UNITED STATES SECURITIES
AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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FORM 11-K | |
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FOR ANNUAL REPORTS OF EMPLOYEE STOCK PURCHASE, SAVINGS
AND SIMILAR PLANS PURSUANT TO SECTION 15 (d) OF
THE SECURITIES EXCHANGE ACT OF 1934
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(Mark One)
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X
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ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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For the fiscal year ended December 31, 2013 | |
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or | |
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TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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For the transition period from _______ to _______ | |
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Commission file number 1-3619 | |
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A.
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Full title of the Plan and the address of the plan, if different from that of the issuer named below:
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PFIZER SAVINGS PLAN
FOR EMPLOYEES RESIDENT IN PUERTO RICO
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B.
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Name of issuer of the securities held pursuant to the plan and the address of its principal executive office:
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Page | |
1
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FINANCIAL STATEMENTS
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2
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3
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4–17
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SUPPLEMENTAL SCHEDULES*
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18–19
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21
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22
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EXHIBIT
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23.1 – Consent of Independent Registered Public Accounting Firm
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23
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*Note:
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Other schedules required by 29 CFR 2520.103-10 of the Department of Labor’s Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974, as amended, have been omitted because they are not applicable.
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December 31,
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||||||||
(in thousands of dollars)
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2013
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2012
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||||||
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||||||||
Assets:
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||||||||
Investments, at fair value:
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||||||||
Pfizer Inc. common stock
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$ | 76,790 | $ | 54,778 | ||||
Zoetis Inc. common stock
|
107 | - | ||||||
Other common stocks
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3,107 | - | ||||||
Pfizer Inc. preferred stock
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2,758 | 2,626 | ||||||
Common/collective trust funds
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113,973 | 93,812 | ||||||
Mutual funds
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84,155 | 51,809 | ||||||
Guaranteed investment contracts
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6,307 | 12,385 | ||||||
Total investments, at fair value
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287,197 | 215,410 | ||||||
Receivables:
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||||||||
Participant contributions
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337 | 2 | ||||||
Company contributions
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261 | 84 | ||||||
Notes receivable from participants
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9,693 | 9,802 | ||||||
Securities sold
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- | 27 | ||||||
Total receivables
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10,291 | 9,915 | ||||||
Total assets
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297,488 | 225,325 | ||||||
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||||||||
Liabilities:
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||||||||
Pending trade purchases
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- | 208 | ||||||
Investment management fees payable
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15 | 13 | ||||||
Other
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15 | 21 | ||||||
Total liabilities
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30 | 242 | ||||||
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Net assets available for plan benefits before adjustment
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297,458 | 225,083 | ||||||
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Adjustment from fair value to contract value for fully benefit-responsive investment contracts
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(1,121 | ) | (3,083 | ) | ||||
Net assets available for plan benefits
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$ | 296,337 | $ | 222,000 |
Year Ended December 31,
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(in thousands of dollars)
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2013
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2012
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||||||
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||||||||
Additions/(reductions):
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||||||||
Additions/(reductions) to net assets attributed to:
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||||||||
Investment income:
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||||||||
Net appreciation in investments
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$ | 34,008 | $ | 17,454 | ||||
Common stock dividends
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2,189 | 1,864 | ||||||
Pfizer Inc. preferred stock dividends
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96 | 108 | ||||||
Interest and dividend income from other investments
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2,902 | 3,100 | ||||||
Total investment income
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39,195 | 22,526 | ||||||
Interest income from notes receivable from participants
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402 | 443 | ||||||
Less: Investment management, redemption and loan fees
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(92 | ) | (19 | ) | ||||
Net investment and interest income
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39,505 | 22,950 | ||||||
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Contributions:
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||||||||
Participant
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11,709 | 13,974 | ||||||
Company
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5,436 | 6,660 | ||||||
Total contributions
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17,145 | 20,634 | ||||||
Total additions, net
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56,650 | 43,584 | ||||||
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Deductions:
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||||||||
Deductions from net assets attributed to:
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Benefits paid to participants
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24,889 | 23,030 | ||||||
Rollovers out of Plan
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22 | - | ||||||
Total deductions, net
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24,911 | 23,030 | ||||||
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Net increase
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31,739 | 20,554 | ||||||
Transfers into Plan
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42,598 | - | ||||||
Net assets available for plan benefits:
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Beginning of year
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222,000 | 201,446 | ||||||
End of year
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$ | 296,337 | $ | 222,000 |
Years
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Amount
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Beginning on January 1, 2012
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$ | 13,000 | ||
Beginning on January 1, 2013
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15,000 | |||
Beginning on January 1, 2014
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15,000 |
Pfizer Stock
Match Fund
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–
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This fund invests Company matching contributions in the common stock of Pfizer Inc.
