Statement of Changes in Beneficial Ownership (4)
November 09 2022 - 04:10PM
Edgar (US Regulatory)
FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
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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
hours per response... 0.5 |
|
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 * Dolsten Mikael |
2. Issuer Name and Ticker or Trading
Symbol PFIZER INC [ PFE ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
President R&D |
(Last)
(First)
(Middle)
PFIZER INC.-CORP. SECRETARY, 235 EAST 42ND ST. |
3. Date of Earliest Transaction (MM/DD/YYYY)
11/7/2022
|
(Street)
NEW YORK, NY 10017
(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 |
11/7/2022 |
|
M |
|
50938.0000 (1) |
A |
$30.1700 |
391837.0000 |
D |
|
Common Stock |
11/7/2022 |
|
M |
|
28170.0000 (1) |
A |
$38.7100 |
420007.0000 |
D |
|
Common Stock |
|
|
|
|
|
|
|
1848.0000 |
I |
By Rule 16b-3 Plan |
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 |
Stock Appreciation Rights |
$30.1700 |
11/7/2022 |
|
M |
|
|
127146.0000 |
2/22/2021 |
2/22/2025 |
Common Stock |
127146.0000 |
$0.0000 |
0.0000 |
D |
|
Stock Appreciation Rights |
$38.7100 |
11/7/2022 |
|
M |
|
|
133430.0000 |
2/28/2022 |
2/28/2026 |
Common Stock |
133430.0000 |
$0.0000 |
0.0000 |
D |
|
Explanation of
Responses: |
(1) |
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 $45.07)) 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. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Dolsten Mikael
PFIZER INC.-CORP. SECRETARY
235 EAST 42ND ST.
NEW YORK, NY 10017 |
|
|
President R&D |
|
Signatures
|
Susan E. Grant, by power of atty., for Mikael
Dolsten |
|
11/9/2022 |
**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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