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) 01/01/2010 |
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 | 29,510.55(1) | D |
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 | ||||
Option (right to buy) | (2) | 03/02/2019 | Common Stock, $0.10 par value | 52,884 | $17.51 | D | |
Option (right to buy) | (3) | 03/03/2018 | Common Stock, $0.10 par value | 37,460 | $22.14 | D | |
Option (right to buy) | (4) | 03/06/2016 | Common Stock, $0.10 par value | 19,320 | $22.73 | D | |
Option (right to buy) | (5) | 03/04/2013 | Common Stock, $0.10 par value | 26,875 | $23.14 | D | |
Option (right to buy) | (5) | 02/28/2015 | Common Stock, $0.10 par value | 16,931 | $25.45 | D | |
Option (right to buy) | (6) | 03/05/2017 | Common Stock, $0.10 par value | 22,598 | $27.01 | D | |
Option (right to buy) | (5) | 03/01/2014 | Common Stock, $0.10 par value | 20,250 | $28.11 | D | |
Option (right to buy) | (5) | 03/06/2010 | Common Stock, $0.10 par value | 15,775 | $42.64 | D | |
Option (right to buy) | (5) | 03/04/2012 | Common Stock, $0.10 par value | 18,000 | $48.07 | D | |
Option (right to buy) | (5) | 03/05/2011 | Common Stock, $0.10 par value | 15,775 | $59.78 | D | |
Performance Shares | (7) | 03/31/2010 | Common Stock, $0.10 par value | 5,821(8) | (7) | D | |
Performance Shares | (7) | 03/31/2011 | Common Stock, $0.10 par value | 5,994(9) | (7) | D | |
Restricted Stock Units | (10) | 03/06/2011 | Common Stock, $0.10 par value | 2,824 | (11) | D | |
Restricted Stock Units | (12) | 03/04/2012 | Common Stock, $0.10 par value | 6,156 | (11) | D | |
Restricted Stock Units | (13) | 03/03/2013 | Common Stock, $0.10 par value | 9,947 | (11) | D |
Explanation of Responses: |
1. Includes unvested restricted stock awards. |
2. 13,221 shares will become exercisable on each of March 3, 2010, March 3, 2011, March 3, 2012 and March 3, 2013. |
3. 9,365 shares are currently exercisable. 9365 share will become exercisable on each of March 4, 2010, March 4, 2011, and March 4, 2012. |
4. 14,490 shares are currently exercisable. The remaining 4,830 shares will become exercisable on March 7, 2010. |
5. Currently Exercisable. |
6. 11,299 shares are currently exercisable. 5,649 shares will become exercisable on March 6, 2010 and the remaining 5,650 shares will become exercisable on March 6, 2011. |
7. Each performance share is converted into one share of common stock upon distribution of the banked shares. |
8. Performance shares banked under the 2007-2009 Long-Term Performance Award with a payout date during the first quarter of 2010. |
9. Consists of 2,795 performance shares banked under the 2008-2010 Regular Long-Term Performance Award and 3,199 performance shares banked under the 2008-2010 Special Long-Term Performance Award with a payout during the first quarter of 2011. |
10. 1,412 restricted stock units will vest on March 6, 2010 and the remaining 1,412 shares will vest on 3/6/2011. Each restricted stock unit will be converted into one share of common stock upon vesting. |
11. Each restricted stock unit converts into one share of common stock upon vesting. |
12. 2,052 restricted stock units will vest on each of March 4, 2010, March 4, 2011 and March 4, 2012. Each restricted stock unit will be converted into one share of common stock upon vesting. |
13. 2,486 restricted stock units will vest on March 3, 2010 and 2,487 restricted stock units will vest on each of March 3, 2011, March 3, 2012 and March 3, 2013. Each restricted stock unit will be converted into one share of common stock upon vesting. |
Remarks: |
Charles A. Bancroft | 01/08/2010 | |
** 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. |