Eli Lilly 2012 Annual Report Download - page 151

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47
following the change in control. Employees do not receive payments upon a change in control alone, except that
upon consummation of a change in control, a partial payment of outstanding PAs would be made, reduced to reflect
the portion of the performance period worked prior to the change in control. Likewise, in the case of a change in
control in which Lilly is not the surviving entity, SVAs would pay out based on the change-in-control stock price and
be prorated for the portion of the three-year performance period elapsed.
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 owned by the directors, the named
executive officers, and all directors and executive officers as a group, as of February 22, 2013. None of the stock,
stock options, or stock units owned by any of the listed individuals has been pledged as collateral for a loan or other
obligation.
Beneficial Owners
Common Stock 1
Stock Units Not
Distributable Within
60 days 4
Shares Owned 2
Options Exercisable/
Stock Units Distributable
Within 60 Days 3
Ralph Alvarez — — 16,723
Robert A. Armitage 5182,906 267,471 —
Katherine Baicker, Ph.D. — — 3,083
Sir Winfried Bischoff 2,000 2,800 36,590
Enrique A. Conterno 81,297 24,729 45,674
Michael L. Eskew — — 22,129
J. Erik Fyrwald 100 — 40,270
Alfred G. Gilman, M.D., Ph.D. — 2,800 44,221
R. David Hoover 1,000 — 21,672
Karen N. Horn, Ph.D. — 2,800 60,681
William G. Kaelin, Jr., M.D. — — 1,798
John C. Lechleiter, Ph.D. 653,571 6468,775 58,778
Jan M. Lundberg, Ph.D. 120,205 — 21,552
Ellen R. Marram 1,000 2,800 34,483
Douglas R. Oberhelman — — 16,562
Franklyn G. Prendergast, M.D.,
Ph.D. — 2,800 51,489
Derica W. Rice 229,533 105,185 29,781
Kathi P. Seifert 3,533 2,800 46,382
All directors and executive
officers as a group (27 people): 1,459,504 889,657 722,697
1 The sum of the "Shares Owned" and "Options Exercisable/Stock Units Distributable Within 60 Days" columns
represents the shares considered "beneficially owned" for purposes of disclosure in the proxy statement. 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 0.10 percent of the outstanding common
stock of the company. All directors and executive officers as a group own 0.21 percent of the outstanding common
stock of the company.
2 This column includes the number of shares of common stock held individually as well as the number of 401(k) plan
shares held by the beneficial owners.
3 This column includes stock options exercisable within 60 days and RSUs that vest within 60 days.
4 For the executive officers, this column includes the number of RSUs that will not vest within 60 days. For the
independent directors, this column includes the number of stock units credited to the directors' accounts in the
Lilly Directors' Deferral Plan.
5 Mr. Armitage retired on December 31, 2012.
6 The shares shown for Dr. Lechleiter include 40,396 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.