SEC Form 4 · accession 0000059478-18-000258
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
Nov 3, 2018
Accepted (ET)
Nov 6, 2018 · 1:25 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 | Nov 3, 2018 | M | 3,133 | $0.00 | A | 19,225 | D | |
| Common Stock | Nov 3, 2018 | F | 1,366 | $106.75 | D | 17,859 | D | |
| Common Stock | holding | — | — | — | 487 | I | 401(k) | |
| Common Stock | holding | — | — | — | 34 | I | by partner | |
| Common Stock | holding | — | — | — | 2,535 | 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 | — | Nov 3, 2018 | M | 3,133 | D | Nov 3, 2018 | Nov 3, 2018 | Common Stock | 3,133 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of Eli Lilly and Company common stock.