0001225208-20-003802.txt : 20200228 0001225208-20-003802.hdr.sgml : 20200228 20200228192830 ACCESSION NUMBER: 0001225208-20-003802 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200226 FILED AS OF DATE: 20200228 DATE AS OF CHANGE: 20200228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROGERS DAWN CENTRAL INDEX KEY: 0001742308 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-03619 FILM NUMBER: 20673623 MAIL ADDRESS: STREET 1: 235 EAST 42ND STREET CITY: NEW YORK STATE: NY ZIP: 10017 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PFIZER INC CENTRAL INDEX KEY: 0000078003 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 135315170 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 235 E 42ND ST CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2125732323 MAIL ADDRESS: STREET 1: 235 E 42ND ST CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: PFIZER CHARLES & CO INC DATE OF NAME CHANGE: 19710908 4 1 doc4.xml X0306 4 2020-02-26 0000078003 PFIZER INC PFE 0001742308 ROGERS DAWN PFIZER INC.-CORP. SECRETARY 235 EAST 42ND ST. NEW YORK NY 10017 1 Executive Vice President Common Stock 2020-02-26 4 M 0 15097.0000 34.5900 A 24995.0000 D Common Stock 2020-02-26 4 F 0 1250.0000 34.7200 D 23745.0000 D Common Stock 2020-02-26 4 F 0 11524.0000 36.8000 D 12221.0000 D Common Stock 9032.0000 I By Rule 16b-3 Plan Phantom Stock Units 2020-02-26 4 A 0 2374.0000 0.0000 A Common Stock 2374.0000 11192.0000 D Stock Appreciation Rights 34.5900 2020-02-26 4 M 0 15097.0000 0.0000 D 2020-02-26 2020-02-26 Common Stock 15097.0000 0.0000 D Stock Appreciation Rights 34.1000 2020-02-27 4 A 0 68999.0000 0.0000 A 2025-02-27 2025-02-27 Common Stock 68999.0000 68999.0000 D Stock Appreciation Rights 34.1000 2020-02-27 4 A 0 59117.0000 0.0000 A 2027-02-27 2027-02-27 Common Stock 59117.0000 59117.0000 D The reported transaction constitutes the earn-out of stock appreciation rights (including dividend equivalents thereon). The reported transaction constitutes the withholding of shares to satisfy tax obligations in connection with earn-out of stock appreciation rights. 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). 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. Each unit represents one phantom share of common stock. The reported transaction constitutes the earn-out of Performance Share Awards (including dividend equivalents thereon) which have been deferred into the Pfizer Inc. Deferred Compensation Plan. 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. The stock appreciation rights, which are subject to certain vesting requirements, will be settled in shares of Pfizer common stock on the fifth anniversary of the date of grant. The stock appreciation rights, which are subject to certain vesting requirements, will be settled in shares of Pfizer common stock on the seventh anniversary of the date of grant. Susan E. Grant, by power of atty., for Dawn Rogers 2020-02-28