0001209191-12-006934.txt : 20120202 0001209191-12-006934.hdr.sgml : 20120202 20120202153920 ACCESSION NUMBER: 0001209191-12-006934 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120201 FILED AS OF DATE: 20120202 DATE AS OF CHANGE: 20120202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rice Derica W CENTRAL INDEX KEY: 0001359067 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-06351 FILM NUMBER: 12565869 MAIL ADDRESS: STREET 1: LILLY CORPORATE CENTER CITY: INDIANAPOLIS STATE: IN ZIP: 46285 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LILLY ELI & CO CENTRAL INDEX KEY: 0000059478 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 350470950 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: LILLY CORPORATE CTR STREET 2: DROP CODE 1112 CITY: INDIANAPOLIS STATE: IN ZIP: 46285 BUSINESS PHONE: 3172762000 MAIL ADDRESS: STREET 1: LILLY CORPORATE CENTER STREET 2: DROP CODE 1112 CITY: INDIANAPOLIS STATE: IN ZIP: 46285 4 1 doc4.xml FORM 4 SUBMISSION X0304 4 2012-02-01 0 0000059478 LILLY ELI & CO LLY 0001359067 Rice Derica W LILLY CORPORATE CENTER INDIANAPOLIS IN 46285 0 1 0 0 EVP-Global Services and CFO Common Stock 2012-02-01 4 M 0 87924 0.00 A 113497 D Common Stock 2012-02-01 4 F 0 35917 39.74 D 77580 D Common Stock 2012-02-01 4 S 0 17584 39.85 D 59996 D Common Stock 2012-02-02 4 S 0 3800 39.61 D 56196 D Common Stock 6248 I 401(k) Common Stock 1624 I 401(k) - by wife Common Stock 112444 I by wife Restricted Stock Unit 0.00 2012-02-01 4 M 0 87924 0.00 D 2012-02-01 2012-02-01 Common Stock 87924 0 D The transaction reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 2, 2011. This transaction was executed in multiple trades at prices ranging from $39.83 to $39.91. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $39.61 to $39.62. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Reporting person disclaims beneficial ownership of these shares. Bronwen Mantlo for Derica W. Rice, authorization on file 2012-02-02