Statement of Changes in Beneficial Ownership (4)
February 12 2020 - 6:48PM
Edgar (US Regulatory)
FORM 4
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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
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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
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1. Name and Address of Reporting Person
*
Ullmann Michael H |
2. Issuer Name and Ticker or Trading Symbol
JOHNSON & JOHNSON
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JNJ
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Exec VP, General Counsel |
(Last)
(First)
(Middle)
ONE JOHNSON & JOHNSON PLAZA |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/10/2020 |
(Street)
NEW BRUNSWICK, NJ 08933
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 2/28/2019 | | G |
V
| 736.0000 (1) | D | $0.0000 | 132723.8820 | D | |
Common Stock | 5/7/2019 | | G |
V
| 353.0000 (1) | D | $0.0000 | 132370.8820 | D | |
Common Stock | | | | | | | | 346.0000 | I | By 401k (2) |
Common Stock | | | | | | | | 1287.0000 | I | By ESOP (3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Employee Stock Options (Right to Buy) (4) | $151.4100 | 2/10/2020 | | A | | 63927.0000 | | 2/10/2023 | 2/10/2030 | Common Stock | 63927.0000 | $0.0000 | 63927.0000 | D | |
Performance Share Units | (5) | 2/10/2020 | | A | | 14290.0000 | | 2/13/2020 | (5) | Common Stock | 14290.0000 | $0.0000 | 14290.0000 | D | |
Restricted Share Units | (6) | 2/10/2020 | | A | | 2499.0000 | | 2/10/2023 | (6) | Common Stock | 2499.0000 | $0.0000 | 2499.0000 | D | |
Explanation of Responses: |
(1) | Gift |
(2) | Includes shares accrued due to dividend reinvestment in the Johnson & Johnson Stock Fund under the Johnson & Johnson Savings Plan as of the Plan's most recent reporting date (1/31/2020). |
(3) | Shares held by ESOP under the Johnson & Johnson Savings Plan as of the Plan's most recent reporting date (1/31/2020). |
(4) | Awarded under Issuer's Long-Term Incentive Plan. |
(5) | On February 10, 2020, the Issuer's Compensation & Benefits Committee certified the performance factor applicable to Performance Share Units awarded to the reporting person on February 13, 2017 under the Issuer's Long-Term Incentive Plan. These Performance Share Units represent a contingent right to an equal number of shares of Common Stock or the cash value thereof, subject to the reporting person's continued service to the Issuer through the third anniversary of the initial award date |
(6) | Awarded under Issuer's Long-Term Incentive Plan. Each Restricted Share Unit represents a contingent right to receive one share of Common Stock and vests three years after date of grant. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Ullmann Michael H ONE JOHNSON & JOHNSON PLAZA NEW BRUNSWICK, NJ 08933 |
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| Exec VP, General Counsel |
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Signatures
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Linda E. King, as attorney-in-fact for Michael H. Ullmann | | 2/12/2020 |
**Signature of Reporting Person | Date |
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