0000014272-17-000088.txt : 20170314
0000014272-17-000088.hdr.sgml : 20170314
20170314203218
ACCESSION NUMBER: 0000014272-17-000088
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170310
FILED AS OF DATE: 20170314
DATE AS OF CHANGE: 20170314
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: 17689561
MAIL ADDRESS:
STREET 1: BRISTOL-MYERS SQUIBB COMPANY
STREET 2: ROUTE 206 & PROVINCELINE ROAD
CITY: LAWRENCEVILLE
STATE: NJ
ZIP: 08543
4
1
wf-form4_148953792078470.xml
FORM 4
X0306
4
2017-03-10
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
2017-03-10
4
M
0
4879
0
A
135580.333
D
Common Stock, $0.10 par value
2017-03-10
4
J
0
2392
0
A
137972.333
D
Common Stock, $0.10 par value
2017-03-10
4
F
0
3765
58.32
D
134207.333
D
Common Stock, $0.10 par value
2017-03-10
4
M
0
5702
0
A
139909.333
D
Common Stock, $0.10 par value
2017-03-10
4
J
0
44
0
A
139953.333
D
Common Stock, $0.10 par value
2017-03-10
4
F
0
2975
58.32
D
136978.333
D
Common Stock, $0.10 par value
2017-03-10
4
M
0
7051
0
A
144029.333
D
Common Stock, $0.10 par value
2017-03-10
4
J
0
924
0
D
143105.333
D
Common Stock, $0.10 par value
2017-03-10
4
F
0
3172
58.32
D
139933.333
D
Common Stock, $0.10 par value
2017-03-10
4
M
0
18183
0
A
158116.333
D
Common Stock, $0.10 par value
2017-03-10
4
J
0
2617
0
D
155499.333
D
Common Stock, $0.10 par value
2017-03-10
4
F
0
8059
58.32
D
147440.333
D
Common Stock, $0.10 par value
2017-03-10
4
M
0
51789
0
A
199229.333
D
Common Stock, $0.10 par value
2017-03-10
4
F
0
26811
58.32
D
172418.333
D
Market Share Units
2017-03-10
4
M
0
4879
0
D
2017-03-10
Common Stock, $0.10 par value
4879.0
0
D
Market Share Units
2017-03-10
4
M
0
5702
0
D
2018-03-10
Common Stock, $0.10 par value
5702.0
5702
D
Market Share Units
2017-03-10
4
M
0
7051
0
D
2019-03-10
Common Stock, $0.10 par value
7051.0
14103
D
Market Share Units
2017-03-10
4
M
0
18183
0
D
2020-03-10
Common Stock, $0.10 par value
18183.0
54550
D
Market Share Units
2017-03-10
4
A
0
85769
0
A
2021-03-10
Common Stock, $0.10 par value
85769.0
85769
D
Performance Shares
2017-03-10
4
M
0
51789
0
D
2017-03-10
Common Stock, $0.10 par value
51789.0
0
D
Performance Shares
2017-03-10
4
A
0
128654
0
A
2020-03-10
Common Stock, $0.10 par value
128654.0
128654
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 vesting of one-quarter of market share units granted on March 10, 2016.
Amount represents distribution of performance shares earned under the 2014-2016 Long-Term Performance Award based on the performance factor applied in accordance with the terms of the Award and certification of performance results by the Board.
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 2017, subject to a Total Shareholder Return modifier.
Each performance share converts into one share of common stock upon distribution in the first quarter of 2020.
/s/ Katherine Kelly, attorney-in-fact for Giovanni Caforio
2017-03-13