Initial Statement of Beneficial Ownership (3)
July 09 2020 - 3:46PM
Edgar (US Regulatory)
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
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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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SAHNI PAYAL |
2. Date of Event Requiring Statement (MM/DD/YYYY)
6/29/2020
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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. |
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)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common Stock | 13393.0000 | D | |
| Common Stock | 8662.0000 | I | By Rule 16b-3 Plan |
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) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Phantom Stock Units SSP | (1) | (1) | Common Stock | 7524.0000 | (2) | D | |
| Stock Appreciation Rights | 2/25/2021 (3) | 2/25/2021 (3) | Common Stock | 9483.0000 | $30.5900 | D | |
| Stock Appreciation Rights | 2/25/2023 (4) | 2/25/2023 (4) | Common Stock | 8475.0000 | $30.5900 | D | |
| Stock Appreciation Rights | 2/23/2022 (3) | 2/23/2022 (3) | Common Stock | 13190.0000 | $34.0600 | D | |
| Stock Appreciation Rights | 2/23/2024 (4) | 2/23/2024 (4) | Common Stock | 10950.0000 | $34.0600 | D | |
| Stock Appreciation Rights | 2/27/2025 (3) | 2/27/2025 (3) | Common Stock | 18102.0000 | $34.1000 | D | |
| Stock Appreciation Rights | 2/27/2027 (4) | 2/27/2027 (4) | Common Stock | 15509.0000 | $34.1000 | D | |
| Stock Appreciation Rights | 2/22/2023 (3) | 2/22/2023 (3) | Common Stock | 14449.0000 | $35.7400 | D | |
| Stock Appreciation Rights | 2/22/2025 (4) | 2/22/2025 (4) | Common Stock | 12079.0000 | $35.7400 | D | |
| Stock Appreciation Rights | 2/28/2024 (3) | 2/28/2024 (3) | Common Stock | 12786.0000 | $43.3500 | D | |
| Stock Appreciation Rights | 2/28/2026 (4) | 2/28/2026 (4) | Common Stock | 10775.0000 | $43.3500 | D | |
| Explanation of Responses: |
| (1) | These units, which were acquired pursuant to the Pfizer Supplemental Savings 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. |
| (2) | Each unit represents one phantom share of common stock. |
| (3) | 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. |
| (4) | 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. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
SAHNI PAYAL
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 Payal Sahni | | 7/9/2020 |
| **Signature of Reporting Person | Date |
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