SEC Form 4 · accession 0000014272-15-000238
BRISTOL MYERS SQUIBB CO · BMY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles A Bancroft
Officer — EVP & Chief Financial Officer
Period of report
Nov 1, 2015
Accepted (ET)
Nov 3, 2015 · 3:45 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 | Nov 1, 2015 | M | 3,100 | $0.00 | A | 163,957 | D | |
| Common Stock, $0.10 par valueF1 | Nov 1, 2015 | F | 1,396 | $65.75 | D | 162,561 | 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 | — | Nov 1, 2015 | M | 3,100 | D | — | — | Common Stock, $0.10 par value | 3,100 | 3,100 | 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-third of restricted stock units granted on November 1, 2011. The balance of the award is scheduled to vest on the fifth anniversary of the grant date.