0000014272-23-000058.txt : 20230314 0000014272-23-000058.hdr.sgml : 20230314 20230314201345 ACCESSION NUMBER: 0000014272-23-000058 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230310 FILED AS OF DATE: 20230314 DATE AS OF CHANGE: 20230314 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BOERNER CHRISTOPHER S. CENTRAL INDEX KEY: 0001543747 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-01136 FILM NUMBER: 23732932 MAIL ADDRESS: STREET 1: 21823 30TH DRIVE S CITY: BOTHELL STATE: WA ZIP: 98021 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_167883921412861.xml FORM 4 X0306 4 2023-03-10 0 0000014272 BRISTOL MYERS SQUIBB CO BMY 0001543747 BOERNER CHRISTOPHER S. BRISTOL-MYERS SQUIBB COMPANY 430 E. 29TH STREET, 14 FLOOR NEW YORK NY 10016 0 1 0 0 EVP, Chief Commercial Officer Common Stock, $0.10 par value 2023-03-10 4 M 0 5319 0 A 48573 D Common Stock, $0.10 par value 2023-03-10 4 J 0 1940 0 A 50513 D Common Stock, $0.10 par value 2023-03-10 4 F 0 3713 65.71 D 46800 D Common Stock, $0.10 par value 2023-03-10 4 M 0 5741 0 A 52541 D Common Stock, $0.10 par value 2023-03-10 4 J 0 1062 0 A 53603 D Common Stock, $0.10 par value 2023-03-10 4 F 0 3480 65.71 D 50123 D Common Stock, $0.10 par value 2023-03-10 4 M 0 6985 0 A 57108 D Common Stock, $0.10 par value 2023-03-10 4 J 0 1146 0 A 58254 D Common Stock, $0.10 par value 2023-03-10 4 F 0 4160 65.71 D 54094 D Common Stock, $0.10 par value 2023-03-10 4 M 0 6616 0 A 60710 D Common Stock, $0.10 par value 2023-03-10 4 J 0 214 0 A 60924 D Common Stock, $0.10 par value 2023-03-10 4 F 0 3494 65.71 D 57430 D Common Stock, $0.10 par value 2023-03-10 4 M 0 34450 0 A 91880 D Common Stock, $0.10 par value 2023-03-10 4 J 0 4206 0 A 96086 D Common Stock, $0.10 par value 2023-03-10 4 F 0 19773 65.71 D 76313 D Market Share Units 2023-03-10 4 M 0 5319 0 D 2023-03-10 Common Stock, $0.10 par value 5319.0 0 D Market Share Units 2023-03-10 4 M 0 5741 0 D 2024-03-10 Common Stock, $0.10 par value 5741.0 5743 D Market Share Units 2023-03-10 4 M 0 6985 0 D 2025-03-10 Common Stock, $0.10 par value 6985.0 13970 D Market Share Units 2023-03-10 4 M 0 6616 0 D 2026-03-10 Common Stock, $0.10 par value 6616.0 19850 D Market Share Units 2023-03-10 4 A 0 26932 0 A 2027-03-10 Common Stock, $0.10 par value 26932.0 26932 D Performance Shares 2023-03-10 4 M 0 34450 0 D 2023-03-10 Common Stock, $0.10 par value 34450.0 0 D Performance Shares 2023-03-10 4 A 0 40398 0 A 2026-03-10 Common Stock, $0.10 par value 40398.0 40398 D Represents vesting of one-quarter of market share units granted on March 10, 2019. 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, 2020. Represents vesting of one-quarter of market share units granted on March 10, 2021. Represents vesting of one-quarter of market share units granted on March 10, 2022. Amount represents distribution of performance shares earned under the 2020-2022 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. 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%. 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 80% and the maximum payout factor is 225%. 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 2023, subject to a Total Shareholder Return. Each performance share converts into one share of common stock upon distribution in the first quarter of 2026. /s/Lisa A. Atkins, attorney-in-fact for Christopher Boerner 2023-03-14