0000014272-19-000076.txt : 20190313 0000014272-19-000076.hdr.sgml : 20190313 20190313073841 ACCESSION NUMBER: 0000014272-19-000076 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190310 FILED AS OF DATE: 20190313 DATE AS OF CHANGE: 20190313 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: von Autenried Paul CENTRAL INDEX KEY: 0001524143 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-01136 FILM NUMBER: 19677091 MAIL ADDRESS: STREET 1: BRISTOL-MYERS SQUIBB COMPANY STREET 2: 100 NASSAU PARK BOULEVARD CITY: PRINCETON 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: 430 E. 29TH STREET STREET 2: 14 FLOOR CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 2125464000 MAIL ADDRESS: STREET 1: 430 E. 29TH STREET STREET 2: 14 FLOOR CITY: NEW YORK STATE: NY ZIP: 10016 FORMER COMPANY: FORMER CONFORMED NAME: BRISTOL MYERS CO DATE OF NAME CHANGE: 19891012 4 1 wf-form4_155247710667236.xml FORM 4 X0306 4 2019-03-10 0 0000014272 BRISTOL MYERS SQUIBB CO BMY 0001524143 von Autenried Paul BRISTOL-MYERS SQUIBB COMPANY 430 E. 29TH STREET, 14 FLOOR NEW YORK NY 10016 0 1 0 0 SVP, Enterp. Services & CIO Common Stock, $0.10 par value 2019-03-10 4 M 0 2053 0 A 127317.066 D Common Stock, $0.10 par value 2019-03-10 4 J 0 409 0 D 126908.066 D Common Stock, $0.10 par value 2019-03-10 4 F 0 657 51.39 D 126251.066 D Common Stock, $0.10 par value 2019-03-10 4 M 0 2003 0 A 128254.066 D Common Stock, $0.10 par value 2019-03-10 4 J 0 423 0 D 127831.066 D Common Stock, $0.10 par value 2019-03-10 4 F 0 632 51.39 D 127199.066 D Common Stock, $0.10 par value 2019-03-10 4 M 0 2053 0 A 129252.066 D Common Stock, $0.10 par value 2019-03-10 4 J 0 221 0 D 129031.066 D Common Stock, $0.10 par value 2019-03-10 4 F 0 732 51.39 D 128299.066 D Common Stock, $0.10 par value 2019-03-10 4 M 0 1917 0 A 130216.066 D Common Stock, $0.10 par value 2019-03-10 4 J 0 453 0 D 129763.066 D Common Stock, $0.10 par value 2019-03-10 4 F 0 585 51.39 D 129178.066 D Common Stock, $0.10 par value 2019-03-10 4 M 0 11899 0 A 141077.066 D Common Stock, $0.10 par value 2019-03-10 4 F 0 6350 51.39 D 134727.066 D Market Share Units 2019-03-10 4 M 0 2053 0 D 2019-03-10 Common Stock, $0.10 par value 2053.0 0 D Market Share Units 2019-03-10 4 M 0 2003 0 D 2020-03-10 Common Stock, $0.10 par value 2003.0 2003 D Market Share Units 2019-03-10 4 M 0 2053 0 D 2021-03-10 Common Stock, $0.10 par value 2053.0 4108 D Market Share Units 2019-03-10 4 M 0 1917 0 D 2022-03-10 Common Stock, $0.10 par value 1917.0 5751 D Market Share Units 2019-03-10 4 A 0 10050 0 A 2023-03-10 Common Stock, $0.10 par value 10050.0 10050 D Performance Shares 2019-03-10 4 M 0 11899 0 D 2019-03-10 Common Stock, $0.10 par value 11899.0 0 D Performance Shares 2019-03-10 4 A 0 15075 0 A 2022-03-10 Common Stock, $0.10 par value 15075.0 15075 D 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. Shares withheld for payment of taxes upon vesting of awards. 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. Represents vesting of one-quarter of market share units granted on March 10, 2018. Amount represents distribution of performance shares earned under the 2016-2018 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 these market share units 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, subject to a Total Shareholder Return modifier. Each performance share converts into one share of common stock upon distribution in the first quarter of 2022. /s/ Lisa A. Atkins, attorney-in-fact for Paul von Autenried 2019-03-13