SEC Form 4 · accession 0001562180-15-000662
INTERNATIONAL BUSINESS MACHINES CORP · IBM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin J Schroeter
Officer — Sr. VP and CFO
Period of report
Aug 11, 2015
Accepted (ET)
Aug 12, 2015 · 3:30 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 | Aug 11, 2015 | I | 444 | $155.51 | A | 14,303 | 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 | Aug 11, 2015 | I | 2,723 | A | — | — | Common Stock | 2,723 | 9,995 | D |
Explanation of responses
- F1Intra-plan transfer into 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.