SEC Form 4 · accession 0000014272-15-000096
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
Mar 2, 2015
Accepted (ET)
Mar 4, 2015 · 9:37 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 | 22,851 | $0.00 | A | 70,125 | D | |
| Common Stock, $0.10 par valueF2 | Mar 2, 2015 | F | 11,028 | $62.30 | D | 59,097 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance SharesF4,F3 | — | Mar 2, 2015 | A | 8,747 | A | — | Mar 31, 2015 | Common Stock, $0.10 par value | 8,747 | 22,247 | D |
| Performance SharesF6,F5 | — | Mar 2, 2015 | J | 604 | A | — | Mar 31, 2015 | Common Stock, $0.10 par value | 604 | 22,851 | D |
| Performance SharesF1,F3 | — | Mar 2, 2015 | M | 22,851 | D | — | Mar 31, 2015 | Common Stock, $0.10 par value | 22,851 | 0 | D |
| Performance SharesF8,F7 | — | Mar 2, 2015 | A | 14,769 | A | — | Mar 31, 2016 | Common Stock, $0.10 par value | 14,769 | 24,985 | D |
| Performance SharesF10,F9 | — | Mar 2, 2015 | J | 678 | A | — | Mar 31, 2016 | Common Stock, $0.10 par value | 678 | 25,663 | D |
| Performance SharesF12,F11 | — | Mar 2, 2015 | A | 51,789 | A | — | Mar 10, 2017 | Common Stock, $0.10 par value | 51,789 | 51,789 | D |
Explanation of responses
- F1Represents distribution of performance shares earned under the 2012-2014 Long-Term Performance Award.
- F10Represents dividend equivalents earned under the 2013-2015 Long-Term Performance Award.
- F11Each performance share converts into one share of common stock upon distribution in the first quarter of 2017, subject to a Total Shareholder Return modifier.
- F12Represents performance shares earned under the 2014-2016 Long-Term Performance Award.
- F2Shares withheld for payment of taxes upon vesting of awards.
- F3Each performance share converts into one share of common stock upon distribution in the first quarter of 2015.
- F4Represents performance shares earned under the 2012-2014 Long-Term Performance Award.
- F5Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2015.
- F6Represents dividend equivalents earned under the 2012-2014 Long-Term Performance Award.
- F7Each performance share converts into one share of common stock upon distribution in the first quarter of 2016.
- F8Represents performance shares earned under the 2013-2015 Long-Term Performance Award.
- F9Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2016.