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PFIZER INC — Director's Dealing 2021
Nov 15, 2021
29831_dirs_2021-11-15_3dd65f62-e286-4432-abd4-8624d2cae19f.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: 2021-11-11
Reporting Person: Dolsten Mikael (President R&D)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-11-11 | Common Stock | M | 76135.0000 | $22.8900 | Acquired | 216093.0000 | Direct |
| 2021-11-11 | Common Stock | M | 64841.0000 | $27.3400 | Acquired | 280934.0000 | Direct |
| 2021-11-11 | Common Stock | M | 58572.0000 | $25.6000 | Acquired | 339506.0000 | Direct |
| 2021-11-11 | Common Stock | S | 2124.0000 | $50.3400 | Disposed | 337382.0000 | Direct |
| 2021-11-11 | Common Stock | S | 2301.0000 | $50.3200 | Disposed | 335081.0000 | Direct |
| 2021-11-11 | Common Stock | S | 3197.0000 | $50.2900 | Disposed | 331884.0000 | Direct |
| 2021-11-11 | Common Stock | S | 3396.0000 | $50.3100 | Disposed | 328488.0000 | Direct |
| 2021-11-11 | Common Stock | S | 5227.0000 | $50.2900 | Disposed | 323261.0000 | Direct |
| 2021-11-11 | Common Stock | S | 6708.0000 | $50.3300 | Disposed | 316553.0000 | Direct |
| 2021-11-11 | Common Stock | S | 36711.0000 | $50.2800 | Disposed | 279842.0000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-11-11 | Phantom Stock Units | $ | I | 47828.0000 | Disposed | Common Stock (47828.0000) | Direct | |
| 2021-11-11 | Stock Appreciation Rights | $27.3400 | M | 153789.0000 | Disposed | 2022-02-23 | Common Stock (153789.0000) | Direct |
| 2021-11-11 | Stock Appreciation Rights | $22.8900 | M | 145970.0000 | Disposed | 2023-02-25 | Common Stock (145970.0000) | Direct |
| 2021-11-11 | Stock Appreciation Rights | $25.6000 | M | 127160.0000 | Disposed | 2022-02-26 | Common Stock (127160.0000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1803.0000 | Indirect |
Footnotes
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.
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.
F3: Each unit represents one phantom share of 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.
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.