Initial Statement of Beneficial Ownership (3)
05 Gennaio 2022 - 12:06AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
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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
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Rosamilia Thomas W |
2. Date of Event Requiring Statement (MM/DD/YYYY)
12/31/2021
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3. Issuer Name and Ticker or Trading Symbol
INTERNATIONAL BUSINESS MACHINES CORP [IBM]
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(Last)
(First)
(Middle)
IBM CORPORATION, ONE NEW ORCHARD ROAD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Senior Vice President / |
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(Street)
ARMONK, NY 10504
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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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 | 17830.812 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Rst. Stock Unit | (1) | (1) | Common Stock | 3108.00 | $0.00 | D | |
| Rst. Stock Unit | (2) | (2) | Common Stock | 7774.00 | $0.00 | D | |
| Rst. Stock Unit | (3) | (3) | Common Stock | 13210.00 | $0.00 | D | |
| Rst. Stock Unit | (4) | (4) | Common Stock | 16271.00 | $0.00 | D | |
| Phantom Stock Unit | (5) | (5) | Common Stock | 24355.00 | $0.00 | D | |
| Explanation of Responses: |
| (1) | On 6/8/18, the reporting person was granted 12,032 RSUs, 3,008 of which vested on 6/8/19, 3,008 of which vested on 6/8/20, 3,008 of which vested on 6/8/21, and 3,008 of which will vest on 6/8/22. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above. |
| (2) | On 6/7/19, the reporting person was granted 15,046 RSUs, 3,761 of which vested on 6/7/20, 3,761 of which vested on 6/7/21, 3,761 of which will vest on 6/7/22, and 3,763 of which will vest on 6/7/23. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above. |
| (3) | On 6/8/20, the reporting person was granted 17,048 RSUs, 4,262 which vested on 6/8/21, 4,262 of which will vest on 6/8/22, 4,262 of which will vest on 6/8/23, and 4,262 of which will vest on 6/8/24. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above. |
| (4) | On 6/8/21, the reporting person was granted 15,748 RSUs, 3,937 of which will vest on 6/8/22, 3,937 of which will vest on 6/8/23, 3,937 of which will vest on 6/8/24, and 3,937 of which will vest on 6/8/25. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above. |
| (5) | Phantom stock units acquired under the IBM Excess 401 (k) Plus Plan convert to the cash value of the company's common stock on a one-for-one basis, and distribution is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Rosamilia Thomas W
IBM CORPORATION
ONE NEW ORCHARD ROAD
ARMONK, NY 10504 |
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| Senior Vice President |
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Signatures
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| D. Glowienka on behalf of T. Rosamilia | | 1/4/2022 |
| **Signature of Reporting Person | Date |
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