SEC Form 4 · accession 0000014272-15-000094
BRISTOL MYERS SQUIBB CO · BMY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph C Caldarella
Officer — SVP & Controller
Period of report
Mar 2, 2015
Accepted (ET)
Mar 4, 2015 · 9:36 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 valueF1 | Mar 2, 2015 | M | 15,271 | $0.00 | A | 79,730 | D | |
| Common Stock, $0.10 par valueF2 | Mar 2, 2015 | F | 6,993 | $62.30 | D | 72,737 | D | |
| Common Stock, $0.10 par valueF3 | holding | — | — | — | 1,672 | I | By BMY Savings and Investment Program |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance SharesF5,F4 | — | Mar 2, 2015 | A | 5,846 | A | — | Mar 31, 2015 | Common Stock, $0.10 par value | 5,846 | 14,867 | D |
| Performance SharesF7,F6 | — | Mar 2, 2015 | J | 404 | A | — | Mar 31, 2015 | Common Stock, $0.10 par value | 404 | 15,271 | D |
| Performance SharesF1,F4 | — | Mar 2, 2015 | M | 15,271 | D | — | Mar 31, 2015 | Common Stock, $0.10 par value | 15,271 | 0 | D |
| Performance SharesF9,F8 | — | Mar 2, 2015 | A | 5,604 | A | — | Mar 31, 2016 | Common Stock, $0.10 par value | 5,604 | 9,479 | D |
| Performance SharesF11,F10 | — | Mar 2, 2015 | J | 257 | A | — | Mar 31, 2016 | Common Stock, $0.10 par value | 257 | 9,737 | D |
| Performance SharesF13,F12 | — | Mar 2, 2015 | A | 10,232 | A | — | Mar 10, 2017 | Common Stock, $0.10 par value | 10,232 | 10,232 | D |
Explanation of responses
- F1Represents distribution of performance shares earned under the 2012-2014 Long-Term Performance Award.
- F10Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2016.
- F11Represents dividend equivalents earned under the 2013-2015 Long-Term Performance Award.
- F12Each performance share converts into one share of common stock upon distribution in the first quarter of 2017, subject to a Total Shareholder Return modifier.
- F13Represents performance shares earned under the 2014-2016 Long-Term Performance Award.
- F2Shares withheld for payment of taxes upon vesting of awards.
- F3Based on a plan statement as of the end of the most recent fiscal quarter
- F4Each performance share converts into one share of common stock upon distribution in the first quarter of 2015.
- F5Represents performance shares earned under the 2012-2014 Long-Term Performance Award.
- F6Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2015.
- F7Represents dividend equivalents earned under the 2012-2014 Long-Term Performance Award.
- F8Each performance share converts into one share of common stock upon distribution in the first quarter of 2016.
- F9Represents performance shares earned under the 2013-2015 Long-Term Performance Award.