0000014272-18-000083.txt : 20180313 0000014272-18-000083.hdr.sgml : 20180313 20180313165615 ACCESSION NUMBER: 0000014272-18-000083 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180310 FILED AS OF DATE: 20180313 DATE AS OF CHANGE: 20180313 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: 18687162 MAIL ADDRESS: STREET 1: BRISTOL-MYERS SQUIBB COMPANY STREET 2: ROUTE 206 & PROVINCELINE ROAD CITY: LAWRENCEVILLE STATE: NJ ZIP: 08543 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 4 1 wf-form4_152097454740989.xml FORM 4 X0306 4 2018-03-10 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 Chairman and CEO Common Stock, $0.10 par value 2018-03-10 4 M 0 5702 0 A 181330.333 D Common Stock, $0.10 par value 2018-03-10 4 J 0 1295 0 A 182625.333 D Common Stock, $0.10 par value 2018-03-10 4 F 0 3441 67.92 D 179184.333 D Common Stock, $0.10 par value 2018-03-10 4 M 0 7051 0 A 186235.333 D Common Stock, $0.10 par value 2018-03-10 4 J 0 411 0 A 186646.333 D Common Stock, $0.10 par value 2018-03-10 4 F 0 3669 67.92 D 182977.333 D Common Stock, $0.10 par value 2018-03-10 4 M 0 18183 0 A 201160.333 D Common Stock, $0.10 par value 2018-03-10 4 J 0 775 0 A 201935.333 D Common Stock, $0.10 par value 2018-03-10 4 F 0 9322 67.92 D 192613.333 D Common Stock, $0.10 par value 2018-03-10 4 M 0 21442 0 A 214055.333 D Common Stock, $0.10 par value 2018-03-10 4 J 0 3842 0 A 217897.333 D Common Stock, $0.10 par value 2018-03-10 4 F 0 12432 67.92 D 205465.333 D Common Stock, $0.10 par value 2018-03-10 4 M 0 77951 0 A 283416.333 D Common Stock, $0.10 par value 2018-03-10 4 F 0 38328 67.92 D 245088.333 D Common Stock, $0.10 par value 2018-03-10 4 M 0 88882 0 A 333970.333 D Common Stock, $0.10 par value 2018-03-10 4 F 0 43703 67.92 D 290267.333 D Market Share Units 2018-03-10 4 M 0 5702 0 D 2018-03-10 Common Stock, $0.10 par value 5702.0 0 D Market Share Units 2018-03-10 4 M 0 7051 0 D 2019-03-10 Common Stock, $0.10 par value 7051.0 7052 D Market Share Units 2018-03-10 4 M 0 18183 0 D 2020-03-10 Common Stock, $0.10 par value 18183.0 36367 D Market Share Units 2018-03-10 4 M 0 21442 0 D 2021-03-10 Common Stock, $0.10 par value 21442.0 64327 D Market Share Units 2018-03-10 4 A 0 74895 0 A 2022-03-10 Common Stock, $0.10 par value 74895.0 74895 D Performance Shares 2018-03-10 4 M 0 77951 0 D 2018-03-10 Common Stock, $0.10 par value 77951.0 0 D Performance Shares 2018-03-10 4 M 0 88882 0 D 2018-03-10 Common Stock, $0.10 par value 88882.0 0 D Performance Shares 2018-03-10 4 A 0 112343 0 A 2021-03-10 Common Stock, $0.10 par value 112343.0 112343 D Represents vesting of one-quarter of market share units granted on March 10, 2014. 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, 2015. Represents vesting of one-quarter of market share units granted on March 10, 2016. Represents vesting of one-quarter of market share units granted on March 10, 2017. Amount represents distribution of performance shares earned under the 2015-2017 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 2018, subject to a Total Shareholder Return modifier. Each performance share converts into one share of common stock upon distribution in the first quarter of 2021. EXHIBIT LIST: EX-24 Exhibit 24 - Giovanni Caforio Power of Attorney /s/ Lisa A. Atkins, attorney-in-fact for Giovanni Caforio 2018-03-13 EX-24 2 ex-24.htm EXHIBIT 24 - GIOVANNI CAFORIO POWER OF ATTORNEY

POWER OF ATTORNEY




    I, Giovanni Caforio, M.D., Chairman of the Board and Chief Executive Officer of Bristol-
Myers Squibb Company (the "Company"),  a corporation duly organized and existing under the
laws of the State of Delaware, in the United States of America, and having its principal place of
business at 345 Park Avenue, New York, New York, do hereby constitute and appoint each of
Sandra Leung, Katherine R. Kelly, Yun Jung Choi and Lisa A. Atkins, individually, as my lawful
attorney-in-fact and in my name, place and stead to execute and deliver any and all documents
relating to insider reporting requirements under Section 16 of the Securities Exchange Act of 1934
with respect to securities issued by the Company, including, without limitation, the execution and
filing of all Forms 3, 4 and 5, and to take such other action, as such attorney considers necessary
or appropriate, to effectuate such transactions.  This Power of Attorney shall remain in full force
and effect until I am no longer required to file Forms 3, 4, and 5 with respect to securities issued
by the Company, unless earlier revoked.

    IN WITNESS WHEREOF, I have executed this Power of Attorney on this 16th day of
January, 2018.



    /s/ Giovanni Caforio, M.D.
                              Giovanni Caforio, M.D.