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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
VAGELOS P ROY 777 OLD SAW MILL RIVER ROAD TARRYTOWN, NY 10591 |
X | Chairman of the Board |
/s/**P. Roy Vagelos | 11/30/2012 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Disposition/acquisition made pursuant to a plan intended to comply with Rule 10b5-1(c). |
(2) | Represents volume-weighted average price of sales of 7,004 shares of Company stock on November 28, 2012 at prices ranging from $175.00 to $175.16. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on November 28, 2012 at each separate price. |
(3) | Represents volume-weighted average price of sales of 1,800 shares of Company stock on November 29, 2012 at prices ranging from $175.45 to $175.99. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on November 29, 2012 at each separate price. |
(4) | Represents volume-weighted average price of sales of 5,100 shares of Company stock on November 29, 2012 at prices ranging from $176.00 to $176.99. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on November 29, 2012 at each separate price. |
(5) | Represents volume-weighted average price of sales of 4,402 shares of Company stock on November 29, 2012 at prices ranging from $177.00 to $177.61. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on November 29, 2012 at each separate price. |
(6) | Represents volume-weighted average price of sales of 18,440 shares of Company stock on November 29, 2012 at prices ranging from $178.51 to $178.98. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on November 29, 2012 at each separate price. |
(7) | Represents volume-weighted average price of sales of 19,733 shares of Company stock on November 29, 2012 at prices ranging from $179.00 to $179.93. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on November 29, 2012 at each separate price. |
(8) | Represents volume-weighted average price of sales of 12,000 shares of Company stock on November 29, 2012 at prices ranging from $180.00 to $180.99. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on November 29, 2012 at each separate price. |
(9) | Represents volume-weighted average price of sales of 17,155 shares of Company stock on November 29, 2012 at prices ranging from $181.00 to $181.80. Upon request by the Commission staff, the Company, or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold by the reporting person on November 29, 2012 at each separate price. |
(10) | By an irrevocable trust for the benefit of grandchildren of the reporting person, of which the spouse of the reporting person is trustee. |
(11) | By a trust for the benefit of certain grandchildren of the reporting person, of which the reporting person and/or the spouse of the reporting person is trustee. |