Filing Details
- Accession Number:
- 0001225208-14-022489
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-03 18:23:52
- Reporting Period:
- 2014-10-30
- Filing Date:
- 2014-11-03
- Accepted Time:
- 2014-11-03 18:23:52
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
78003 | Pfizer Inc | PFE | Pharmaceutical Preparations (2834) | 135315170 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1372915 | C Ian Read | Pfizer Inc.-Corp. Secretary 235 East 42Nd St. New York NY 10017 | Chairman & Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2014-10-30 | 54,585 | $17.03 | 1,465,906 | No | 4 | M | Direct | |
Common Stock | Disposition | 2014-10-30 | 15,375 | $29.84 | 1,450,531 | No | 4 | F | Direct | |
Common Stock | Disposition | 2014-10-30 | 24,169 | $28.75 | 1,426,362 | No | 4 | F | Direct | |
Common Stock | Disposition | 2014-10-30 | 67,500 | $29.76 | 1,358,862 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | F | Direct | |
No | 4 | F | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Appreciation Rights | Disposition | 2014-10-30 | 54,585 | $0.00 | 54,585 | $17.03 |
Common Stock | Phantom Stock Units SSP | Acquisiton | 2014-10-31 | 153 | $29.95 | 153 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2014-10-30 | 2014-10-30 | No | 4 | M | Direct |
176,351 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 9,785 | Indirect | By Rule 16b-3 Plan |
Common Stock | 33,809 | Indirect | By Trust |
Footnotes
- The reported transaction constitutes the earn-out of stock appreciation rights (including dividend equivalents thereon).
- The reported transaction constitutes the withholding of shares to satisfy tax obligations in connection with earn-out of stock appreciation rights.
- The 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).
- Under 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.
- In accordance with the provisions of his Grantor Retained Annuity Trust (GRAT), 27,800 shares were transferred from the GRAT to the reporting person's direct ownership on September 17, 2014.
- Each unit represents one phantom share of common stock.
- These 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.