SEC Form 4 · accession 0000059478-15-000066
ELI LILLY & Co · LLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David A Ricks
Officer — SVP and Pres, Lilly Bio-Meds
Period of report
Feb 1, 2015
Accepted (ET)
Feb 3, 2015 · 4:08 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000059478
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 1, 2015 | M | 12,591 | $0.00 | A | 73,994 | D | |
| Common Stock | Feb 1, 2015 | F | 5,940 | $72.00 | D | 68,054 | D | |
| Common StockF2 | Feb 2, 2015 | S | 4,769 | $71.51 | D | 63,285 | D | |
| Common Stock | holding | — | — | — | 3,662 | I | 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF3 | — | Feb 1, 2015 | M | 12,591 | D | Feb 1, 2015 | Feb 1, 2015 | Common Stock | 12,591 | 0 | D |
Explanation of responses
- F1The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 4, 2014.
- F2This transaction was executed in multiple trades at prices ranging from $71.26 to $71.87. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3Each restricted stock unit represents a contingent right to receive one share of Eli Lilly and Company common stock.