SEC Form 4 · accession 0000059478-18-000076
ELI LILLY & Co · LLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey N Simmons
Officer — SVP&Pres. Elanco Animal Health
Period of report
Feb 1, 2018
Accepted (ET)
Feb 5, 2018 · 6:37 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, 2018 | M | 21,326 | $0.00 | A | 152,120 | D | |
| Common Stock | Feb 1, 2018 | F | 9,294 | $81.45 | D | 142,826 | D | |
| Common StockF2 | Feb 5, 2018 | S | 9,625 | $81.12 | D | 133,201 | D | |
| Common Stock | holding | — | — | — | 1,074 | 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, 2018 | M | 21,326 | D | Feb 1, 2018 | Feb 1, 2018 | Common Stock | 21,326 | 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 November 9, 2017.
- F2This transaction was executed in multiple trades at prices ranging from $80.80 to $81.43. 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.