0001225208-12-006725.txt : 20120305 0001225208-12-006725.hdr.sgml : 20120305 20120305194311 ACCESSION NUMBER: 0001225208-12-006725 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120301 FILED AS OF DATE: 20120305 DATE AS OF CHANGE: 20120305 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Caldarella Joseph C CENTRAL INDEX KEY: 0001341069 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-01136 FILM NUMBER: 12668406 MAIL ADDRESS: STREET 1: BRISTOL-MYERS SQUIBB COMPANY STREET 2: RT 206 & PROVINCELINE 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: 345 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10154 BUSINESS PHONE: 2125464000 MAIL ADDRESS: STREET 1: 345 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10154 FORMER COMPANY: FORMER CONFORMED NAME: BRISTOL MYERS CO DATE OF NAME CHANGE: 19891012 4 1 doc4.xml X0304 4 2012-03-01 0000014272 BRISTOL MYERS SQUIBB CO BMY 0001341069 Caldarella Joseph C BRISTOL-MYERS SQUIBB COMPANY 345 PARK AVENUE NEW YORK NY 10154 1 SVP & Controller Common Stock, $0.10 par value 2012-03-01 4 M 0 2474.0000 0.0000 A 49201.0000 D Common Stock, $0.10 par value 2012-03-01 4 J 0 670.0000 0.0000 A 49871.0000 D Common Stock, $0.10 par value 2012-03-01 4 F 0 1273.0000 32.6400 D 48598.0000 D Common Stock, $0.10 par value 2012-03-02 4 M 0 1769.0000 0.0000 A 50367.0000 D Common Stock, $0.10 par value 2012-03-02 4 J 0 567.0000 0.0000 A 50934.0000 D Common Stock, $0.10 par value 2012-03-02 4 F 0 946.0000 32.5900 D 49988.0000 D Common Stock, $0.10 par value 2012-03-03 4 M 0 2379.0000 0.0000 A 52367.0000 D Common Stock, $0.10 par value 2012-03-03 4 F 0 963.0000 32.5900 D 51404.0000 D Common Stock, $0.10 par value 2012-03-04 4 M 0 1967.0000 0.0000 A 53371.0000 D Common Stock, $0.10 par value 2012-03-04 4 F 0 797.0000 32.5900 D 52574.0000 D Common Stock, $0.10 par value 1520.8600 I By BMY Savings & Investment Program Market Share Units 2012-03-01 4 M 0 2474.0000 0.0000 D Common Stock, $0.10 par value 2474.0000 12731.0000 D Market Share Units 2012-03-02 4 M 0 1769.0000 0.0000 D Common Stock, $0.10 par value 1769.0000 10962.0000 D Restricted Stock Units 2012-03-03 4 M 0 2379.0000 0.0000 D Common Stock, $0.10 par value 2379.0000 2379.0000 D Restricted Stock Units 0.0000 2012-03-04 4 M 0 1967.0000 0.0000 D 2009-03-04 Common Stock, $0.10 par value 1967.0000 0.0000 D Represents vesting of one-quarter of market share units granted on March 1, 2011. The balance of the award is scheduled to vest in three equal installments on the second, third, and fourth anniversaries of the grant date. 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 market share units. Represents vesting of one-quarter of market share units granted on March 2, 2010. The balance of the award is scheduled to vest in two equal installments on the third and fourth anniversaries of the grant date. Represents vesting of one-quarter of restricted stock units granted on March 3, 2009. The balance of the award is scheduled to vest on the fourth anniversary of the grant date. Shares withheld for payment of taxes upon vesting of restricted stock units. Represents vesting of one-quarter of restricted stock units granted on March 4, 2008. The award has fully vested. 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 vesting 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%. Represents an aggregate of the derivative securities beneficially owned under the awards granted on March 2, 2010 and March 1, 2011. Each restricted stock unit converts into one share of common stock upon vesting. /s/ Robert J. Wollin, attorney-in-fact for Joseph C. Caldarella 2012-03-05