Form 4 for PFE Pfizer
Accepted 2021-11-15 00:00:00 ET · period of report 2021-11-11 · accession 0001225208-21-013883 · 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 | 2021-11-15 | 2021-11-11 | PFE | Dolsten Mikael | Pres R, D | S - Sale+OE | $50.29 | -59.7K | 335.1K | -15% | -$3.00M |
| DM | 2021-11-15 | 2021-11-11 | PFE | Dolsten Mikael | Pres R, D | M - OptEx | $25.13 | +199.5K | 339.5K | +143% | +$5.01M |
| D | 2021-11-15 | 2021-11-11 | PFE | Dolsten Mikael | Pres R, D | I - Discretionary | $50.18 | -47.8K | 71.3K | -40% | -$2.40M |
| DM | 2021-11-15 | 2021-11-11 | PFE | Dolsten Mikael | Pres R, D | M - OptEx | $0.00 | -426.9K | 0 | -100% | $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 | 2021-11-11 | S | D | 36,711 | $50.28 | 279,842 | D | — | — | |
| 2 | Common | Common Stock | 2021-11-11 | M | A | 76,135 | $22.89 | 216,093 | D | — | — | (F1) Represents the number of stock units received upon the exercise and conversion of previously granted stock appreciation rights (SARs), calculated by taking the change in Pfizer common stock price (20 trading day average ending on the exercise date (Election Price of $44.58)) less the grant price of the SAR plus accumulated dividends from the grant date, times the number of SARs exercised. This value is divided by the Election Price to determine the number of stock units. The stock units and accumulated dividend units will be settled in Pfizer common stock on the SAR original settlement date, the seventh anniversary of grant. |
| 3 | Common | Common Stock | 2021-11-11 | S | D | 6,708 | $50.33 | 316,553 | D | — | — | |
| 4 | Common | Common Stock | 2021-11-11 | S | D | 3,197 | $50.29 | 331,884 | D | — | — | |
| 5 | Common | Common Stock | 2021-11-11 | S | D | 3,396 | $50.31 | 328,488 | D | — | — | |
| 6 | Common | Common Stock | 2021-11-11 | S | D | 5,227 | $50.29 | 323,261 | D | — | — | |
| 7 | Common | Common Stock | 2021-11-11 | M | A | 64,841 | $27.34 | 280,934 | D | — | — | (F2) Represents the number of stock units received upon the exercise and conversion of previously granted stock appreciation rights (SARs), calculated by taking the change in Pfizer common stock price (20 trading day average ending on the exercise date (Election Price of $44.58)) less the grant price of the SAR plus accumulated dividends from the grant date, times the number of SARs exercised. This value is divided by the Election Price to determine the number of stock units. The stock units and accumulated dividend units will be settled in Pfizer common stock on the SAR original settlement date, the fifth anniversary of grant. |
| 8 | Common | Common Stock | 2021-11-11 | M | A | 58,572 | $25.60 | 339,506 | D | — | — | (F1) Represents the number of stock units received upon the exercise and conversion of previously granted stock appreciation rights (SARs), calculated by taking the change in Pfizer common stock price (20 trading day average ending on the exercise date (Election Price of $44.58)) less the grant price of the SAR plus accumulated dividends from the grant date, times the number of SARs exercised. This value is divided by the Election Price to determine the number of stock units. The stock units and accumulated dividend units will be settled in Pfizer common stock on the SAR original settlement date, the seventh anniversary of grant. |
| 9 | Common | Common Stock | 2021-11-11 | S | D | 2,124 | $50.34 | 337,382 | D | — | — | |
| 10 | Common | Common Stock | 2021-11-11 | S | D | 2,301 | $50.32 | 335,081 | D | — | — | |
| 11 | Derivative | Phantom Stock Units | 2021-11-11 | I | D | 47,828 | $50.18 | 71,314 | D | — · — to — | 47,828 Common Stock | (F4) The reporting person diversified shares held in the Pfizer Inc. Deferred Compensation Plan ("Plan") pursuant to the Plan's diversification provision into an alternate investment option(s) under the Plan. (F3) Each unit represents one phantom share of common stock. (F5) The units, held under the Deferred Compensation Plan, are paid 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. |
| 12 | Derivative | Stock Appreciation Rights | 2021-11-11 | M | D | 127,160 | $0.00 | 0 | D | $25.60 · 2018-02-26 to 2022-02-26 | 127,160 Common Stock | |
| 13 | Derivative | Stock Appreciation Rights | 2021-11-11 | M | D | 145,970 | $0.00 | 0 | D | $22.89 · 2019-02-25 to 2023-02-25 | 145,970 Common Stock | |
| 14 | Derivative | Stock Appreciation Rights | 2021-11-11 | M | D | 153,789 | $0.00 | 0 | D | $27.34 · 2020-02-23 to 2022-02-23 | 153,789 Common Stock |