SEC Form 4 · accession 0001225208-15-000529
PFIZER INC · PFE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony J Maddaluna
Officer — Executive Vice President
Period of report
Dec 31, 2014
Accepted (ET)
Jan 5, 2015 · 5:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000078003
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 31, 2014 | M | 26,767 | $18.19 | A | 107,900 | D | |
| Common StockF2 | Dec 31, 2014 | F | 7,769 | $31.15 | D | 100,131 | D | |
| Common StockF3,F4 | Dec 31, 2014 | F | 11,703 | $31.54 | D | 88,428 | D | |
| Common Stock | holding | — | — | — | 49,462 | I | By Rule 16b-3 Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock Units SSPF5,F6 | — | Dec 31, 2014 | A | 177 | A | — | — | Common Stock | 177 | 49,629 | D |
| Stock Appreciation Rights | $18.19 | Dec 31, 2014 | M | 26,767 | D | Dec 31, 2014 | Dec 31, 2014 | Common Stock | 26,767 | 0 | D |
Explanation of responses
- F1The reported transaction constitutes the earn-out of stock appreciation rights (including dividend equivalents thereon).
- F2The reported transaction constitutes the withholding of shares to satisfy tax obligations in connection with earn-out of stock appreciation rights.
- F3The reported transaction constitutes the withholding of shares to cover payment of exercise price in connection with earn-out of stock appreciation rights (including dividend equivalents thereon).
- F4Under the terms of the settlement of the stock appreciation rights the 20-day average of the closing prices of Pfizer common stock ending on the settlement date is used.
- F5Each unit represents one phantom share of common stock.
- F6These units, which were acquired pursuant to the Pfizer Inc. Nonfunded Deferred Compensation and Supplemental Savings Plan, are settled in cash following the reporting person's separation from service and may be transferred by the reporting person into an alternative investment account at any time.