SEC Form 4 · accession 0000014272-16-000313
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 3, 2016
Accepted (ET)
Mar 7, 2016 · 5:41 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 4, 2016 | S | 12,962 | $64.644 | D | 46,322 | D | |
| Common Stock, $0.10 par valueF2 | holding | — | — | — | 1,707 | 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 SharesF4,F3 | — | Mar 3, 2016 | A | 11,764 | A | — | Mar 10, 2018 | Common Stock, $0.10 par value | 11,764 | 11,764 | D |
Explanation of responses
- F1The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $64.64 to $64.68, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.
- F2Based on a plan statement as of the end of the most recent fiscal quarter.
- F3Each performance share converts into one share of common stock upon distribution in the first quarter of 2018, subject to a Total Shareholder Return modifier.
- F4Represents performance shares earned under the 2015-2017 Long-Term Performance Award.