SEC Form 4 · accession 0000014272-15-000013
BRISTOL MYERS SQUIBB CO · BMY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Giovanni Caforio
Officer — Chief Operating Officer · Director
Period of report
Jan 3, 2015
Accepted (ET)
Jan 6, 2015 · 6:56 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000014272
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.10 par value | Jan 3, 2015 | M | 7,500 | $0.00 | A | 48,254 | D | |
| Common Stock, $0.10 par valueF1 | Jan 3, 2015 | F | 2,855 | $59.51 | D | 45,399 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Jan 3, 2015 | M | 7,500 | D | — | Jan 3, 2015 | Common Stock, $0.10 par value | 7,500 | 0 | D |
Explanation of responses
- F1Shares withheld for payment of taxes upon vesting of restricted stock units.
- F2Each restricted stock unit converts into one share of common stock upon vesting.
- F3Represents vesting of one-quarter of restricted stock units granted on January 3, 2011.