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