SEC Form 4 · accession 0001181431-15-006626
INTERNATIONAL BUSINESS MACHINES CORP · IBM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John E Kelly III
Officer — Senior Vice President
Period of report
May 6, 2015
Accepted (ET)
May 7, 2015 · 4:04 pm EDT
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 20, 2015 | G | 1,250 | $0.00 | D | 23,397 | D | |
| Common Stock | Feb 20, 2015 | G | 625 | $0.00 | D | 22,772 | D | |
| Common StockF4 | holding | — | — | — | 65 | I | son | |
| Common StockF4 | holding | — | — | — | 23,119 | I | trust 1 | |
| Common StockF4 | holding | — | — | — | 13,000 | I | trust 2 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitF1,F3 | $0.00 | May 6, 2015 | A | 74 | A | — | — | Common Stock | 74 | 9,684 | D |
Explanation of responses
- F1Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.
- F2Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.
- F3Distribution 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.
- F4The 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.