Johna Norton - Jun 14, 2023 Form 4 Insider Report for ELI LILLY & Co (LLY)

Role
EVP, Global Quality
Signature
/s/ Jonathan Groff for Johna Norton, pursuant to authorization on file
Stock symbol
LLY
Transactions as of
Jun 14, 2023
Transactions value $
-$1,469,602
Form type
4
Date filed
6/15/2023, 04:21 PM
Previous filing
Feb 21, 2023
Next filing
Feb 2, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction LLY Common Stock Sale -$732K -1.65K -4.93% $444.29 31.8K Jun 14, 2023 Direct F1
transaction LLY Common Stock Sale -$738K -1.65K -5.19% $448.00 30.1K Jun 15, 2023 Direct F1
holding LLY Common Stock 401 Jun 14, 2023 401(k)
holding LLY Common Stock 1.77K Jun 14, 2023 401(k) - by partner
holding LLY Common Stock 128 Jun 14, 2023 by partner
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 21, 2023.