SEC Form 4 · accession 0001562180-18-004392
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
Nov 2, 2018
Accepted (ET)
Nov 5, 2018 · 8:54 am 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 | Sep 13, 2018 | G | 496 | $0.00 | D | 57,208 | D | |
| Common Stock | Sep 13, 2018 | G | 2,600 | $0.00 | D | 54,608 | D | |
| Common StockF1 | holding | — | — | — | 65 | I | son | |
| Common StockF1 | holding | — | — | — | 114 | I | spouse trust | |
| Common StockF1 | holding | — | — | — | 26,317 | I | trust 1 | |
| Common StockF1 | holding | — | — | — | 12,886 | 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 UnitF2,F4 | $0.00 | Nov 2, 2018 | I | 3,459 | A | — | — | Common Stock | 3,459 | 14,390 | 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.
- F2Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.
- F3Intra-plan transfer into the IBM Stock Fund of 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 account under such plan.