Initial Statement of Beneficial Ownership (3)
January 04 2017 - 6:04PM
Edgar (US Regulatory)
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FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
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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
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LUND-JURGENSEN KIRSTEN
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2. Date of Event Requiring Statement (MM/DD/YYYY)
12/30/2016
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3. Issuer Name
and
Ticker or Trading Symbol
PFIZER INC [PFE]
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(Last)
(First)
(Middle)
PFIZER INC.-CORP. SECRETARY, 235 EAST 42ND ST.
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
Executive Vice President /
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(Street)
NEW YORK, NY 10017
(City)
(State)
(Zip)
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5. 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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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13756.0000
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Phantom Stock Units
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(1)
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(1)
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Common Stock
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61607.0000
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(2)
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D
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Stock Appreciation Rights
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2/24/2018
(3)
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2/24/2018
(3)
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Common Stock
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15957.0000
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$18.9000
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D
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Stock Appreciation Rights
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2/23/2017
(4)
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2/23/2017
(4)
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Common Stock
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21238.0000
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$21.0300
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D
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Stock Appreciation Rights
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2/23/2019
(3)
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2/23/2019
(3)
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Common Stock
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18004.0000
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$21.0300
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D
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Stock Appreciation Rights
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2/28/2018
(4)
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2/28/2018
(4)
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Common Stock
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19273.0000
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$27.3700
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D
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Stock Appreciation Rights
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2/28/2020
(3)
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2/28/2020
(3)
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Common Stock
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15996.0000
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$27.3700
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D
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Stock Appreciation Rights
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2/25/2021
(4)
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2/25/2021
(4)
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Common Stock
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15071.0000
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$30.5900
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D
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Stock Appreciation Rights
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2/25/2023
(3)
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2/25/2023
(3)
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Common Stock
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13469.0000
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$30.5900
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D
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Stock Appreciation Rights
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2/27/2019
(4)
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2/27/2019
(4)
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Common Stock
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15164.0000
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$32.2300
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D
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Stock Appreciation Rights
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2/27/2021
(3)
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2/27/2021
(3)
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Common Stock
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12078.0000
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$32.2300
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D
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Stock Appreciation Rights
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2/26/2020
(4)
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2/26/2020
(4)
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Common Stock
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14063.0000
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$34.5900
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D
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Stock Appreciation Rights
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2/26/2022
(3)
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2/26/2022
(3)
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Common Stock
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11723.0000
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$34.5900
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D
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Explanation of Responses:
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(
1)
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The units, held under the Deferred Compensation Plan are settled 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.
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(
2)
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Each unit represents one phantom share of common stock.
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(
3)
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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.
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(
4)
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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.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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LUND-JURGENSEN KIRSTEN
PFIZER INC.-CORP. SECRETARY
235 EAST 42ND ST.
NEW YORK, NY 10017
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Executive Vice President
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Signatures
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Susan E. Grant, by power of atty., for Kirsten Lund-Jurgensen
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1/4/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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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