SEC Form 4 · accession 0001225208-17-004780
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
Feb 23, 2017
Accepted (ET)
Feb 27, 2017 · 6:47 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 | A | 30,839 | $0.00 | A | 171,032 | D | |
| Common StockF2 | Feb 23, 2017 | F | 12,983 | $34.06 | D | 158,049 | D | |
| Common Stock | holding | — | — | — | 8,713 | 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 RightsF3 | $34.06 | Feb 23, 2017 | A | 54,789 | A | Feb 23, 2022 | Feb 23, 2022 | Common Stock | 54,789 | 54,789 | D |
| Stock Appreciation RightsF4 | $34.06 | Feb 23, 2017 | A | 45,485 | A | Feb 23, 2024 | Feb 23, 2024 | Common Stock | 45,485 | 45,485 | D |
Explanation of responses
- F1The reported transaction constitutes the earn-out of Performance Share Awards (including dividend equivalents thereon).
- F2The reported transaction constitutes the withholding of shares to satisfy tax obligations upon the earn-out of Performance Share Awards (including dividend equivalents thereon).
- F3The 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.
- F4The 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.