All Plan participants can diversify 100% of their Company matching contributions into any of the other available investment funds at any time after the contributions have been made to their account.
The fund targets a cash position of 0.25% of the fund balance for purposes of liquidity. The cash position may vary day-to-day.
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Pfizer
Preferred
Stock Fund
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–
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This fund holds investments in the preferred stock of Pfizer Inc. which were allocated to participants in the Pharmacia Savings Plan for Employees Resident in Puerto Rico before the merger of that plan into the Plan on December 31, 2009. Dividends paid to a participant’s Pfizer Preferred Stock Fund account are substituted for an allocation of Pfizer Inc. common stock.
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December 31,
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(thousands of dollars)
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2013
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2012
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Pfizer Inc. common stock*
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$ | 76,790 | $ | 54,778 | ||||
T. Rowe Price Stable Value Common Trust Fund,
at contract value
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68,956 | 57,106 | ||||||
NTGI – S&P 500 Equity Index
Fund – Lending
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25,667 | 16,105 |
*
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Includes 1,317,834 nonparticipant-directed shares and 1,189,200 participant-directed shares at December 31, 2013 and 1,026,993 nonparticipant-directed shares and 1,157,124 participant-directed shares at December 31, 2012.
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Year Ended December 31,
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||||||||
(thousands of dollars)
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2013
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2012
|
||||||
Net appreciation in investments:
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Common stock
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$ | 12,759 | $ | 7,311 | ||||
Pfizer Inc. preferred stock
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543 | 373 | ||||||
Mutual funds
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14,466 | 6,372 | ||||||
Common/collective trust funds
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6,150 | 3,398 | ||||||
$ | 33,918 | $ | 17,454 |
As of December 31,
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(thousands of dollars)
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2013
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2012
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Net assets:
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||||||||
Investments, at fair value:
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Common stock
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$ | 40,365 | $ | 25,757 | ||||
Pfizer Inc. preferred stock
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2,758 | 2,626 | ||||||
Common/collective trust funds
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265 | 265 | ||||||
Total investments
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43,388 | 28,648 | ||||||
Receivables:
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Participant contributions
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5 | - | ||||||
Company contributions
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116 | - | ||||||
Securities sold and other
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- | 29 | ||||||
Total receivables
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121 | 29 | ||||||
Total assets
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43,509 | 28,677 | ||||||
Liabilities:
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Payable for securities purchased and other
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4 | 213 | ||||||
Net assets available for plan benefits
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$ | 43,505 | $ | 28,464 |
Year Ended December 31,
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(thousands of dollars)
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2013
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2012
|
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Changes in net assets:
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||||||||
Investment income:
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Net appreciation in investments
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$ | 6,818 | $ | 3,736 | ||||
Common stock dividends
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1,067 | 843 | ||||||
Pfizer Inc. preferred stock dividends
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96 | 108 | ||||||
Interest and dividend income from other investments
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32 | 22 | ||||||
Less: Investment management, redemption and loan fees
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(8 | ) | - | |||||
Total investment income
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8,005 | 4,709 | ||||||
Contributions and other:
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Company contributions
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5,291 | 6,576 | ||||||
Benefits paid to participants
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(3,720 | ) | (3,205 | ) | ||||
Transfers from/(to) participant-directed investments
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5,465 | (1,463 | ) | |||||
Total contributions and other
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7,036 | 1,908 | ||||||
Net increase
