SEC Form 4 · accession 0001225208-19-003774
PFIZER INC · PFE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dawn Rogers
Officer — Executive Vice President
Period of report
Feb 23, 2019
Accepted (ET)
Feb 26, 2019 · 7:10 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, 2019 | M | 19,290 | $21.03 | A | 37,638 | D | |
| Common StockF2,F3 | Feb 23, 2019 | F | 4,646 | $42.96 | D | 32,992 | D | |
| Common StockF4,F5 | Feb 23, 2019 | F | 6,007 | $41.91 | D | 26,985 | D | |
| Common StockF6 | Feb 25, 2019 | F | 1,233 | $43.08 | D | 25,752 | D | |
| Common Stock | holding | — | — | — | 7,033 | 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 Rights | $21.03 | Feb 23, 2019 | M | 19,290 | D | Feb 23, 2019 | Feb 23, 2019 | Common Stock | 19,290 | 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.
- F3Price is the closing price of Pfizer common stock on February 22, 2019
- F4The 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).
- F5Under 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.
- F6The reported transaction constitutes the withholding of shares to satisfy tax obligations upon the vesting of restricted stock units (including dividend equivalents thereon).