FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/23/2008 |
3. Issuer Name and Ticker or Trading Symbol
BRISTOL MYERS SQUIBB CO [ BMY ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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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, $0.10 par value | 38,473(1) | D | |
Common Stock, $0.10 par value | 728.18(2) | I | By BMY Savings & Investment Program |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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: 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 | ||||
Executive Option (right to buy) | (3) | 03/06/2016 | Common Stock, $0.10 par value | 44,310 | $22.73 | D | |
Executive Option (right to buy) | (4) | 11/30/2016 | Common Stock, $0.10 par value | 120,000 | $24.74 | D | |
Executive Option (right to buy) | (5) | 02/28/2015 | Common Stock, $0.10 par value | 42,667 | $25.45 | D | |
Executive Option (right to buy) | (6) | 03/05/2017 | Common Stock, $0.10 par value | 58,754 | $27.01 | D | |
Option (right to buy) | (7) | 03/03/2018 | Common Stock, $0.10 par value | 72,639 | $22.14 | D | |
Option (right to buy) | (8) | 03/01/2014 | Common Stock, $0.10 par value | 19,333 | $28.11 | D | |
Option (right to buy) | (8) | 02/01/2014 | Common Stock, $0.10 par value | 40,000 | $28.35 | D | |
Restricted Stock Units | 03/04/2009(9) | (9) | Common Stock, $0.10 par value | 15,919 | (10) | D | |
Restricted Stock Units | 03/06/2010(11) | (11) | Common Stock, $0.10 par value | 14,686 | (10) | D |
Explanation of Responses: |
1. The total includes 37,754 shares of unvested restricted stock plus 719 shares held in a retail account. |
2. Based on a plan statement as of the end of the most recent fiscal quarter. |
3. 22,155 shares are currently exercisable. 11,077shares will become exercisable on March 7, 2009 and 11,078 shares will become exercisable on March 7, 2010. |
4. 40,000 shares will become exercisable on each of December 1, 2009, December 1, 2010, and December 1, 2011. |
5. 32,000 shares are currently exercisable. The remaining 10,667 shares will be exercisable on March 1, 2009. |
6. 14,688 shares are currently exercisable. 14,689 shares will become exercisable on March 6, 2009, 14,688 shares will become exercisable on March 6, 2010 and 14,689 shares will become exercisable on March 6, 2011. |
7. 18,159 shares will become exercisable on March 4, 2009 and 18,160 shares will become exercisable on each of March 4, 2010, March 4, 2011, and March 4, 2012. |
8. Currently Exercisable. |
9. 3,979 shares will become exercisable on March 4, 2009 and 3,980 shares will become exercisable on each of March 4, 2010, March 4, 2011, and March 4, 2012. Units are converted into shares of common stock upon vesting. |
10. Each restricted stock unit converts into one share of common stock upon vesting. |
11. 4,895 shares will become exercisable on each of March 6, 2010 and March 6, 2011, and 4,896 shares will become exercisable on March 6, 2012. Units are converted into shares of common stock upon vesting. |
Remarks: |
Carlo de Notaristefani | 06/30/2008 | |
** 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 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). | ||
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. |