Eli Lilly 2009 Annual Report Download - page 151

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Ownership of Company Stock
Common Stock Ownership by Directors and Executive Officers
The following table sets forth the number of shares of company common stock beneficially owned by the
directors, the named executive officers, and all directors and executive officers as a group, as of
February 2, 2010.
The table shows shares held by named executive officers in the 401(k) plan, shares credited to the accounts
of outside directors in the Lilly Directors’ Deferral Plan, and total shares beneficially owned by each individual,
including the shares in these two plans. In addition, the table shows restricted stock units that will be issued as
shares of common stock at the end of the restriction period and shares that may be purchased pursuant to stock
options that are exercisable within 60 days of February 2, 2010. All of the stock options shown are currently
under water.
Name 401(k) Plan Shares
Directors’ Deferral
Plan Shares
1
Total Shares Owned
Beneficially
2
Restricted Stock
Units
3
Stock Options
Exercisable Within
60 Days of
February 2, 2010
Ralph Alvarez — 4,040 4,040 — —
Robert A. Armitage 2,518 — 84,371 55,294 321,371
Sir Winfried Bischoff — 21,260 23,260 — 11,200
Bryce D. Carmine 5,472 — 81,212 82,942 315,855
Michael L. Eskew — 8,826 8,826 — —
Martin S. Feldstein, Ph.D. — 19,449 20,449 — 8,400
J. Erik Fyrwald — 24,425 24,525 — —
Alfred G. Gilman, M.D., Ph.D. — 27,822 27,822 — 14,000
R. David Hoover — 5,748 6,748 — —
Karen N. Horn, Ph.D. — 41,975 41,975 — 14,000
John C. Lechleiter, Ph.D. 15,497 — 273,942
4
207,354 878,775
Ellen R. Marram — 19,449 20,449 — 5,600
Douglas R. Oberhelman — 4,040 4,040 — —
Steven M. Paul, M.D. 1,054 — 77,937 82,942 572,396
Franklyn G. Prendergast, M.D., Ph.D. — 34,071 34,071 — 14,000
Derica W. Rice 6,374 — 87,557 82,942 143,385
Kathi P. Seifert — 29,679 33,212 — 14,000
All directors and executive officers as a group (27 people): 1,044,088
1
See the description of the Lilly Directors’ Deferral Plan on page 18.
2
Unless otherwise indicated in a footnote, each person listed in the table possesses sole voting and sole
investment power with respect to their shares. No person listed in the table owns more than 0.02 percent of the
outstanding common stock of the company. All directors and executive officers as a group own 0.09 percent of
the outstanding common stock of the company. The company includes restricted stock units for purposes of
determining whether share ownership guidelines are met.
3
The 2009 PAs paid out in January 2010 in restricted stock units for 2009 performance. These shares will vest in
February 2011, and have no voting rights until they vest.
4
The shares shown for Dr. Lechleiter include 12,481 shares that are owned by a family foundation for which he is
a director. Dr. Lechleiter has shared voting power and shared investment power with respect to the shares held
by the foundation.
53
PROXY STATEMENT