0001225208-13-007233.txt : 20130311 0001225208-13-007233.hdr.sgml : 20130311 20130311164400 ACCESSION NUMBER: 0001225208-13-007233 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130307 FILED AS OF DATE: 20130311 DATE AS OF CHANGE: 20130311 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LEUNG SANDRA CENTRAL INDEX KEY: 0001199294 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-01136 FILM NUMBER: 13681310 MAIL ADDRESS: STREET 1: C/O BRISTOL MYERS SQUIBB CO STREET 2: 345 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10164 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 X0306 4 2013-03-07 0000014272 BRISTOL MYERS SQUIBB CO BMY 0001199294 LEUNG SANDRA BRISTOL-MYERS SQUIBB COMPANY 345 PARK AVENUE NEW YORK NY 10154 1 General Counsel & Secretary Common Stock, $0.10 par value 2013-03-07 4 M 0 60857.0000 0.0000 A 207839.0000 D Common Stock, $0.10 par value 2013-03-07 4 M 0 7418.0000 0.0000 A 215257.0000 D Common Stock, $0.10 par value 2013-03-07 4 M 0 7355.0000 0.0000 A 222612.0000 D Common Stock, $0.10 par value 2013-03-07 4 M 0 5573.0000 0.0000 A 228185.0000 D Common Stock, $0.10 par value 2013-03-07 4 J 0 3633.0000 0.0000 A 231818.0000 D Common Stock, $0.10 par value 2013-03-07 4 J 0 3265.0000 0.0000 A 235083.0000 D Common Stock, $0.10 par value 2013-03-07 4 J 0 770.0000 0.0000 A 235853.0000 D Common Stock, $0.10 par value 2013-03-07 4 F 0 3289.0000 37.5300 D 232564.0000 D Common Stock, $0.10 par value 2013-03-07 4 F 0 3980.0000 37.5300 D 228584.0000 D Common Stock, $0.10 par value 2013-03-07 4 F 0 5682.0000 37.5300 D 222902.0000 D Common Stock, $0.10 par value 2013-03-07 4 F 0 31557.0000 37.5300 D 191345.0000 D Common Stock, $0.10 par value 5283.3100 I By BMY Savings & Investment Program Market Share Units 2013-03-07 4 M 0 7355.0000 0.0000 D Common Stock, $0.10 par value 7355.0000 29609.0000 D Market Share Units 2013-03-07 4 M 0 7418.0000 0.0000 D Common Stock, $0.10 par value 7418.0000 22191.0000 D Market Share Units 2013-03-07 4 M 0 5573.0000 0.0000 D 2016-03-06 Common Stock, $0.10 par value 5573.0000 16720.0000 D Performance Shares 2013-03-07 4 A 0 17687.0000 0.0000 A Common Stock, $0.10 par value 17687.0000 58522.7636 D Performance Shares 2013-03-07 4 J 0 2334.2364 0.0000 A Common Stock, $0.10 par value 2334.2364 60857.0000 D Performance Shares 2013-03-07 4 M 0 60857.0000 0.0000 D Common Stock, $0.10 par value 60857.0000 0.0000 D Performance Shares 2013-03-07 4 A 0 17645.0000 0.0000 A 2014-03-31 Common Stock, $0.10 par value 17645.0000 39117.0000 D Performance Shares 2013-03-07 4 J 0 1561.3678 0.0000 A 2014-03-31 Common Stock, $0.10 par value 1561.3678 40678.3678 D Performance Shares 2013-03-07 4 A 0 13402.0000 0.0000 A 2015-03-31 Common Stock, $0.10 par value 13402.0000 13402.0000 D Performance Shares 2013-03-07 4 J 0 534.9454 0.0000 A 2015-03-31 Common Stock, $0.10 par value 534.9454 13936.9454 D Represents distribution of performance shares earned under the 2010-2012 Long-Term Performance Award. Represents vesting of one-quarter of market share units granted on March 1, 2011. 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 market share units granted on March 2, 2010. The balance of the award is scheduled to vest on the fourth anniversary of the grant date. Represents vesting of one-quarter of market share units granted on March 6, 2012. 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. Shares withheld for payment of taxes upon distribution of the 2010-2012 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 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%. Represents an aggregate of the derivative securities beneficially owned under the awards granted on March 2, 2010 and March 1, 2011. 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. 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. 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. Each performance share converts into one share of common stock upon distribution in the first quarter of 2015. Represents performance shares earned under the 2012-2014 Long-Term Performance Award. Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2015. Represents dividend equivalents earned under the 2012-2014 Long-Term Performance Award. /s/ Robert J. Wollin, attorney-in-fact for Sandra Leung 2013-03-11