SEC Form 4 · accession 0001225208-15-020393
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
Nov 2, 2015
Accepted (ET)
Nov 4, 2015 · 5:05 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 | Nov 2, 2015 | M | 20,569 | $58.34 | A | 109,303 | D | |
| Common StockF1 | Nov 2, 2015 | S | 20,569 | $102.2132 | D | 88,734 | D | |
| Common StockF2 | holding | — | — | — | 83 | I | By 401k | |
| Common StockF3 | 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) | $58.34 | Nov 2, 2015 | M | 20,569 | D | Feb 14, 2009 | Feb 12, 2016 | Common Stock | 20,569 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $102.20 to $102.25. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide, upon request, to the SEC staff, the issuer, or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F2Includes shares accrued due to dividend reinvestment in the Johnson & Johnson Stock Fund under the Johnson & Johnson Savings Plan as of the Plan's most recent reporting date (10/30/2015).
- F3Shares held by ESOP under the Johnson & Johnson Savings Plan as of the Plan's most recent reporting date (10/30/2015).