Eli Lilly 2015 Annual Report Download - page 142

P26
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 19, 2016. 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 ——30,670
Katherine Baicker, Ph.D. ——10,380
Enrique A. Conterno 118,397 —30,244
Michael L. Eskew ——31,279
J. Erik Fyrwald 100 —51,185
Michael J. Harrington 60,329 —9,732
R. David Hoover 1,000 —30,777
Karen N. Horn, Ph.D. ——73,582
William G. Kaelin, Jr., M.D. ——8,971
John C. Lechleiter, Ph.D. 976,078 5—46,097
Jan M. Lundberg, Ph.D. 115,772 —15,366
Ellen R. Marram 1,000 —44,914
Franklyn G. Prendergast, M.D., Ph.D. ——63,495
Derica W. Rice 386,777 6—19,463
Marschall S. Runge, M.D., Ph.D. ——4,995
Kathi P. Seifert 3,533 —57,891
Jackson P. Tai 35,258 —4,494
All directors and executive officers as
a group (26 people)7:2,395,063 —721,174
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 0.1
percent of the outstanding common stock of the company. All directors and executive officers as a group
own approximately 0.2 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 indirectly through the 401(k) Plan.
3 This column includes stock options exercisable within 60 days and RSUs that vest within 60 days.
4 For the executive officers, this column reflects 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 The shares shown for Dr. Lechleiter include 56,148 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. Also included are 4,243 shares held in family trusts. Pursuant to the terms of
the trusts, Dr. Lechleiter has shared investment power and no voting power over the shares held in the
trusts.
6 The shares shown for Mr. Rice include 11,596 shares that are owned by a family foundation for which he is a
director. Mr. Rice has shared voting power and shared investment power with respect to the shares held by
the foundation.
7 Mr. Luciano joined the Board in February 2016, and currently does not beneficially own any shares.