0000014272-19-000079.txt : 20190313
0000014272-19-000079.hdr.sgml : 20190313
20190313074035
ACCESSION NUMBER: 0000014272-19-000079
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: Caforio Giovanni
CENTRAL INDEX KEY: 0001533201
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-01136
FILM NUMBER: 19677095
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: 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_155247721586814.xml
FORM 4
X0306
4
2019-03-10
0
0000014272
BRISTOL MYERS SQUIBB CO
BMY
0001533201
Caforio Giovanni
BRISTOL-MYERS SQUIBB COMPANY
430 E. 29TH STREET, 14 FLOOR
NEW YORK
NY
10016
1
1
0
0
Chairman and CEO
Common Stock, $0.10 par value
2019-03-10
4
M
0
7052
0
A
296728.333
D
Common Stock, $0.10 par value
2019-03-10
4
J
0
1405
0
D
295323.333
D
Common Stock, $0.10 par value
2019-03-10
4
F
0
3006
51.39
D
292317.333
D
Common Stock, $0.10 par value
2019-03-10
4
M
0
18183
0
A
310500.333
D
Common Stock, $0.10 par value
2019-03-10
4
J
0
3840
0
D
306660.333
D
Common Stock, $0.10 par value
2019-03-10
4
F
0
7633
51.39
D
299027.333
D
Common Stock, $0.10 par value
2019-03-10
4
M
0
21442
0
A
320469.333
D
Common Stock, $0.10 par value
2019-03-10
4
J
0
2311
0
D
318158.333
D
Common Stock, $0.10 par value
2019-03-10
4
F
0
10181
51.39
D
307977.333
D
Common Stock, $0.10 par value
2019-03-10
4
M
0
18723
0
A
326700.333
D
Common Stock, $0.10 par value
2019-03-10
4
J
0
4428
0
D
322272.333
D
Common Stock, $0.10 par value
2019-03-10
4
F
0
7608
51.39
D
314664.333
D
Common Stock, $0.10 par value
2019-03-10
4
M
0
108019
0
A
422683.333
D
Common Stock, $0.10 par value
2019-03-10
4
F
0
57484
51.39
D
365199.333
D
Market Share Units
2019-03-10
4
M
0
7052
0
D
2019-03-10
Common Stock, $0.10 par value
7052.0
0
D
Market Share Units
2019-03-10
4
M
0
18183
0
D
2020-03-10
Common Stock, $0.10 par value
18183.0
18184
D
Market Share Units
2019-03-10
4
M
0
21442
0
D
2021-03-10
Common Stock, $0.10 par value
21442.0
42885
D
Market Share Units
2019-03-10
4
M
0
18723
0
D
2022-03-10
Common Stock, $0.10 par value
18723.0
56172
D
Market Share Units
2019-03-10
4
A
0
99172
0
A
2023-03-10
Common Stock, $0.10 par value
99172.0
99172
D
Performance Shares
2019-03-10
4
M
0
108019
0
D
2019-03-10
Common Stock, $0.10 par value
108019.0
0
D
Performance Shares
2019-03-10
4
A
0
148758
0
A
2022-03-10
Common Stock, $0.10 par value
148758.0
148758
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 Giovanni Caforio
2019-03-13