Statement of Changes in Beneficial Ownership (4)

Date : 06/11/2019 @ 8:17PM
Source : Edgar (US Regulatory)
Stock : International Business Machines Corp (IBM)
Quote : 133.91  -0.01 (-0.01%) @ 12:40AM
After Hours
Last Trade
Last $ 133.96 ▲ 0.05 (0.04%)

Statement of Changes in Beneficial Ownership (4)

FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

KAVANAUGH JAMES J
2. Issuer Name and Ticker or Trading Symbol

INTERNATIONAL BUSINESS MACHINES CORP [ IBM ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
Sr. VP and CFO
(Last)          (First)          (Middle)

IBM CORPORATION, NEW ORCHARD ROAD
3. Date of Earliest Transaction (MM/DD/YYYY)

6/7/2019
(Street)

ARMONK, NY 10504
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   6/8/2019     M    2112.00   A $0.00   62522.5417   D    
Common Stock   6/8/2019     F    1025.00   D $133.47   61497.5417   D    
Common Stock   6/8/2019     M    2000.00   A $0.00   63497.5417   D    
Common Stock   6/8/2019     F    969.00   D $133.47   62528.5417   D    
Common Stock   6/8/2019     M    2871.00   A $0.00   65399.5417   D    
Common Stock   6/8/2019     F    1391.00   D $133.47   64008.5417   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Rst. Stock Unit   $0.00   (1) 6/7/2019     A   (1)    15046.00         (1)   (1) Common Stock   15046.00   $0.00   15046.00   D    
Rst. Stock Unit   $0.00   (2) 6/8/2019     M   (3)       2112.00      (2)   (2) Common Stock   2112.00   $0.00   2113.00   D    
Rst. Stock Unit   $0.00   (2) 6/8/2019     M   (3)       2000.00      (2)   (2) Common Stock   2000.00   $0.00   4000.00   D    
Rst. Stock Unit   $0.00   (2) 6/8/2019     M   (3)       2871.00      (2)   (2) Common Stock   2871.00   $0.00   8614.00   D    

Explanation of Responses:
(1)  Upon lapse of the restrictions, these units are payable in cash or the company's common stock. The restrictions lapse for 3,761 of these units on 06/07/2020, 3,761 of these units on 06/07/2021, 3,761 of these units on 06/07/2022, and 3,763 of these units on 06/07/2023.
(2)  These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.
(3)  Release of restricted stock units.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
KAVANAUGH JAMES J
IBM CORPORATION
NEW ORCHARD ROAD
ARMONK, NY 10504


Sr. VP and CFO

Signatures
M. Clemens on behalf of J. J. Kavanaugh 6/11/2019
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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