SEC Form 4 · accession 0001225208-17-004773
PFIZER INC · PFE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles H Hill
Officer — Executive Vice President
Period of report
Feb 23, 2017
Accepted (ET)
Feb 27, 2017 · 6:24 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 | Feb 23, 2017 | F | 22,837 | $34.06 | D | 93,553 | D | |
| Common Stock | holding | — | — | — | 11,007 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF2 | $34.06 | Feb 23, 2017 | A | 101,461 | A | Feb 23, 2022 | Feb 23, 2022 | Common Stock | 101,461 | 101,461 | D |
| Stock Appreciation RightsF3 | $34.06 | Feb 23, 2017 | A | 84,232 | A | Feb 23, 2024 | Feb 23, 2024 | Common Stock | 84,232 | 84,232 | D |
Explanation of responses
- F1The reported transaction constitutes the withholding of shares to satisfy tax obligations upon the settlement of stock units from previously exercised stock appreciation rights (including dividend equivalents thereon).
- F2The stock appreciation rights, which are subject to certain vesting requirements, will be settled in shares of Pfizer common stock on the fifth anniversary of the date of grant.
- F3The stock appreciation rights, which are subject to certain vesting requirements, will be settled in shares of Pfizer common stock on the seventh anniversary of the date of grant.