CIK 0001360224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,598.51 Underlying: Common Stock, $0.10 par value · 528.51 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 |
| July 01, 2013 Filed Jul 2, 2013 20:57 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantDeferred Share Units · Derivative | 2,070 | $45.09 | $93,336.30 |
DisclosureSEC source: 0001225208-13-015529 · doc4.xml · derivative · entry 1 Paliwal Dinesh C · CIK 0001360224 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,070 Underlying: Common Stock, $0.10 par value · 2,070 shares Expires not disclosed F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person. F2 · shares: Represents pro rata portion of the 2013 annual Deferred Share Unit awards granted to the Company's directors. F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person. F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.