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)
|
02/23/2003(1)
|
02/22/2009 |
Common Stock
|
1,124
|
$
88.955
|
D
|
Â
|
Emp. Stock Option (right to buy)
|
02/23/2003(1)
|
02/22/2009 |
Common Stock
|
2,276
|
$
88.955
|
D
|
Â
|
Emp. Stock Option (right to buy)
|
02/29/2004(1)
|
02/28/2010 |
Common Stock
|
968
|
$
103.25
|
D
|
Â
|
Emp. Stock Option (right to buy)
|
02/29/2004(1)
|
02/28/2010 |
Common Stock
|
2,032
|
$
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
|
6,045
|
$
104.71
|
D
|
Â
|
Emp. Stock Option (right to buy)
|
02/26/2006(1)
|
02/25/2012 |
Common Stock
|
10,011
|
$
97.59
|
D
|
Â
|
Emp. Stock Option (right to buy)
|
02/25/2007(1)
|
02/24/2013 |
Common Stock
|
16,455
|
$
78.13
|
D
|
Â
|
Emp. Stock Option (right to buy)
|
02/24/2008(1)
|
02/23/2014 |
Common Stock
|
16,087
|
$
105.96
|
D
|
Â
|
Emp. Stock Option (right to buy)
|
03/08/2008(2)
|
03/07/2015 |
Common Stock
|
794
|
$
92.12
|
D
|
Â
|
Emp. Stock Option (right to buy)
|
03/08/2008(3)
|
03/07/2015 |
Common Stock
|
8,560
|
$
101.33
|
D
|
Â
|
Emp. Stock Option (right to buy)
|
05/08/2009(4)
|
05/07/2016 |
Common Stock
|
1,352
|
$
82.76
|
D
|
Â
|
Emp. Stock Option (right to buy)
|
05/08/2010(4)
|
05/07/2017 |
Common Stock
|
559
|
$
102.8
|
D
|
Â
|
Rst. Stock Unit
|
Â
(5)
|
Â
(5)
|
Common Stock
|
2,500
|
$
0
|
D
|
Â
|
Rst. Stock Unit
|
Â
(6)
|
Â
(6)
|
Common Stock
|
2,106
|
$
0
|
D
|
Â
|
Rst. Stock Unit
|
Â
(7)
|
Â
(7)
|
Common Stock
|
6,098
|
$
0
|
D
|
Â
|
Rst. Stock Unit
|
Â
(8)
|
Â
(8)
|
Common Stock
|
7,282
|
$
0
|
D
|
Â
|
Phantom Stock Unit
|
Â
(9)
|
Â
(9)
|
Common Stock
|
1,914
|
$
0
|
D
|
Â
|
Rst. Stock Unit
|
Â
(10)
|
Â
(10)
|
Common Stock
|
149
|
$
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 vested in its entirety on the date shown above. |
(3) |
This grant vests in four equal annual installments; the most recent vesting occurred on the date shown above. |
(4) |
This grant vests in its entirety on the date shown above. |
(5) |
Upon lapse of the restrictions, these units are payable in cash or the company's common stock. The restrictions lapse for 1,250 of these units on May 8, 2008 and for 1,250 of these units on May 8, 2010. |
(6) |
Upon lapse of the restrictions, these units are payable in cash or the company's common stock. The restrictions lapse for 1,053 of these units on May 8, 2009 and for 1,053 of these units on May 8, 2011. |
(7) |
These units are payable in cash or the company's common stock upon lapse of the restrictions on November 2, 2010. |
(8) |
These units are payable in cash or the company's common stock upon lapse of the restrictions on September 4, 2012. |
(9) |
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 some of these phantom stock units into an alternative investment account under such plan. |
(10) |
These units have been deferred and are payable in the company's common stock upon lapse of restriction after retirement. |