SEC Form 4 · accession 0001225208-18-002945
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 12, 2018
Accepted (ET)
Feb 14, 2018 · 6:14 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 12, 2018 | M | 26,504 | $0.00 | A | 177,769 | D | |
| Common StockF2 | Feb 12, 2018 | A | 9,542 | $0.00 | A | 187,311 | D | |
| Common StockF3 | Feb 12, 2018 | F | 15,652 | $129.51 | D | 171,659 | D | |
| Common StockF4 | holding | — | — | — | 102 | 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 | $129.51 | Feb 12, 2018 | A | 85,948 | A | Feb 12, 2021 | Feb 12, 2028 | Common Stock | 85,948 | 85,948 | D |
| Performance Share UnitsF1 | — | Feb 12, 2018 | M | 26,504 | D | Feb 9, 2018 | — | Common Stock | 26,504 | 0 | D |
| Restricted Share UnitsF7 | — | Feb 12, 2018 | A | 4,312 | A | Feb 12, 2021 | — | Common Stock | 4,312 | 4,312 | D |
Explanation of responses
- F1Performance Share Units awarded under Issuer's Long-Term Incentive Plan on February 9, 2015; 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 136% 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 (1/31/2018).
- F5Shares held by ESOP under the Johnson & Johnson Savings Plan as of the Plan's most recent reporting date (1/31/2018).
- 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.