SEC Form 4 · accession 0000059478-18-000142
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
May 1, 2018
Accepted (ET)
May 3, 2018 · 4:34 pm EDT
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 | May 1, 2018 | M | 20,000 | $0.00 | A | 153,201 | D | |
| Common Stock | May 1, 2018 | F | 8,716 | $81.07 | D | 144,485 | D | |
| Common StockF2 | May 3, 2018 | S | 9,027 | $78.50 | D | 135,458 | D | |
| Common Stock | holding | — | — | — | 1,081 | 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 | — | May 1, 2018 | M | 20,000 | D | May 1, 2018 | May 1, 2018 | Common Stock | 20,000 | 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 $78.32 to $78.60. The price reported reflects the weighted average purchase 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.