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15,041 | 6,617 | ||||||
Net assets available for plan benefits:
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Beginning of year
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28,464 | 21,847 | ||||||
End of year
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$ | 43,505 | $ | 28,464 |
(Thousands of Dollars)
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Investments at Fair Value as of December 31, 2013
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Level 1
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Level 2
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Level 3
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Total
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Common/Collective Trusts:
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US Large Cap Equity
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$ | - | $ | 25,667 | $ | - | $ | 25,667 | ||||||||
US Small/Mid Cap Equity
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- | 4,033 | - | 4,033 | ||||||||||||
Fixed Income
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- | 84,273 | - | 84,273 | ||||||||||||
- | 113,973 | 113,973 | ||||||||||||||
Mutual Funds:
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US Large Cap Equity
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13,121 | - | - | 13,121 | ||||||||||||
US Small/Mid Cap Equity
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24,719 | - | - | 24,719 | ||||||||||||
Non-US Equity
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16,394 | - | - | 16,394 | ||||||||||||
Retirement Target Date
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29,921 | - | - | 29,921 | ||||||||||||
84,155 | - | - | 84,155 | |||||||||||||
Pfizer Inc. Common Stock
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76,790 | - | - | 76,790 | ||||||||||||
Zoetis Inc. Common Stock
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107 | - | - | 107 | ||||||||||||
Other Common Stocks
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3,107 | - | - | 3,107 | ||||||||||||
Pfizer Inc. Preferred Stock
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- | 2,758 | - | 2,758 | ||||||||||||
Guaranteed Investment Contracts
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- | 6,307 | - | 6,307 | ||||||||||||
Total Investments at Fair Value
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$ | 164,159 | $ | 123,038 | $ | - | $ | 287,197 |
(Thousands of Dollars)
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Investments at Fair Value as of December 31, 2012
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Level 1
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Level 2
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Level 3
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Total
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Common/Collective Trusts:
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US Large Cap Equity
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$ | - | $ | 16,105 | $ | - | $ | 16,105 | ||||||||
US Small/Mid Cap Equity
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- | 2,602 | - | 2,602 | ||||||||||||
Fixed Income
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- | 75,105 | - | 75,105 | ||||||||||||
- | 93,812 | - | 93,812 | |||||||||||||
Mutual Funds:
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US Large Cap Equity
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11,699 | - | - | 11,699 | ||||||||||||
US Small/Mid Cap Equity
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13,899 | - | - | 13,899 | ||||||||||||
Non-US Equity
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11,308 | - | - | 11,308 | ||||||||||||
Retirement Target Date
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14,903 | - | - | 14,903 | ||||||||||||
51,809 | - | - | 51,809 | |||||||||||||
Pfizer Inc. Common Stock
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54,778 | - | - | 54,778 | ||||||||||||
Pfizer Inc. Preferred Stock
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- | 2,626 | - | 2,626 | ||||||||||||
Guaranteed Investment Contracts
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- | 12,385 | - | 12,385 | ||||||||||||
Total Investments at Fair Value
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$ | 106,587 | $ | 108,823 | $ | - | $ | 215,410 |
December 31,
|
||||||||
(thousands of dollars)
|
2013
|
2012
|
||||||
Net assets available for plan benefits per the financial statements
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$ | 296,337 | $ | 222,000 | ||||
Adjustment of T. Rowe Price Stable Value Common Trust Fund and T.
Rowe Price Fixed Income Fund investments from contract value to fair value
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1,121 | 3,083 | ||||||
Amounts allocated to withdrawing participants
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(15 | ) | (191 | ) | ||||
Deemed distributions
|
(282 | ) | (239 | ) | ||||
Net assets available for plan benefits per Form 5500
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$ | 297,161 | $ | 224,653 |
Year Ended December 31,
|
||||||||
(thousands of dollars)
|
2013
|
2012
|
||||||
Benefits paid to participants per the financial statements
|
$ | 24,889 | $ | 23,030 | ||||
Amounts allocated to withdrawing participants and deemed distributions at end of year
|
297 | 430 | ||||||
Amounts allocated to withdrawing participants and deemed distributions at beginning of year
|
(430 | ) | (257 | ) | ||||
Benefits paid to participants per Form 5500
|
$ | 24,756 | $ | 23,203 |
Year Ended December 31,
|
||||||||
(thousands of dollars)
|
2013
|
2012
|
||||||
Net appreciation in investments per the financial statements
|
$ | 34,008 | $ | 17,454 | ||||
Adjustment of T. Rowe Price Stable Value Common Trust Fund and T.
