Pfizer Form 3 / William R Carapezzi JR ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Carapezzi William R JR

(Last)

(First)

(Middle)

PFIZER INC.-CORP. SECRETARY

235 EAST 42ND ST.

(Street)

NEW YORK

10017

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
06/29/2020

3. Issuer Name and Ticker or Trading Symbol
PFIZER INC [ PFE ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Executive Vice President

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	42,128	D
Common Stock	2,736	I	By Rule 16b-3 Plan

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Phantom Stock Units SSP	⁽¹⁾	⁽¹⁾	Common Stock	2,107	⁽²⁾	D
Stock Appreciation Rights	02/25/2021⁽³⁾	02/25/2021⁽³⁾	Common Stock	25,862	30.59	D
Stock Appreciation Rights	02/25/2023⁽⁴⁾	02/25/2023⁽⁴⁾	Common Stock	23,112	30.59	D
Stock Appreciation Rights	02/27/2021⁽⁴⁾	02/27/2021⁽⁴⁾	Common Stock	20,492	32.23	D
Stock Appreciation Rights	02/23/2022⁽³⁾	02/23/2022⁽³⁾	Common Stock	24,351	34.06	D
Stock Appreciation Rights	02/23/2024⁽⁴⁾	02/23/2024⁽⁴⁾	Common Stock	20,216	34.06	D
Stock Appreciation Rights	02/27/2025⁽³⁾	02/27/2025⁽³⁾	Common Stock	25,555	34.1	D
Stock Appreciation Rights	02/27/2027⁽⁴⁾	02/27/2027⁽⁴⁾	Common Stock	21,895	34.1	D
Stock Appreciation Rights	02/26/2022⁽⁴⁾	02/26/2022⁽⁴⁾	Common Stock	20,134	34.59	D
Stock Appreciation Rights	02/22/2023⁽³⁾	02/22/2023⁽³⁾	Common Stock	21,673	35.74	D
Stock Appreciation Rights	02/22/2025⁽⁴⁾	02/22/2025⁽⁴⁾	Common Stock	18,119	35.74	D
Stock Appreciation Rights	02/28/2024⁽³⁾	02/28/2024⁽³⁾	Common Stock	18,050	43.35	D
Stock Appreciation Rights	02/28/2026⁽⁴⁾	02/28/2026⁽⁴⁾	Common Stock	15,211	43.35	D

Explanation of Responses:

1. These units, which were acquired pursuant to the Pfizer Supplemental Savings Plan, are settled in cash following the reporting person's separation from service and may be transferred by the reporting person into an alternative investment account at any time.

2. Each unit represents one phantom share of common stock.

3. The stock appreciation rights, which are subject to certain vesting requirements, will be settled in shares of Pfizer common stock on the fifth anniversary of the date of grant.

4. The stock appreciation rights, which are subject to certain vesting requirements, will be settled in shares of Pfizer common stock on the seventh anniversary of the date of grant.

Remarks:

poawc20.htm

	Susan E. Grant, by power of atty., for William R. Carapezzi, Jr.	07/09/2020
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Pfizer (PFE) Form 3PFIZER / William R Carapezzi JR ownership change