Statement of Changes in Beneficial Ownership (4)
09 June 2021 - 5:17AM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
LILLY ENDOWMENT INC |
2. Issuer Name and Ticker or Trading Symbol
ELI LILLY & Co
[
LLY
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
2801 NORTH MERIDIAN STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/7/2021 |
(Street)
INDIANAPOLIS, IN 46208-0068
(City)
(State)
(Zip)
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4. 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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 6/7/2021 | | S | | 11069 | D | $219.089 (1) | 110091031 | D | |
Common Stock | 6/7/2021 | | S | | 5625 | D | $220.359 (2) | 110085406 | D | |
Common Stock | 6/7/2021 | | S | | 14621 | D | $221.118 (3) | 110070785 | D | |
Common Stock | 6/7/2021 | | S | | 29489 | D | $222.395 (4) | 110041296 | D | |
Common Stock | 6/7/2021 | | S | | 46716 | D | $223.174 (5) | 109994580 | D | |
Common Stock | 6/7/2021 | | S | | 33646 | D | $224.271 (6) | 109960934 | D | |
Common Stock | 6/7/2021 | | S | | 21187 | D | $225.168 (7) | 109939747 | D | |
Common Stock | 6/7/2021 | | S | | 10627 | D | $226.327 (8) | 109929120 | D | |
Common Stock | 6/7/2021 | | S | | 10010 | D | $227.274 (9) | 109919110 | D | |
Common Stock | 6/7/2021 | | S | | 6700 | D | $228.379 (10) | 109912410 | D | |
Common Stock | 6/7/2021 | | S | | 17321 | D | $229.459 (11) | 109895089 | D | |
Common Stock | 6/7/2021 | | S | | 15125 | D | $230.144 (12) | 109879964 | D | |
Common Stock | 6/7/2021 | | S | | 6164 | D | $231.357 (13) | 109873800 | D | |
Common Stock | 6/7/2021 | | S | | 1100 | D | $232.027 (14) | 109872700 | D | |
Common Stock | 6/7/2021 | | S | | 600 | D | $233.227 (15) | 109872100 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Explanation of Responses: |
(1) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $218.60 to $219.41, inclusive. The reporting person undertakes to provide to Eli Lilly & Company, any security holder of Eli Lilly & Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2), (3), (4), (5), (6), (7), (8), (9), (10), (11), (12), (13), (14), and (15) to this Form 4. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $219.6005 to $220.60, inclusive. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $220.61 to $221.54, inclusive. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $221.7003 to $222.70, inclusive. |
(5) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $222.73 to $223.7293, inclusive. |
(6) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $223.743 to $224.74, inclusive. |
(7) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $224.7442 to $225.73, inclusive. |
(8) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $225.7467 to $226.74, inclusive. |
(9) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $226.79 to $227.777, inclusive. |
(10) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $227.83 to $228.8247, inclusive. |
(11) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $228.83 to $229.82, inclusive. |
(12) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $229.85 to $230.79, inclusive. |
(13) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $230.87 to $231.86, inclusive. |
(14) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $231.89 to $232.88, inclusive. |
(15) | The price reported in Column 4 is a weighted average price. These shares were sold at prices of $232.91 and $233.29. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
LILLY ENDOWMENT INC 2801 NORTH MERIDIAN STREET INDIANAPOLIS, IN 46208-0068 |
| X |
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Signatures
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/s/Diane M. Stenson, Vice President & Treasurer, on behalf of Lilly Endowment Inc. | | 6/8/2021 |
**Signature of Reporting Person | Date |
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