SEC Form 4 · accession 0001225208-15-003648
JOHNSON & JOHNSON · JNJ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dominic J Caruso
Officer — VP, Finance; CFO
Period of report
Feb 9, 2015
Accepted (ET)
Feb 11, 2015 · 8:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000200406
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 9, 2015 | M | 31,537 | $0.00 | A | 101,324 | D | |
| Common StockF1 | Feb 9, 2015 | A | 3,564 | $0.00 | A | 104,888 | D | |
| Common StockF2 | Feb 9, 2015 | F | 16,154 | $100.06 | D | 88,734 | D | |
| Common Stock | holding | — | — | — | 76 | I | By 401k | |
| Common Stock | holding | — | — | — | 225 | I | By ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (Right to Buy)F3 | $100.06 | Feb 9, 2015 | A | 136,535 | A | Feb 10, 2018 | Feb 8, 2025 | Common Stock | 136,535 | 136,535 | D |
| Performance Share UnitsF4 | — | Feb 9, 2015 | M | 31,537 | D | Jan 17, 2015 | — | Common Stock | 31,537 | 0 | D |
| Restricted Share UnitsF5 | — | Feb 9, 2015 | A | 10,601 | A | Feb 9, 2018 | — | Common Stock | 10,601 | 10,601 | D |
Explanation of responses
- F1Shares earned due to performance factor of 111.3% upon vesting of Performance Share Units and certification of performance results by the Board.
- F2Shares withheld for payment of taxes upon vesting of Performance Share Units and certification of performance results by the Board.
- F3Awarded under Issuer's Long-Term Incentive Plan.
- F4Awarded under Issuer's Long-Term Incentive Plan. Performance Share Units awarded on January 17, 2012 converted into shares of Common Stock upon vesting of Performance Share Units and certification of performance results by the Board.
- F5Awarded under Issuer's Long-Term Incentive Plan. Each Restricted Share Unit represents a contingent right to receive one share of Common Stock and vests three years after date of grant.