0000014272-14-000085.txt : 20140305 0000014272-14-000085.hdr.sgml : 20140305 20140305163625 ACCESSION NUMBER: 0000014272-14-000085 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140303 FILED AS OF DATE: 20140305 DATE AS OF CHANGE: 20140305 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BRISTOL MYERS SQUIBB CO CENTRAL INDEX KEY: 0000014272 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 220790350 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 345 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10154 BUSINESS PHONE: 2125464000 MAIL ADDRESS: STREET 1: 345 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10154 FORMER COMPANY: FORMER CONFORMED NAME: BRISTOL MYERS CO DATE OF NAME CHANGE: 19891012 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Caldarella Joseph C CENTRAL INDEX KEY: 0001341069 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-01136 FILM NUMBER: 14669736 MAIL ADDRESS: STREET 1: BRISTOL-MYERS SQUIBB COMPANY STREET 2: RT 206 & PROVINCELINE ROAD CITY: PRINCETON STATE: NJ ZIP: 08540 4 1 wf-form4_139405537427940.xml FORM 4 X0306 4 2014-03-03 0 0000014272 BRISTOL MYERS SQUIBB CO BMY 0001341069 Caldarella Joseph C BRISTOL-MYERS SQUIBB COMPANY 345 PARK AVENUE NEW YORK NY 10154 0 1 0 0 SVP & Controller Common Stock, $0.10 par value 2014-03-03 4 M 0 1769 0 A 61124 D Common Stock, $0.10 par value 2014-03-03 4 J 0 1769 0 A 62893 D Common Stock, $0.10 par value 2014-03-03 4 F 0 1981 53.49 D 60912 D Common Stock, $0.10 par value 2014-03-03 4 M 0 2474 0 A 63386 D Common Stock, $0.10 par value 2014-03-03 4 J 0 2474 0 A 65860 D Common Stock, $0.10 par value 2014-03-03 4 F 0 2770 53.49 D 63090 D Common Stock, $0.10 par value 2014-03-03 4 M 0 26810 0 A 89900 D Common Stock, $0.10 par value 2014-03-03 4 F 0 14409 53.49 D 75491 D Common Stock, $0.10 par value 1627.19 I By BMY Savings & Investment Program Market Share Units 2014-03-03 4 M 0 1769 0 D 2014-03-31 Common Stock, $0.10 par value 1769.0 0 D Market Share Units 2014-03-03 4 M 0 2474 0 D 2015-03-31 Common Stock, $0.10 par value 2474.0 2475 D Performance Shares 2014-03-03 4 A 0 12431 0 A 2014-03-31 Common Stock, $0.10 par value 12431.0 26000.8551 D Performance Shares 2014-03-03 4 J 0 809.1449 0 A 2014-03-31 Common Stock, $0.10 par value 809.1449 26810 D Performance Shares 2014-03-03 4 M 0 26810 0 D 2014-03-31 Common Stock, $0.10 par value 26810.0 0 D Performance Shares 2014-03-03 4 A 0 3921 0 A 2015-03-31 Common Stock, $0.10 par value 3921.0 8748.2871 D Performance Shares 2014-03-03 4 J 0 272.9097 0 A 2015-03-31 Common Stock, $0.10 par value 272.9097 9021.1968 D Performance Shares 2014-03-03 4 A 0 3758 0 A 2016-03-31 Common Stock, $0.10 par value 3758.0 3758 D Performance Shares 2014-03-03 4 J 0 117.2336 0 A 2016-03-31 Common Stock, $0.10 par value 117.2336 3875.2336 D Represents vesting of one-quarter of market share units granted on March 2, 2010. Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor. Shares withheld for payment of taxes upon vesting of awards. Represents vesting of one-quarter of market share units granted on March 1, 2011. Represents distribution of performance shares earned under the 2011-2013 Long-Term Performance Award. Based on a plan statement as of the end of the most recent fiscal quarter. Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%. Each performance share converts into one share of common stock upon distribution in the first quarter of 2014. Represents performance shares earned under the 2011-2013 Long-Term Performance Award. Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2014. Represents dividend equivalents earned under the 2011-2013 Long-Term Performance Award. Each performance share converts into one share of common stock upon distribution in the first quarter of 2015. Represents performance shares earned under the 2012-2014 Long-Term Performance Award. Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2015. Represents dividend equivalents earned under the 2012-2014 Long-Term Performance Award. Each performance share converts into one share of common stock upon distribution in the first quarter of 2016. Represents performance shares earned under the 2013-2015 Long-Term Performance Award. Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2016. Represents dividend equivalents earned under the 2013-2015 Long-Term Performance Award. /s/ Robert J. Wollin, attorney-in-fact for Joseph C. Caldarella 2014-03-05