0000014272-16-000364.txt : 20160314
0000014272-16-000364.hdr.sgml : 20160314
20160314214237
ACCESSION NUMBER: 0000014272-16-000364
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160310
FILED AS OF DATE: 20160314
DATE AS OF CHANGE: 20160314
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: Caforio Giovanni
CENTRAL INDEX KEY: 0001533201
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-01136
FILM NUMBER: 161505410
MAIL ADDRESS:
STREET 1: BRISTOL-MYERS SQUIBB COMPANY
STREET 2: ROUTE 206 & PROVINCELINE ROAD
CITY: LAWRENCEVILLE
STATE: NJ
ZIP: 08543
4
1
wf-form4_145800614612241.xml
FORM 4
X0306
4
2016-03-10
0
0000014272
BRISTOL MYERS SQUIBB CO
BMY
0001533201
Caforio Giovanni
BRISTOL-MYERS SQUIBB COMPANY
345 PARK AVENUE
NEW YORK
NY
10154
1
1
0
0
Chief Executive Officer
Common Stock, $0.10 par value
2016-03-10
4
M
0
4878
0
A
84334.7465
D
Common Stock, $0.10 par value
2016-03-10
4
J
0
3358
0
A
87692.7465
D
Common Stock, $0.10 par value
2016-03-10
4
F
0
4264
64.94
D
83428.7465
D
Common Stock, $0.10 par value
2016-03-10
4
M
0
5702
0
A
89130.7465
D
Common Stock, $0.10 par value
2016-03-10
4
J
0
807
0
A
89937.7465
D
Common Stock, $0.10 par value
2016-03-10
4
F
0
3370
64.94
D
86567.7465
D
Common Stock, $0.10 par value
2016-03-10
4
M
0
7051
0
A
93618.7465
D
Common Stock, $0.10 par value
2016-03-10
4
J
0
110
0
D
93508.7465
D
Common Stock, $0.10 par value
2016-03-10
4
F
0
3594
64.94
D
89914.7465
D
Common Stock, $0.10 par value
2016-03-10
4
M
0
42991.59
0
A
132906.3365
D
Common Stock, $0.10 par value
2016-03-10
4
F
0
22258
64.94
D
110648.3365
D
Market Share Units
2016-03-10
4
M
0
4878
0
D
2017-03-10
Common Stock, $0.10 par value
4878.0
4879
D
Market Share Units
2016-03-10
4
M
0
5702
0
D
2018-03-10
Common Stock, $0.10 par value
5702.0
11404
D
Market Share Units
2016-03-10
4
M
0
7051
0
D
2019-03-10
Common Stock, $0.10 par value
7051.0
21154
D
Market Share Units
2016-03-10
4
A
0
72733
0
A
2020-03-10
Common Stock, $0.10 par value
72733.0
72733
D
Performance Shares
2016-03-10
4
A
0
109099
0
A
2019-03-10
Common Stock, $0.10 par value
109099.0
109099
D
Performance Shares
2016-03-15
4
A
0
16342.975
0
A
2016-03-10
Common Stock, $0.10 par value
16342.975
42005.971
D
Performance Shares
2016-03-10
4
J
0
985.619
0
A
2016-03-10
Common Stock, $0.10 par value
985.619
42991.59
D
Performance Shares
2016-03-10
4
M
0
42991.59
0
D
2016-03-10
Common Stock, $0.10 par value
42991.59
0
D
Represents vesting of one-quarter of market share units granted on March 10, 2013.
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 10, 2014.
Represents vesting of one-quarter of market share units granted on March 10, 2015.
Represents a downward adjustment to the number of shares acquired upon the vesting of market share units due to the performance factor.
Represents distribution of performance shares earned under the 2013-2015 Long-Term Performance Award.
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%.
Twenty-five percent of the market share unit award will vest on each of the first, second, third and fourth anniversaries of the grant date.
Each performance share converts into one share of common stock upon distribution in the first quarter of 2019.
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/ Katherine Kelly, attorney-in-fact for Giovanni Caforio
2016-03-14