SEC Form 4 · accession 0000059478-18-000091
ELI LILLY & Co · LLY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Johna Norton
Officer — Senior VP, Global Quality
Period of report
Feb 16, 2018
Accepted (ET)
Feb 21, 2018 · 10:28 am 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 16, 2018 | M | 48 | $0.00 | A | 48 | I | by partner |
| Common Stock | Feb 16, 2018 | F | 14 | $78.02 | D | 34 | I | by partner |
| Common Stock | holding | — | — | — | 16,092 | D | ||
| Common Stock | holding | — | — | — | 479 | I | 401(k) | |
| Common Stock | holding | — | — | — | 2,493 | I | 401(k) - by partner |
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,F2 | — | Feb 16, 2018 | M | 48 | D | — | — | Common Stock | 48 | 145 | I |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Eli Lilly and Company common stock.
- F2The Restricted Stock Units vest in three installments, 48 on February 16, 2018; 48 on February 16, 2019; and 97 on February 16, 2020.