Rowe Price Fixed Income Fund investments from contract value to fair
value at end of year
|
1,121 | 3,083 | ||||||
Adjustment of T. Rowe Price Stable Value Common Trust Fund and T.
Rowe Price Fixed Income Fund investments from contract value to fair
value at beginning of year
|
(3,083 | ) | (3,216 | ) | ||||
Net appreciation in investments per Form 5500
|
$ | 32,046 | $ | 17,321 |
FOR EMPLOYEES RESIDENT IN PUERTO RICO
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SCHEDULE H, LINE 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
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|||||||
As of December 31, 2013
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(thousands of dollars)
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|||||||
(a)
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(b)
|
(c)
|
(c)
|
(c)
|
(c)
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(d)
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(e)
|
Rate
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Number of
|
||||||
Identity of Issue, Borrower, Lessor,
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Description of
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of
|
Maturity
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Shares or
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Current
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||
or Similar Party
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Investment
|
Interest
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Date
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Units
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Cost
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Value
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Common Stocks:
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AbbVie Inc.
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Common stock
|
391
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21
|
21
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ACE Limited
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Common stock
|
402
|
41
|
42
|
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The AES Corporation
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Common stock
|
2,925
|
42
|
42
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AGCO Corporation
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Common stock
|
326
|
19
|
19
|
|||
Agilent Technologies, Inc.
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Common stock
|
364
|
21
|
21
|
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The Allstate Corporation
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Common stock
|
507
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27
|
28
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American Capital Agency Corp.
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Common stock
|
404
|
8
|
8
|
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American Homes 4 Rent
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Common stock
|
952
|
16
|
15
|
|||
Amgen Inc.
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Common stock
|
315
|
36
|
36
|
|||
Avago Technologies Limited
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Common stock
|
159
|
8
|
8
|
|||
Bank Of America Corporation
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Common stock
|
4,230
|
66
|
66
|
|||
BB&T Corporation
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Common stock
|
721
|
26
|
27
|
|||
Bed Bath & Beyond Inc.
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Common stock
|
317
|
25
|
25
|
|||
Berkshire Hathaway Inc.
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Common stock
|
1,038
|
121
|
123
|
|||
Brocade Communications Systems, Inc.
|
Common stock
|
3,857
|
33
|
34
|
|||
Capital One Financial Corporation
|
Common stock
|
903
|
67
|
69
|
|||
CBS Corporation
|
Common stock
|
300
|
18
|
19
|
|||
Cigna Corporation
|
Common stock
|
434
|
37
|
38
|
|||
Cisco Systems, Inc.
|
Common stock
|
2,911
|
62
|
65
|
|||
Citigroup Inc.
|
Common stock
|
1,984
|
103
|
103
|
|||
Comcast Corporation
|
Common stock
|
1,328
|
68
|
69
|
|||
Covidien Public Limited Company
|
Common stock
|
462
|
31
|
31
|
|||
Crown Holdings, Inc.
|
Common stock
|
625
|
27
|
28
|
|||
CVS Caremark Corporation
|
Common stock
|
993
|
70
|
71
|
|||
Discover Financial Services
|
Common stock
|
560
|
30
|
31
|
|||
Dover Corporation
|
Common stock
|
326
|
31
|
31
|
|||
EOG Resources, Inc.
|
Common stock
|
122
|
21
|
20
|
|||
Equity Residential
|
Common stock
|
413
|
21
|
21
|
|||
Express Scripts Holding Company
|
Common stock
|
690
|
48
|
48
|
|||
Exxon Mobil Corporation
|
Common stock
|
1,676
|
166
|
170
|
|||
Fifth Third Bancorp
|
Common stock
|
2,003
|
42
|
47
|
|||
FirstEnergy Corp.
|
Common stock
|
760
|
25
|
25
|
|||
Gannett Co., Inc.
