SEC Form 4 · accession 0000059478-17-000089
ELI LILLY & Co · LLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Derica W Rice
Officer — EVP-Global Services and CFO
Period of report
Feb 1, 2017
Accepted (ET)
Feb 3, 2017 · 5:20 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 | 19,463 | $0.00 | A | 58,443 | D | |
| Common Stock | Feb 1, 2017 | F | 8,989 | $77.03 | D | 49,454 | D | |
| Common Stock | Feb 2, 2017 | S | 7,270 | $76.97 | D | 42,184 | D | |
| Common Stock | Feb 3, 2017 | S | 3,892 | $77.47 | D | 38,292 | D | |
| Common Stock | holding | — | — | — | 7,394 | I | 401(k) | |
| Common StockF2 | holding | — | — | — | 365,659 | I | by wife | |
| Common StockF2 | holding | — | — | — | 1,905 | I | 401(k) - by wife |
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, 2017 | M | 19,463 | D | Feb 1, 2017 | Feb 1, 2017 | Common Stock | 19,463 | 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 February 8, 2016.
- F2Reporting person disclaims beneficial ownership of these shares.
- F3Each restricted stock unit represents a contingent right to receive one share of Eli Lilly and Company common stock.