0000014272-16-000370.txt : 20160314 0000014272-16-000370.hdr.sgml : 20160314 20160314214418 ACCESSION NUMBER: 0000014272-16-000370 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: Caldarella Joseph C CENTRAL INDEX KEY: 0001341069 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-01136 FILM NUMBER: 161505420 MAIL ADDRESS: STREET 1: BRISTOL-MYERS SQUIBB COMPANY STREET 2: RT 206 & PROVINCELINE ROAD CITY: PRINCETON STATE: NJ ZIP: 08540 4 1 wf-form4_145800624650144.xml FORM 4 X0306 4 2016-03-10 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 2016-03-10 4 M 0 1851 0 A 50387.3117 D Common Stock, $0.10 par value 2016-03-10 4 J 0 1274 0 A 51661.3117 D Common Stock, $0.10 par value 2016-03-10 4 F 0 1289 64.94 D 50372.3117 D Common Stock, $0.10 par value 2016-03-10 4 M 0 1127 0 A 51499.3117 D Common Stock, $0.10 par value 2016-03-10 4 J 0 159 0 A 51658.3117 D Common Stock, $0.10 par value 2016-03-10 4 F 0 614 64.94 D 51044.3117 D Common Stock, $0.10 par value 2016-03-10 4 M 0 1170 0 A 52214.3117 D Common Stock, $0.10 par value 2016-03-10 4 J 0 18 0 D 52196.3117 D Common Stock, $0.10 par value 2016-03-10 4 F 0 644 64.94 D 51552.3117 D Common Stock, $0.10 par value 2016-03-10 4 M 0 16311.77 0 A 67864.0817 D Common Stock, $0.10 par value 2016-03-10 4 F 0 9107 64.94 D 58757.0817 D Common Stock, $0.10 par value 1707.2094 I By BMY Savings and Investment Program Market Share Units 2016-03-10 4 M 0 1851 0 D 2017-03-10 Common Stock, $0.10 par value 1851.0 1851 D Market Share Units 2016-03-10 4 M 0 1127 0 D 2018-03-10 Common Stock, $0.10 par value 1127.0 2253 D Market Share Units 2016-03-10 4 M 0 1170 0 D 2019-03-10 Common Stock, $0.10 par value 1170.0 3512 D Market Share Units 2016-03-10 4 A 0 4421 0 A 2020-03-10 Common Stock, $0.10 par value 4421.0 4421 D Performance Shares 2016-03-10 4 A 0 6632 0 A 2019-03-10 Common Stock, $0.10 par value 6632.0 6632 D Performance Shares 2016-03-10 4 A 0 6200.85 0 A 2016-03-31 Common Stock, $0.10 par value 6200.85 15937.808 D Performance Shares 2016-03-10 4 J 0 373.962 0 A 2016-03-31 Common Stock, $0.10 par value 373.962 16311.77 D Performance Shares 2016-03-10 4 M 0 16311.77 0 D 2016-03-31 Common Stock, $0.10 par value 16311.77 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. 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%. 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 Joseph C. Caldarella 2016-03-14