|
Common stock
|
780
|
22
|
23
|
|||
Global Payments Inc.
|
Common stock
|
108
|
7
|
7
|
|||
The Goldman Sachs Group, Inc.
|
Common stock
|
175
|
31
|
31
|
|||
Honeywell International Inc.
|
Common stock
|
242
|
22
|
22
|
|||
Iac/InterActiveCorp
|
Common stock
|
617
|
41
|
42
|
|||
International Paper Company
|
Common stock
|
403
|
20
|
20
|
|||
Johnson & Johnson
|
Common stock
|
889
|
82
|
81
|
|||
JPMorgan Chase & Co.
|
Common stock
|
1,722
|
99
|
101
|
|||
Lear Corporation
|
Common stock
|
506
|
41
|
41
|
|||
Liberty Global plc
|
Common stock
|
543
|
44
|
46
|
|||
Liberty Media Corporation
|
Common stock
|
305
|
44
|
45
|
|||
Lockheed Martin Corporation
|
Common stock
|
303
|
44
|
45
|
|||
Macy's, Inc.
|
Common stock
|
493
|
26
|
26
|
|||
Marathon Oil Corporation
|
Common stock
|
595
|
21
|
21
|
|||
McKesson Corporation
|
Common stock
|
353
|
57
|
57
|
|||
MetLife, Inc.
|
Common stock
|
404
|
21
|
22
|
|||
Microsoft Corporation
|
Common stock
|
1,369
|
50
|
51
|
|||
Netapp, Inc.
|
Common stock
|
839
|
34
|
35
|
PFIZER SAVINGS PLAN | |||||||
FOR EMPLOYEES RESIDENT IN PUERTO RICO | |||||||
SCHEDULE H, LINE 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR) | |||||||
As of December 31, 2013 | |||||||
(thousands of dollars) | |||||||
(a)
|
(b)
|
(c)
|
(c)
|
(c)
|
(c)
|
(d)
|
(e)
|
Rate
|
Number of
|
||||||
Identity of Issue, Borrower, Lessor,
|
Description of
|
of
|
Maturity
|
Shares or
|
Current
|
||
or Similar Party
|
Investment
|
Interest
|
Date
|
Units
|
Cost
|
Value
|
News Corporation
|
Common stock
|
877
|
16
|
16
|
|||
Norfolk Southern Corporation
|
Common stock
|
388
|
36
|
36
|
|||
Occidental Petroleum Corporation
|
Common stock
|
707
|
66
|
67
|
|||
Omnicare, Inc.
|
Common stock
|
643
|
38
|
39
|
|||
Omnicom Group Inc.
|
Common stock
|
205
|
15
|
15
|
|||
ON Semiconductor Corporation
|
Common stock
|
2,718
|
21
|
22
|
|||
Parker-Hannifin Corporation
|
Common stock
|
207
|
26
|
27
|
|||
*
|
Pfizer Inc.
|
Common stock
|
2,507,034
|
54,147
|
76,790
|
||
Phillips 66
|
Common stock
|
761
|
57
|
59
|
|||
QUALCOMM Incorporated
|
Common stock
|
436
|
32
|
32
|
|||
Quest Diagnostics Incorporated
|
Common stock
|
303
|
16
|
16
|
|||
Raytheon Company
|
Common stock
|
414
|
37
|
38
|
|||
Rock-Tenn Company
|
Common stock
|
239
|
25
|
25
|
|||
Royal Dutch Shell plc
|
Common stock
|
580
|
40
|
41
|
|||
Sanofi
|
Common stock
|
968
|
50
|
52
|
|||
Schlumberger Limited
|
Common stock
|
387
|
34
|
35
|
|||
Seagate Technology Public Limited Company
|
Common stock
|
411
|
23
|
23
|
|||
Siemens AG
|
Common stock
|
188
|
25
|
26
|
|||
Six Flags Entertainment Corporation
|
Common stock
|
173
|
6
|
6
|
|||
State Street Corporation
|
Common stock
|
391
|
28
|
29
|
|||
Symantec Corporation
|
Common stock
|
350
|
8
|
8
|
|||
TE Connectivity Ltd.
