FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
BRISTOL MYERS SQUIBB CO [ BMY ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 03/02/2010 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock, $0.10 par value | 03/02/2010 | M | 10,774(1) | A | $0 | 45,578 | D | |||
Common Stock, $0.10 par value | 03/02/2010 | F | 3,919(2) | D | $0 | 41,659 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Market Share Units | $0(3) | 03/02/2010 | A | 15,250 | (4) | (4) | Common Stock, $0.10 par value | 15,250 | $0 | 15,250 | D | ||||
Performance Shares | $0(5) | 03/02/2010 | A | 11,113(6) | (5) | (5) | Common Stock, $0.10 par value | 11,113 | $0 | 30,421 | D | ||||
Performance Shares | $0(7) | 03/02/2010 | A | 9,518(8) | (7) | (7) | Common Stock, $0.10 par value | 9,518 | $0 | 39,939 | D | ||||
Performance Shares | $0(9) | 03/02/2010 | A | 3,293(10) | (9) | (9) | Common Stock, $0.10 par value | 3,293 | $0 | 43,232 | D | ||||
Performance Shares | $0(9) | 03/02/2010 | M | 10,774 | (9) | (9) | Common Stock, $0.10 par value | 10,774 | $0 | 32,458 | D |
Explanation of Responses: |
1. Consists of shares earned as long-term performance awards under the 2002 Stock Incentive Plan. |
2. Withheld for the payment of taxes upon payout of shares under a Long-Term Performance Award. |
3. Each market share unit converts into the number of shares of common stock based on the average of the closing share price of the company?s common stock on the vesting date and the nine trading days immediately preceding the vesting date. |
4. 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 and will be converted into shares of common stock based on a conversion factor. |
5. Each performance share converts into one share of common stock upon distribution in the first quarter of 2011. |
6. Consists of performance shares earned under the 2008-2010 Regular Long-Term Performance Award and the 2008-2010 Special Long-Term Performance Award. |
7. Each performance share converts into one share of common stock upon distribution in the first quarter of 2012. |
8. Consists of performance shares earned under the 2009-2011 Long-Term Performance Award. |
9. Each performance share converts into one share of common stock upon distribution in the first quarter of 2010. |
10. Consists of performance shares earned under the 2007-2009 Long-Term Performance Award. |
Remarks: |
/s/ Sonia Vora, Attorney-in-Fact | 03/04/2010 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |