SEC Form 4 · accession 0001225208-16-026028
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 8, 2016
Accepted (ET)
Feb 10, 2016 · 6:02 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 StockF1 | Feb 8, 2016 | M | 29,005 | $0.00 | A | 125,466 | D | |
| Common StockF2 | Feb 8, 2016 | A | 8,440 | $0.00 | A | 133,906 | D | |
| Common StockF3 | Feb 8, 2016 | F | 17,233 | $101.87 | D | 116,673 | D | |
| Common StockF4 | holding | — | — | — | 85 | I | By 401k | |
| Common StockF5 | 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)F6 | $101.87 | Feb 8, 2016 | A | 142,365 | A | Feb 9, 2019 | Feb 7, 2026 | Common Stock | 142,365 | 142,365 | D |
| Performance Share UnitsF1 | — | Feb 8, 2016 | M | 29,005 | D | Jan 16, 2016 | — | Common Stock | 29,005 | 0 | D |
| Restricted Share UnitsF7 | — | Feb 8, 2016 | A | 10,239 | A | Feb 8, 2019 | — | Common Stock | 10,239 | 10,239 | D |
Explanation of responses
- F1Awarded under Issuer's Long-Term Incentive Plan. Performance Share Units awarded on January 16, 2013 converted into shares of Common Stock upon vesting of Performance Share Units and certification of performance results by the Board.
- F2Shares earned due to performance factor of 129.1% upon vesting of Performance Share Units and certification of performance results by the Board.
- F3Shares withheld for payment of taxes upon vesting of Performance Share Units and certification of performance results by the Board.
- F4Shares held in the Johnson & Johnson Stock Fund under the Johnson & Johnson Savings Plan as of the Plan's most recent reporting date (1/31/2016).
- F5Shares held by ESOP under the Johnson & Johnson Savings Plan as of the Plan's most recent reporting date (1/31/2016).
- F6Awarded under Issuer's Long-Term Incentive Plan.
- F7Awarded 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.