|
Common stock
|
387
|
21
|
21
|
|||
Time Warner Cable Inc.
|
Common stock
|
196
|
26
|
27
|
|||
Time Warner Inc.
|
Common stock
|
828
|
57
|
58
|
|||
The Travelers Companies, Inc.
|
Common stock
|
167
|
15
|
15
|
|||
Tyco International Ltd.
|
Common stock
|
431
|
17
|
18
|
|||
Tyson Foods, Inc.
|
Common stock
|
1,196
|
40
|
40
|
|||
UnitedHealth Group Incorporated
|
Common stock
|
336
|
25
|
25
|
|||
Valero Energy Corporation
|
Common stock
|
346
|
16
|
17
|
|||
Validus Holdings, Ltd.
|
Common stock
|
427
|
17
|
17
|
|||
Wells Fargo & Company
|
Common stock
|
2,624
|
118
|
119
|
|||
Western Digital Corporation
|
Common stock
|
253
|
21
|
21
|
|||
Zoetis Inc.
|
Common stock
|
3,266
|
68
|
107
|
|||
Total common stocks
|
57,270
|
80,004
|
|||||
*
|
Pfizer Inc. Preferred Stock
|
Preferred stock
|
34
|
1,408
|
2,758
|
||
*
|
NTGI – S&P 500 Equity
|
||||||
Index Fund – Lending
|
Collective trust fund
|
4,418
|
16,012
|
25,667
|
|||
*
|
NTGI – Russell 2000 Index
|
||||||
Fund – Lending
|
Collective trust fund
|
2,635
|
3,069
|
4,033
|
|||
BlackRock US TIPS Index Fund K
|
Collective trust fund
|
328,167
|
4,237
|
4,164
|
|||
BlackRock US Debt Index Fund K
|
Collective trust fund
|
308,291
|
8,744
|
9,306
|
|||
T. Rowe Price Stable Value Common Trust Fund
|
Collective trust fund
|
68,828,121
|
68,956
|
69,934
|
|||
*
|
NTGI – Collective Government Short-Term
|
||||||
Investment Fund
|
Collective trust fund
|
868,848
|
869
|
869
|
|||
Total common/collective trust funds
|
101,887
|
113,973
|
PFIZER SAVINGS PLAN
|
FOR EMPLOYEES RESIDENT IN PUERTO RICO
|
SCHEDULE H, LINE 4i - SCHEDULE OF ASSETS (HELD AT END OF YEAR)
|
As of December 31, 2013
|
(thousands of dollars)
|
(a)
|
(b)
|
(c)
|
(c)
|
(c)
|
(c)
|
(d)
|
(e)
|
|
Rate
|
Number of
|
|||||||
Identity of Issue, Borrower, Lessor,
|
Description of
|
of
|
Maturity
|
Shares or
|
Current
|
|||
or Similar Party
|
Investment
|
Interest
|
Date
|
Units
|
Cost
|
Value
|
||
Dodge & Cox International Stock Fund
|
Mutual fund
|
291,079
|
9,781
|
12,528
|
||||
*
|
Fidelity Mid Cap Stock Fund
|
Mutual fund
|
343,832
|
10,424
|
13,581
|
|||
*
|
Fidelity Growth Company Fund
|
Mutual fund
|
109,605
|
10,793
|
13,121
|
|||
*
|
Fidelity Low Price Stock Fund
|
Mutual fund
|
150,168
|
6,085
|
7,421
|
|||
Oppenheimer Developing Markets Fund I
|
Mutual fund
|
102,914
|
3,361
|
3,866
|
||||
T. Rowe Price Small Cap Stock Fund
|
Mutual fund
|
83,409
|
3,134
|
3,717
|
||||
Vanguard Target Retirement Income Fund
|
Mutual fund
|
255,670
|
3,082
|
3,195
|
||||
Vanguard Target Retirement 2015 Fund
|
Mutual fund
|
63,315
|
881
|
935
|
||||
Vanguard Target Retirement 2020 Fund
|
Mutual fund
|
277,862
|
6,330
|
7,617
|
||||
Vanguard Target Retirement 2025 Fund
|
Mutual fund
|
54,030
|
797
|
