0000014272-20-000116.txt : 20200312 0000014272-20-000116.hdr.sgml : 20200312 20200312181254 ACCESSION NUMBER: 0000014272-20-000116 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200310 FILED AS OF DATE: 20200312 DATE AS OF CHANGE: 20200312 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dubow Adam CENTRAL INDEX KEY: 0001744507 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-01136 FILM NUMBER: 20710118 MAIL ADDRESS: STREET 1: BRISTOL-MYERS SQUIBB COMPANY STREET 2: RT 206 & PROVINCE LINE ROAD CITY: PRINCETON STATE: NJ ZIP: 08540 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_158405115682878.xml FORM 4 X0306 4 2020-03-10 0 0000014272 BRISTOL MYERS SQUIBB CO BMY 0001744507 Dubow Adam BRISTOL-MYERS SQUIBB COMPANY 430 E. 29TH STREET, 14 FLOOR NEW YORK NY 10016 0 1 0 0 SVP,ChiefCompliance&EthicsOff. Common Stock, $0.10 par value 2020-03-10 4 M 0 372 0 A 16121.152 D Common Stock, $0.10 par value 2020-03-10 4 J 0 6 0 D 16115.152 D Common Stock, $0.10 par value 2020-03-10 4 F 0 133 57.93 D 15982.152 D Common Stock, $0.10 par value 2020-03-10 4 M 0 451 0 A 16433.152 D Common Stock, $0.10 par value 2020-03-10 4 J 0 51 0 A 16484.152 D Common Stock, $0.10 par value 2020-03-10 4 F 0 182 57.93 D 16302.152 D Common Stock, $0.10 par value 2020-03-10 4 M 0 415 0 A 16717.152 D Common Stock, $0.10 par value 2020-03-10 4 J 0 20 0 D 16697.152 D Common Stock, $0.10 par value 2020-03-10 4 F 0 143 57.93 D 16554.152 D Common Stock, $0.10 par value 2020-03-10 4 M 0 1062 0 A 17616.152 D Common Stock, $0.10 par value 2020-03-10 4 J 0 238 0 A 17854.152 D Common Stock, $0.10 par value 2020-03-10 4 F 0 470 57.93 D 17384.152 D Common Stock, $0.10 par value 2020-03-10 4 M 0 2707 0 A 20091.152 D Common Stock, $0.10 par value 2020-03-10 4 J 0 272 0 A 20363.152 D Common Stock, $0.10 par value 2020-03-10 4 F 0 1077 57.93 D 19286.152 D Common Stock, $0.10 par value 929.19 I By BMY Savings and Investment Program Market Share Units 2020-03-10 4 M 0 372 0 D 2020-03-10 Common Stock, $0.10 par value 372.0 0 D Market Share Units 2020-03-10 4 M 0 451 0 D 2021-03-10 Common Stock, $0.10 par value 451.0 452 D Market Share Units 2020-03-10 4 M 0 415 0 D 2022-03-10 Common Stock, $0.10 par value 415.0 833 D Market Share Units 2020-03-10 4 M 0 1062 0 D 2023-03-10 Common Stock, $0.10 par value 1062.0 3186 D Market Share Units 2020-03-10 4 A 0 3923 0 A 2024-03-10 Common Stock, $0.10 par value 3923.0 3923 D Performance Shares 2020-03-10 4 M 0 2707 0 D 2020-03-10 Common Stock, $0.10 par value 2707.0 0 D Performance Shares 2020-03-10 4 A 0 5885 0 A 2023-03-10 Common Stock, $0.10 par value 5885.0 5885 D Represents vesting of one-quarter of market share units granted on March 10, 2016. 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. Represents vesting of one-quarter of market share units granted on March 10, 2017. Adjustment reflects additional 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, 2018. Represents vesting of one-quarter of market share units granted on March 10, 2019. Amount represents distribution of performance shares earned under the 2017-2019 Long-Term Performance Award. Adjustment to Award based on the performance factor applied in accordance with the terms of the Award and certification of performance results by the Board. Based on a plan statement as of the end of the most recent fiscal quarter. 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 unit converts into one share of common stock upon distribution in the first quarter of 2020, subject to a Total Shareholder Return. Each performance share unit converts into one share of common stock upon distribution in the first quarter of 2023. /s/ Lisa A. Atkins, attorney-in-fact for Adam Dubow 2020-03-12