SEC Form 4 · accession 0001181431-15-007063
INTERNATIONAL BUSINESS MACHINES CORP · IBM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Steven A Mills
Officer — Executive Vice President
Period of report
May 15, 2015
Accepted (ET)
May 18, 2015 · 4:48 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 | May 15, 2015 | I | 7,266 | $173.26 | D | 156,048 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitF2,F4 | $0.00 | May 15, 2015 | I | 33,110 | D | — | — | Common Stock | 33,110 | 0 | D |
Explanation of responses
- F1Intra-plan transfer out of the IBM Stock Fund of the IBM 401(k) Plus Plan.
- F2Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.
- F3Intra-plan transfer under the IBM Excess 401(k) Plus Plan.
- F4Distribution 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.