SEC Form 4 · accession 0001225208-16-042930
PFIZER INC · PFE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alexander R Mackenzie
Officer — Executive Vice President
Period of report
Dec 7, 2016
Accepted (ET)
Dec 8, 2016 · 9:48 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 Stock | Dec 7, 2016 | M | 30,000 | $25.87 | A | 167,687 | D | |
| Common StockF1 | Dec 7, 2016 | F | 27,934 | $30.65 | D | 139,753 | D | |
| Common Stock | holding | — | — | — | 8,631 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $25.87 | Dec 7, 2016 | M | 30,000 | D | Feb 22, 2010 | Feb 21, 2017 | Common Stock | 30,000 | 0 | D |
Explanation of responses
- F1The reported transaction constitutes the withholding of shares which were retained by the Issuer to satisfy the payment of the exercise price and tax obligations in connection with an exercise of stock options through a net settlement.