SEC Form 4 · accession 0000059478-16-000426
ELI LILLY & Co · LLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Melissa S Barnes
Officer — Chief Eth/Cmpl Ofcr & SVP, ERM
Period of report
Oct 2, 2016
Accepted (ET)
Oct 4, 2016 · 2:08 pm EDT
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 | Oct 2, 2016 | M | 3,894 | $0.00 | A | 12,063 | D | |
| Common Stock | Oct 2, 2016 | F | 1,801 | $80.26 | D | 10,262 | D | |
| Common Stock | holding | — | — | — | 847 | 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 UnitF1 | — | Oct 2, 2016 | M | 3,894 | D | Oct 2, 2016 | Oct 2, 2016 | Common Stock | 3,894 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Eli Lilly and Company common stock.