0001225208-12-007112.txt : 20120308 0001225208-12-007112.hdr.sgml : 20120308 20120308212738 ACCESSION NUMBER: 0001225208-12-007112 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120306 FILED AS OF DATE: 20120308 DATE AS OF CHANGE: 20120308 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: 12678811 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 2012-03-06 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 2012-03-06 4 M 0 11325.0000 0.0000 A 63899.0000 D Common Stock, $0.10 par value 2012-03-06 4 F 0 4585.0000 32.3300 D 59314.0000 D Common Stock, $0.10 par value 1520.8600 I By BMY Savings & Investment Program Market Share Units 2012-03-06 4 A 0 7723.0000 0.0000 A 2016-03-06 Common Stock, $0.10 par value 7723.0000 7723.0000 D Performance Shares 2012-03-06 4 A 0 4953.0000 0.0000 A Common Stock, $0.10 par value 4953.0000 16683.0500 D Performance Shares 2012-03-06 4 A 0 4039.0000 0.0000 A Common Stock, $0.10 par value 4039.0000 20722.0500 D Performance Shares 2012-03-06 4 J 0 422.0364 0.0000 A Common Stock, $0.10 par value 422.0364 21144.0864 D Performance Shares 2012-03-06 4 M 0 11325.0000 0.0000 D Common Stock, $0.10 par value 11325.0000 9819.0864 D Performance Shares 2012-03-06 4 A 0 6855.0000 0.0000 A 2014-03-31 Common Stock, $0.10 par value 6855.0000 6855.0000 D Performance Shares 2012-03-06 4 J 0 308.0000 0.0000 A 2014-03-31 Common Stock, $0.10 par value 308.0000 7163.0000 D Represents distribution of performance shares earned under the 2009-2011 Long-Term Performance Award. Shares withheld for payment of taxes upon distribution of the 2009-2011 Long-Term Performance Award. 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%. 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 2013. Represents performance shares earned under the 2010-2012 Long-Term Performance Award. This amount represents an aggregate of the derivative securities beneficially owned under the 2009-2011 and 2010-2012 Long-Term Performance Awards. Each performance share converts into one share of common stock upon distribution in the first quarter of 2012. Represents performance shares earned under the 2009-2011 Long-Term Performance Award. Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2013. Represents dividend equivalents earned under the 2010-2012 Long Term Performance Award. This amount represents an aggregate of the derivative securities beneficially owned under the 2010-2012 Long-Term Performance Award only. Each performance share converts into one share of common stock upon distribution in the first quarter of 2014. Represents performance shares earned under the 2011-2013 Long-Term Performance Award. Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2014. Represents dividend equivalents earned under the 2011-2013 Long-Term Performance Award. /s/ Robert J. Wollin, attorney-in-fact for Joseph C. Caldarella 2012-03-08