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 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 |
Emp. Stock Option (right to buy)
|
02/24/2002(1)
|
02/23/2008 |
Common Stock
|
489
|
$
51.155
|
D
|
Â
|
Emp. Stock Option (right to buy)
|
02/23/2003(1)
|
02/22/2009 |
Common Stock
|
562
|
$
88.955
|
D
|
Â
|
Emp. Stock Option (right to buy)
|
02/23/2003(1)
|
02/22/2009 |
Common Stock
|
8,438
|
$
88.955
|
D
|
Â
|
Emp. Stock Option (right to buy)
|
02/29/2004(1)
|
02/28/2010 |
Common Stock
|
726
|
$
103.25
|
D
|
Â
|
Emp. Stock Option (right to buy)
|
02/29/2004(1)
|
02/28/2010 |
Common Stock
|
8,274
|
$
103.25
|
D
|
Â
|
Emp. Stock Option (right to buy)
|
02/27/2005(1)
|
02/26/2011 |
Common Stock
|
955
|
$
104.71
|
D
|
Â
|
Emp. Stock Option (right to buy)
|
02/27/2005(1)
|
02/26/2011 |
Common Stock
|
19,145
|
$
104.71
|
D
|
Â
|
Emp. Stock Option (right to buy)
|
02/26/2006(1)
|
02/25/2012 |
Common Stock
|
25,029
|
$
97.59
|
D
|
Â
|
Emp. Stock Option (right to buy)
|
02/25/2007(1)
|
02/24/2013 |
Common Stock
|
17,260
|
$
78.13
|
D
|
Â
|
Emp. Stock Option (right to buy)
|
02/24/2007(2)
|
02/23/2014 |
Common Stock
|
24,746
|
$
105.96
|
D
|
Â
|
Emp. Stock Option (right to buy)
|
03/08/2008(3)
|
03/07/2015 |
Common Stock
|
1,883
|
$
92.12
|
D
|
Â
|
Emp. Stock Option (right to buy)
|
03/08/2007(2)
|
03/07/2015 |
Common Stock
|
21,400
|
$
101.33
|
D
|
Â
|
Emp. Stock Option (right to buy)
|
05/08/2009(3)
|
05/07/2016 |
Common Stock
|
3,689
|
$
82.76
|
D
|
Â
|
Rst. Stock Unit
|
Â
(4)
|
Â
(4)
|
Common Stock
|
5,000
|
$
0
|
D
|
Â
|
Rst. Stock Unit
|
Â
(5)
|
Â
(5)
|
Common Stock
|
11,628
|
$
0
|
D
|
Â
|
Rst. Stock Unit
|
Â
(6)
|
Â
(6)
|
Common Stock
|
5,313
|
$
0
|
D
|
Â
|
Rst. Stock Unit
|
Â
(7)
|
Â
(7)
|
Common Stock
|
4,737
|
$
0
|
D
|
Â
|
Phantom Stock Unit
|
Â
(8)
|
Â
(8)
|
Common Stock
|
8,645
|
$
0
|
D
|
Â
|
Rst. Stock Unit
|
Â
(9)
|
Â
(9)
|
Common Stock
|
6,010
|
$
0
|
D
|
Â
|
* |
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). |
(1) |
This grant vested in four equal annual installments; the last installment vested on the date shown above. |
(2) |
This grant vests in four equal annual installments; the most recent vesting occurred on the date shown above. |
(3) |
This grant vests in its entirety on the date shown above. |
(4) |
These units are payable in cash or the company's common stock upon lapse of the restrictions on November 5, 2009. |
(5) |
These units are payable in cash or the company's common stock upon lapse of the restrictions on December 6, 2009. |
(6) |
Upon lapse of the restrictions, these units are payable in cash or the company's common stock. The restrictions lapse for 2,656 of these units on May 8, 2008, and for 2,657 of these units on May 8, 2010. |
(7) |
Upon lapse of the restrictions, these units are payable in cash or the company's common stock. The restrictions lapse for 2,368 of these units on May 8, 2009, and for 2,369 of these units on May 8, 2011. |
(8) |
Phantom stock units acquired under the IBM Executive Deferred Compensation 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. |
(9) |
These units have been deferred and are payable in the company's common stock upon lapse of restriction after retirement. |