0000051143 false Capital stock, par value $.20 per share IBM CHX 0000051143 2021-10-15 2021-10-15 0000051143 us-gaap:CommonStockMember exch:XCHI 2021-10-15 2021-10-15 0000051143 us-gaap:CommonStockMember exch:XNYS 2021-10-15 2021-10-15 0000051143 ibm:Notes2.625PercentDue2022Member exch:XNYS 2021-10-15 2021-10-15 0000051143 ibm:Notes1.25PercentDue2023Member exch:XNYS 2021-10-15 2021-10-15 0000051143 ibm:Notes0.375PercentDue2023Member exch:XNYS 2021-10-15 2021-10-15 0000051143 ibm:Notes1.125PercentDue2024Member exch:XNYS 2021-10-15 2021-10-15 0000051143 ibm:Notes2.875PercentDue2025Member exch:XNYS 2021-10-15 2021-10-15 0000051143 ibm:Notes0.950PercentDue2025Member exch:XNYS 2021-10-15 2021-10-15 0000051143 ibm:Notes0.875PercentDue2025Member exch:XNYS 2021-10-15 2021-10-15 0000051143 ibm:Notes0.300PercentDue2026Member exch:XNYS 2021-10-15 2021-10-15 0000051143 ibm:Notes1.250PercentDue2027Member exch:XNYS 2021-10-15 2021-10-15 0000051143 ibm:Notes0.300PercentDue2028Member exch:XNYS 2021-10-15 2021-10-15 0000051143 ibm:Notes1.750PercentDue2028Member exch:XNYS 2021-10-15 2021-10-15 0000051143 ibm:Notes1.500PercentDue2029Member exch:XNYS 2021-10-15 2021-10-15 0000051143 ibm:Notes1.750PercentDue2031Member exch:XNYS 2021-10-15 2021-10-15 0000051143 exch:XNYS ibm:Notes0.650PercentDue2032Member 2021-10-15 2021-10-15 0000051143 exch:XNYS ibm:Notes1.200PercentDie2040Member 2021-10-15 2021-10-15 0000051143 ibm:Debentures7.00PercentDue2025Member exch:XNYS 2021-10-15 2021-10-15 0000051143 ibm:Debentures6.22PercentDue2027Member exch:XNYS 2021-10-15 2021-10-15 0000051143 ibm:Debentures6.50PercentDue2028Member exch:XNYS 2021-10-15 2021-10-15 0000051143 ibm:Debentures7.00PercentDue2045Member exch:XNYS 2021-10-15 2021-10-15 0000051143 ibm:Debentures7.125PercentDue2096Member exch:XNYS 2021-10-15 2021-10-15 iso4217:USD xbrli:shares iso4217:USD xbrli:shares


Title of each class
Trading symbol





WASHINGTON, D.C. 20549  











Date of Report : October 15, 2021

(Date of earliest event reported)





(Exact name of registrant as specified in its charter)




New York   1-2360   13-0871985
(State of Incorporation)   (Commission File Number)   (IRS employer Identification No.)


One New Orchard Road

Armonk, New York   10504
(Address of principal executive offices)   (Zip Code)



(Registrant’s telephone number)



Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:


¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))


Securities registered pursuant to Section 12(b) of the Act:


Title of each class   Trading symbol(s)   Name of each exchange
on which registered
Capital stock, par value $.20 per share   IBM   New York Stock Exchange
        NYSE Chicago
2.625% Notes due 2022   IBM 22A   New York Stock Exchange
1.250% Notes due 2023   IBM 23A   New York Stock Exchange
0.375% Notes due 2023   IBM 23B   New York Stock Exchange
1.125% Notes due 2024   IBM 24A   New York Stock Exchange
2.875% Notes due 2025   IBM 25A   New York Stock Exchange
0.950% Notes due 2025   IBM 25B   New York Stock Exchange
0.875% Notes due 2025   IBM 25C   New York Stock Exchange
0.300% Notes due 2026   IBM 26B   New York Stock Exchange
1.250% Notes due 2027   IBM 27B   New York Stock Exchange
0.300% Notes due 2028   IBM 28B   New York Stock Exchange
1.750% Notes due 2028   IBM 28A   New York Stock Exchange
1.500% Notes due 2029   IBM 29   New York Stock Exchange
1.750% Notes due 2031   IBM 31   New York Stock Exchange
0.650% Notes due 2032   IBM 32A   New York Stock Exchange
1.200% Notes due 2040   IBM 40   New York Stock Exchange
7.00% Debentures due 2025   IBM 25   New York Stock Exchange
6.22% Debentures due 2027   IBM 27   New York Stock Exchange
6.50% Debentures due 2028   IBM 28   New York Stock Exchange
7.00% Debentures due 2045   IBM 45   New York Stock Exchange
7.125% Debentures due 2096   IBM 96   New York Stock Exchange


Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).


Emerging growth company ¨


If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨







Item 5.04 Temporary Suspension of Trading Under Registrant’s Employee Benefit Plans.


On October 15, 2021, International Business Machines Corporation (the “Company”) sent a notice (the “Blackout Notice”) to its directors and executive officers informing them that they will be subject to certain trading restrictions with respect to Company common stock acquired in connection with their services as a director or an executive officer of the Company as a result of a blackout period (the “Blackout Period”), described below, under the IBM 401(k) Plus Plan (the “Plan”), a retirement plan sponsored by the Company that is intended to be qualified under Section 401(a) of the Internal Revenue Code of 1986, as amended. The administrator of the Plan will impose restrictions on transactions by participants in the Plan during the Blackout Period in order to provide for the conversion of the IBM Stock Fund of the Plan (the “IBM Stock Fund”), which is an investment option under the Plan that consists primarily of shares of Company common stock, into a new stock fund in respect of common stock of Kyndryl Holdings, Inc., in connection with, and contingent upon, the closing of the spin-off contemplated under the separation and distribution agreement and certain other transaction-related agreements among the Company and Kyndryl Holdings, Inc. (the “Spin-Off”), expected to close before the end of 2021. During this Blackout Period, Plan participants and beneficiaries temporarily will be prevented from effecting transactions involving the IBM Stock Fund. Such Blackout Period is currently expected to begin at 4:00 p.m., Eastern Time, on November 3, 2021, and to end at the end of the day on November 10.


A copy of the Blackout Notice to directors and executive officers of the Company, which includes the information required by Rule 104(b) of Regulation BTR, is attached hereto as Exhibit 99.1 and is incorporated herein by reference.


Item 9.01. Financial Statements and Exhibits.


(d) Exhibits:


99.1   Form of Required Black-Out Notice – Spin-Off-Related Stock Trading Restrictions, dated October 15, 2021
104   Cover Page Interactive Data File – the cover page interactive data file does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document      







Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.



International Business Machines Corporation 

Dated:  October 15, 2021 By: /s/ Frank Sedlarcik
    Frank Sedlarcik
    Vice President, Assistant General Counsel and Secretary




International Business M... (NYSE:IBM)
Historical Stock Chart
From Nov 2021 to Dec 2021 Click Here for more International Business M... Charts.
International Business M... (NYSE:IBM)
Historical Stock Chart
From Dec 2020 to Dec 2021 Click Here for more International Business M... Charts.