SEC Form 4 · accession 0001225208-17-003490
JOHNSON & JOHNSON · JNJ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dominic J Caruso
Officer — Exec VP, Finance; CFO
Period of report
Feb 13, 2017
Accepted (ET)
Feb 15, 2017 · 10:00 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 13, 2017 | M | 26,947 | $0.00 | A | 150,700 | D | |
| Common StockF2 | Feb 13, 2017 | A | 10,752 | $0.00 | A | 161,452 | D | |
| Common StockF3 | Feb 13, 2017 | F | 17,350 | $115.67 | D | 144,102 | D | |
| Common StockF4 | holding | — | — | — | 93 | 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 | $115.67 | Feb 13, 2017 | A | 131,264 | A | Feb 14, 2020 | Feb 13, 2027 | Common Stock | 131,264 | 131,264 | D |
| Performance Share UnitsF1 | — | Feb 13, 2017 | M | 26,947 | D | Jan 10, 2017 | — | Common Stock | 26,947 | 0 | D |
| Restricted Share UnitsF7 | — | Feb 13, 2017 | A | 11,045 | A | Feb 13, 2020 | — | Common Stock | 11,045 | 11,045 | D |
Explanation of responses
- F1Awarded under Issuer's Long-Term Incentive Plan. Performance Share Units awarded on February 10, 2014 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 139.9% 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 (1/31/2017).
- F5Shares held by ESOP under the Johnson & Johnson Savings Plan as of the Plan's most recent reporting date (1/31/2017).
- 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.