SEC Form 4 · accession 0000059478-17-000070
ELI LILLY & Co · LLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John C Lechleiter
Director
Period of report
Feb 1, 2017
Accepted (ET)
Feb 3, 2017 · 3:01 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, 2017 | M | 46,097 | $0.00 | A | 855,987 | D | |
| Common Stock | Feb 1, 2017 | F | 21,696 | $77.03 | D | 834,291 | D | |
| Common Stock | holding | — | — | — | 21,102 | I | 401(k) | |
| Common StockF1 | holding | — | — | — | 49,102 | I | by wife | |
| Common StockF2 | holding | — | — | — | 22,589 | I | by family limited partnership | |
| Common StockF3 | holding | — | — | — | 72,140 | I | The John C. Lechleiter Spouse and Descendants Trust dtd 11/1/12 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF4 | — | Feb 1, 2017 | M | 46,097 | D | Feb 1, 2017 | Feb 1, 2017 | Common Stock | 46,097 | 0 | D |
Explanation of responses
- F1Reporting person disclaims beneficial ownership of these shares.
- F2Family limited partnership of which reporting person and his wife are the general partners. Reporting person disclaim beneficial ownership of shares held by family limited partnership except to the extent of his pecuniary interest therein.
- F3Irrevocable trust for the benefit of reporting person's spouse and children. Spouse is trustee. Reporting person disclaims beneficial ownership of these shares.
- F4Each restricted stock unit represents a contingent right to receive one share of Eli Lilly and Company common stock.