SEC Form 4 · accession 0001562180-18-002957
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
Jun 8, 2018
Accepted (ET)
Jun 12, 2018 · 8:17 am 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 23, 2018 | G | 695 | $0.00 | D | 55,361 | D | |
| Common Stock | May 23, 2018 | G | 912 | $0.00 | D | 54,449 | D | |
| Common StockF1 | May 25, 2018 | G | 114 | $0.00 | D | 12,886 | I | trust 2 |
| Common StockF1 | May 25, 2018 | G | 114 | $0.00 | A | 114 | I | spouse trust |
| Common Stock | Jun 8, 2018 | M | 2,750 | $0.00 | A | 57,208 | D | |
| Common Stock | Jun 8, 2018 | F | 1,347 | $145.405 | D | 55,861 | D | |
| Common Stock | Jun 8, 2018 | M | 3,319 | $0.00 | A | 59,180 | D | |
| Common Stock | Jun 8, 2018 | F | 1,626 | $145.405 | D | 57,554 | D | |
| Common StockF1 | holding | — | — | — | 65 | I | son | |
| Common StockF1 | holding | — | — | — | 25,763 | I | trust 1 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Rst. Stock UnitF2 | $0.00 | Jun 8, 2018 | A | 12,469 | A | — | — | Common Stock | 12,469 | 12,469 | D |
| Rst. Stock UnitF3 | $0.00 | Jun 8, 2018 | M | 3,319 | D | — | — | Common Stock | 3,319 | 6,638 | D |
| Rst. Stock UnitF3 | $0.00 | Jun 8, 2018 | M | 2,750 | D | — | — | Common Stock | 2,750 | 8,250 | D |
Explanation of responses
- F1The 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.
- F2Upon lapse of the restrictions, these units are payable in cash or the company's common stock. The restrictions lapse for 3,117 of these units on 06/08/2019, 3,117 of these units on 06/08/2020, 3,117 of these units on 06/08/2021, and 3,118 of these units on 06/08/2022.
- F3These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.
- F4Release of restricted stock units.