Eli Lilly CEO David Ricks gifts 23,538 shares

The CEO's disclosed positions also include common shares held through two GRATs, a trust, a SLAT and a 401(k).

Available on EDGAR 11/04/2026 - 04:18 PM EST Accepted by SEC EDGAR 11/04/2026 - 04:17 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Eli Lilly & Co. President, Chair, and CEO David A. Ricks reported a gift disposition of 23,538 common shares on November 3, 2026; his direct holdings afterward were 555,278 shares. No Rule 10b5-1 plan is reported. The November 3 holdings also list 4,574 shares in his 2025 GRAT, 49,127 in his 2022 GRAT, 300 in a trust, 68,656 in his SLAT, and 7,338 in a 401(k). Ricks disclaims beneficial ownership of securities in the GRAT, trust, and SLAT entries except to the extent of his pecuniary interest.

Insider Trade Summary

23,538 shares gifted

Gift 1 txn

Insider Ricks David A

Role President, Chair, and CEO

Type	Security	Shares	Price	Value
Gift	Common Stock F1	23,538	$0.00	$0.00
Holding	Common Stock F2, F3	--	--	--
Holding	Common Stock F2, F4	--	--	--
Holding	Common Stock F2	--	--	--
Holding	Common Stock F2	--	--	--
Holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 555,278.097 shares (Direct); Common Stock — 4,574 shares (Indirect, By David A. Ricks 2025 GRAT); Common Stock — 49,127 shares (Indirect, By David A. Ricks 2022 GRAT); Common Stock — 300 shares (Indirect, By Trust); Common Stock — 68,656 shares (Indirect, By David A. Ricks SLAT); Common Stock — 7,337.54 shares (Indirect, 401(k))

Holdings Before and After: Common Stock, 578,816.097 to 555,278.097 shares (Direct)

Footnotes (4)

1. F1. The amount reported includes (i) 4,990 shares of Eli Lilly and Company common stock transferred to the reporting person on May 14, 2026 as an annuity payment from the 2022 GRAT and (ii) 2,111 shares of Eli Lilly and Company common stock transferred to the reporting person on September 18, 2026 as an annuity payment from the 2025 GRAT, each a Grantor Retained Annuity Trust of which the reporting person is the trustee and each paid in accordance with its terms.
2. F2. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
3. F3. On September 18, 2026, 2,111 shares of Eli Lilly and Company common stock were transferred to the reporting person as an annuity payment in accordance with the terms of the Grantor Retained Annuity Trust, of which the reporting person is the trustee.
4. F4. On May 14, 2026, 4,990 shares of Eli Lilly and Company common stock were transferred to the reporting person as an annuity payment in accordance with the terms of the Grantor Retained Annuity Trust, of which the reporting person is the trustee.

Key Figures

Gift disposition: 23,538 shares Direct holdings after gift: 555,278 shares Indirect holdings by David A. Ricks 2025 GRAT: 4,574 shares +4 more

7 metrics

Gift disposition 23,538 shares November 3, 2026

Direct holdings after gift 555,278 shares Reported after the November 3, 2026 transaction

Indirect holdings by David A. Ricks 2025 GRAT 4,574 shares Reported November 3, 2026

Indirect holdings by David A. Ricks 2022 GRAT 49,127 shares Reported November 3, 2026

Indirect holdings by Trust 300 shares Reported November 3, 2026

Indirect holdings by David A. Ricks SLAT 68,656 shares Reported November 3, 2026

Indirect holdings in 401(k) 7,338 shares Reported November 3, 2026

Key Terms

Grantor Retained Annuity Trust, annuity payment, pecuniary interest, beneficial ownership

4 terms

Grantor Retained Annuity Trust financial

"each a Grantor Retained Annuity Trust of which the reporting person is the trustee"

A grantor retained annuity trust (GRAT) is an estate-planning tool where the person who creates the trust transfers assets into it but receives fixed cash payments (an annuity) from the trust for a set number of years; whatever remains after that term passes to designated beneficiaries. It matters to investors because it can shift future appreciation of assets out of the creator’s taxable estate—like putting an asset into a timed vending machine that pays you fixed amounts while any extra value that grows inside the machine goes to heirs with reduced gift or estate tax consequences.

annuity payment financial

"as an annuity payment from the 2022 GRAT"

pecuniary interest financial

"except to the extent of his pecuniary interest therein."

beneficial ownership financial

"disclaims beneficial ownership of the reported securities"

Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many LLY shares did David A. Ricks give as a gift?

David A. Ricks reported a gift disposition of 23,538 Eli Lilly common shares on November 3, 2026. His direct holdings afterward were 555,278 shares.

What shares were transferred to David A. Ricks from his GRATs in 2026?

A 2022 Grantor Retained Annuity Trust transferred 4,990 shares to Ricks on May 14, 2026, as an annuity payment, and a 2025 Grantor Retained Annuity Trust transferred 2,111 shares on September 18, 2026, also as an annuity payment. Each payment was made in accordance with the trust's terms.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

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SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Ricks David A

(Last) (First) (Middle)

LILLY CORPORATE CENTER

(Street)

INDIANAPOLIS INDIANA 46285

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
ELI LILLY & Co [ LLY ]

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

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	President, Chair, and CEO

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
11/03/2026

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

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

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

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	11/03/2026		G		23,538	D	$0	555,278.097	D(1)
Common Stock								4,574	I(2)(3)	By David A. Ricks 2025 GRAT
Common Stock								49,127	I(2)(4)	By David A. Ricks 2022 GRAT
Common Stock								300	I(2)	By Trust
Common Stock								68,656	I(2)	By David A. Ricks SLAT
Common Stock								7,337.54	I	401(k)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. The amount reported includes (i) 4,990 shares of Eli Lilly and Company common stock transferred to the reporting person on May 14, 2026 as an annuity payment from the 2022 GRAT and (ii) 2,111 shares of Eli Lilly and Company common stock transferred to the reporting person on September 18, 2026 as an annuity payment from the 2025 GRAT, each a Grantor Retained Annuity Trust of which the reporting person is the trustee and each paid in accordance with its terms.

2. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

3. On September 18, 2026, 2,111 shares of Eli Lilly and Company common stock were transferred to the reporting person as an annuity payment in accordance with the terms of the Grantor Retained Annuity Trust, of which the reporting person is the trustee.

4. On May 14, 2026, 4,990 shares of Eli Lilly and Company common stock were transferred to the reporting person as an annuity payment in accordance with the terms of the Grantor Retained Annuity Trust, of which the reporting person is the trustee.

Remarks:

	/s/ Jonathan Groff for David A. Ricks, pursuant to authorization on file	11/04/2026
	** 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 4 (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.
* Form 4: SEC 1474 (03-26)