SEC Form 4 · accession 0001181431-15-002897
INTERNATIONAL BUSINESS MACHINES CORP · IBM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael D. Rhodin
Officer — Senior Vice President
Period of report
Feb 19, 2015
Accepted (ET)
Feb 20, 2015 · 12:56 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000051143
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 19, 2015 | I | 523 | $163.89 | A | 20,704 | D | |
| Common StockF2 | holding | — | — | — | 651 | I | daughter 1 | |
| Common StockF2 | holding | — | — | — | 651 | I | daughter 2 | |
| Common StockF2 | holding | — | — | — | 651 | I | son | |
| Common StockF2 | holding | — | — | — | 5,250 | I | spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitF3,F5 | $0.00 | Feb 19, 2015 | I | 725 | A | — | — | Common Stock | 725 | 10,878 | D |
Explanation of responses
- F1Intra-plan transfer into the IBM Stock Fund of the IBM 401(k) Plus Plan.
- F2The reporting person disclaims beneficial ownership of the securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- F3Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.
- F4Intra-plan transfer under the IBM Excess 401(k) Plus Plan.
- F5Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.