Form 4 for VTRS Viatris
Accepted 2023-03-06 00:00:00 ET · period of report 2023-03-02 · accession 0000899243-23-007213 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-03-06 | 2023-03-02+ | VTRS | GOETTLER MICHAEL | CEO, Dir | F - Tax | $11.13 | -87.3K | 257.3K | -25% | -$971.9K |
| DM | 2023-03-06 | 2023-03-02+ | VTRS | GOETTLER MICHAEL | CEO, Dir | M - OptEx | $0.00 | +199.4K | 323.3K | +161% | $0 |
| DM | 2023-03-06 | 2023-03-02+ | VTRS | GOETTLER MICHAEL | CEO, Dir | M - OptEx | $0.00 | -199.4K | 6,714 | -97% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-03-04 | F | D | 1,639 | $11.13 | 321,653 | D | — | — | (F6) Represents withholding of shares of common stock for the tax liability associated with the vesting and settlement of a portion of the DEUs that accrued with respect to the RSUs previously granted on March 4, 2022. |
| 2 | Common | Common Stock | 2023-03-04 | F | D | 45,569 | $11.13 | 319,550 | D | — | — | (F4) Represents withholding of shares of common stock for the tax liability associated with the vesting and settlement of a portion of the RSUs granted on March 4, 2022. |
| 3 | Common | Common Stock | 2023-03-04 | M | A | 104,085 | $0.00 | 365,119 | D | — | — | |
| 4 | Common | Common Stock | 2023-03-02 | F | D | 2,940 | $11.13 | 261,034 | D | — | — | (F3) Represents withholding of shares of common stock for the tax liability associated with the vesting and settlement of a portion of the dividend equivalent units (DEUs) that accrued with respect to the RSUs previously granted on March 2, 2021. |
| 5 | Common | Common Stock | 2023-03-02 | M | A | 6,715 | $0.00 | 263,974 | D | — | — | (F2) Fractional shares have been rounded up in connection with the settlement described in footnote 9 pursuant to the terms of the RSU award agreement under the Viatris Inc. 2020 Stock Incentive Plan. |
| 6 | Common | Common Stock | 2023-03-02 | F | D | 37,173 | $11.13 | 257,259 | D | — | — | (F1) Represents withholding of shares of common stock for the tax liability associated with the vesting and settlement of a portion of the restricted stock units (RSUs) granted on March 2, 2021. |
| 7 | Common | Common Stock | 2023-03-02 | M | A | 84,908 | $0.00 | 294,432 | D | — | — | |
| 8 | Common | Common Stock | 2023-03-04 | M | A | 3,742 | $0.00 | 323,292 | D | — | — | (F5) Fractional shares have been rounded up in connection with the settlement described in footnote 12 pursuant to the terms of the RSU award agreement under the Viatris Inc. 2020 Stock Incentive Plan. |
| 9 | Derivative | Dividend Equivalent Units | 2023-03-04 | M | D | 3,741.52 | $0.00 | 7,483 | D | $0.00 · — to — | 3,741.52 Common Stock | (F11) On May 6, 2022, Viatris filed a registration statement on Form S-3 with respect to its Dividend Reinvestment and Share Purchase Plan; amount represents DEUs that subsequently accrued with respect to such RSUs in June 2022, September 2022 and December 2022 in transactions exempt from Section 16 under Rule 16a-11. (F12) Represents DEUs that accrued with respect to the RSUs previously granted on March 4, 2022 and vest on the same schedule as the underlying RSUs. |
| 10 | Derivative | Restricted Stock Units | 2023-03-04 | M | D | 104,085 | $0.00 | 208,170 | D | $0.00 · — to — | 104,085 Common Stock | (F10) Each RSU represents the right to receive one share of common stock of Viatris. 104,085 of the RSUs granted on March 4, 2022 vested on March 4, 2023. Mr. Goettler is separating from Viatris on April 1, 2023 and, as a result, the 104,085 RSUs granted on March 4, 2022 that would have vested on each of March 4, 2024 and March 4, 2025, in each case, will be forfeited upon his separation. |
| 11 | Derivative | Restricted Stock Units | 2023-03-02 | M | D | 84,908 | $0.00 | 84,908 | D | $0.00 · — to — | 84,908 Common Stock | (F7) Each RSU represents the right to receive one share of common stock of Viatris Inc. (Viatris). 84,908 of the RSUs granted on March 2, 2021 vested on each of March 2, 2022 and March 2, 2023. Mr. Goettler is separating from Viatris on April 1, 2023 and, as a result, the 84,908 RSUs granted on March 2, 2021 that would have vested on March 2, 2024 will be forfeited upon his separation. |
| 12 | Derivative | Dividend Equivalent Units | 2023-03-02 | M | D | 6,714.74 | $0.00 | 6,714 | D | $0.00 · — to — | 6,714.74 Common Stock | (F8) On May 6, 2022, Viatris filed a registration statement on Form S-3 with respect to its Dividend Reinvestment and Share Purchase Plan; amount includes DEUs that subsequently accrued with respect to such RSUs in June 2022, September 2022 and December 2022 in transactions exempt from Section 16 under Rule 16a-11. (F9) Represents DEUs that accrued with respect to the RSUs previously granted on March 2, 2021 and vest on the same schedule as the underlying RSUs. |