1,028
|
||||
Vanguard Target Retirement 2030 Fund
|
Mutual fund
|
406,493
|
8,821
|
11,462
|
||||
Vanguard Target Retirement 2035 Fund
|
Mutual fund
|
58,896
|
893
|
1,128
|
||||
Vanguard Target Retirement 2040 Fund
|
Mutual fund
|
144,725
|
3,138
|
4,099
|
||||
Vanguard Target Retirement 2045 Fund
|
Mutual fund
|
19,730
|
324
|
350
|
||||
Vanguard Target Retirement 2050 Fund
|
Mutual fund
|
1,392
|
35
|
39
|
||||
Vanguard Target Retirement 2055 Fund
|
Mutual fund
|
2,187
|
59
|
68
|
||||
Total mutual funds
|
67,938
|
84,155
|
||||||
T. Rowe Price Fixed Income Fund - Guaranteed
Investment Contracts:
|
||||||||
Metropolitan Life Insurance., Contract #29934
|
Fixed income fund
|
5.90%
|
6/15/2014
|
2,767,585
|
2,768
|
2,833
|
||
Prudential Life Insurance, Contract #GA 62087-214
|
Fixed income fund
|
5.68%
|
6/16/2014
|
3,396,136
|
3,396
|
3,474
|
||
Total fixed income fund
|
6,164
|
6,307
|
*
|
Notes receivable from participants
|
Interest Rates: 4.00% - 9.50%
|
9,693
|
||||
Maturity Dates: 2014- 2028
|
Total
|
$ |
296,890
|
||||||
* Party-in-interest as defined by ERISA
|
||||||||
See accompanying report of independent registered public accounting firm.
|
SCHEDULE H, LINE 4j - SCHEDULE OF REPORTABLE TRANSACTIONS
|
||||||||||||
Year ended December 31, 2013
|
||||||||||||
(thousands of dollars)
|
||||||||||||
(h)
|
||||||||||||
Current
|
||||||||||||
value of
|
||||||||||||
(a)
|
(b)
|
(c)
|
(d)
|
(g)
|
asset on
|
(i)
|
||||||
Identity of
|
Description
|
Purchase
|
Selling
|
Cost
|
transaction
|
Net gain/
|
||||||
party involved
|
of asset
|
price
|
price
|
of asset
|
date
|
(loss)
|
||||||
T. Rowe Price Stable Value Fund
|
Common /
Collective Trust
(CCT) shares –
115 purchases
|
21,992
|
-
|
21,992
|
21,992
|
-
|
||||||
T. Rowe Price Stable Value Fund
|
CCT shares–
153 sales
|
-
|
17,580
|
17,580
|
17,580
|
-
|
||||||
NTGI Collective Government
Short-Term Investment Fund*
|
CCT shares – 409
purchases
|
30,934
|
-
|
30,934
|
30,934
|
-
|
||||||
NTGI Collective Government
Short-Term Investment Fund*
|
CCT shares–
347 sales
|
-
|
30,915
|
30,915
|
30,915
|
-
|
||||||
Pfizer Inc.*
|
Common stock –
62 purchases
|
10,241
|
-
|
10,241
|
10,241
|
-
|
||||||
Pfizer Inc.*
|
Common stock –
106 sales
|
-
|
8,174
|
5,741
|
8,174
|
2,433
|
||||||
Pfizer Puerto Rico Participant Loan Asset*
|
239 purchases
|
5,287
|
-
|
5,287
|
5,287
|
-
|
||||||
Pfizer Puerto Rico Participant Loan Asset*
|
264 sales
|
-
|
6,065
|
6,065
|
6,065
|
-
|
||||||
* Party-in-interest as defined by ERISA
|
||||||||||||
See accompanying report of independent registered public accounting firm.
|
PFIZER SAVINGS PLAN FOR EMPLOYEES RESIDENT
IN PUERTO RICO
|
|
|
|
By: /s/ Brian McMahon
|
|
|
|
|
|
Brian McMahon
|
|
Member, Savings Plan Committee
|