0000014272-18-000121.txt : 20180508 0000014272-18-000121.hdr.sgml : 20180508 20180508170538 ACCESSION NUMBER: 0000014272-18-000121 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180505 FILED AS OF DATE: 20180508 DATE AS OF CHANGE: 20180508 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: 18815655 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_152581348498419.xml FORM 4 X0306 4 2018-05-05 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 2018-05-05 4 M 0 8040 0 A 292822.333 D Common Stock, $0.10 par value 2018-05-05 4 J 0 1643 0 D 291179.333 D Common Stock, $0.10 par value 2018-05-05 4 F 0 3146 51.33 D 288033.333 D Market Share Units 2018-05-05 4 M 0 8040 0 D 2019-05-05 Common Stock, $0.10 par value 8040.0 8040 D Represents vesting of one-quarter of market share units granted on May 5, 2015. Represents a downward adjustment to the number of shares acquired upon the vesting of market share units due to the performance factor. Shares withheld for payment of taxes upon vesting of awards. 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%. /s/ Lisa A. Atkins, attorney-in-fact for Giovanni Caforio 2018-05-08