SEC Form 4 · accession 0000059478-16-000477
ELI LILLY & Co · LLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan Mahony
Officer — SVP & Pres., Lilly Oncology
Period of report
Dec 1, 2016
Accepted (ET)
Dec 5, 2016 · 2:29 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 StockF1 | Dec 1, 2016 | M | 4,584 | $0.00 | A | 14,117 | I | by husband |
| Common StockF1 | Dec 1, 2016 | F | 1,489 | $67.12 | D | 12,628 | I | by husband |
| Common StockF1 | holding | — | — | — | 1,674 | I | 401(k) - by husband | |
| Common Stock | holding | — | — | — | 86,895 | D | ||
| Common Stock | holding | — | — | — | 1,685 | 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 UnitF2 | — | Dec 1, 2016 | M | 4,584 | D | Dec 1, 2016 | Dec 1, 2016 | Common Stock | 4,584 | 0 | I |
Explanation of responses
- F1Reporting person disclaims beneficial ownership of these shares.
- F2Each restricted stock unit represents a contingent right to receive one share of Eli Lilly and Company common stock.