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PFIZER INC — Director's Dealing 2014
Nov 4, 2014
29831_dirs_2014-11-03_6510fe10-6dac-4c38-84eb-5852e20b0d8a.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: PFIZER INC (PFE)
CIK: 0000078003
Period of Report: 2014-10-30
Reporting Person: READ IAN C (Director, Chairman & CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-10-30 | Common Stock | M | 54585.0000 | $17.0300 | Acquired | 1465906.0000 | Direct |
| 2014-10-30 | Common Stock | F | 15375.0000 | $29.8400 | Disposed | 1450531.0000 | Direct |
| 2014-10-30 | Common Stock | F | 24169.0000 | $28.7500 | Disposed | 1426362.0000 | Direct |
| 2014-10-30 | Common Stock | S | 67500.0000 | $29.7600 | Disposed | 1358862.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-10-30 | Stock Appreciation Rights | $17.0300 | M | 54585.0000 | Disposed | 2014-10-30 | Common Stock (54585.0000) | Direct |
| 2014-10-31 | Phantom Stock Units SSP | $ | A | 153.0000 | Acquired | Common Stock (153.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 9785.0000 | Indirect |
| Common Stock | 33809.0000 | Indirect |
Footnotes
F1: The reported transaction constitutes the earn-out of stock appreciation rights (including dividend equivalents thereon).
F2: The reported transaction constitutes the withholding of shares to satisfy tax obligations in connection with earn-out of stock appreciation rights.
F3: 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).
F4: 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.
F5: 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.
F6: Each unit represents one phantom share of common stock.
F7: 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.