SEC Form 4 · accession 0000014272-16-000406
BRISTOL MYERS SQUIBB CO · BMY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul von Autenried
Officer — SVP, Enterp. Services & CIO
Period of report
May 2, 2016
Accepted (ET)
May 4, 2016 · 5:29 pm EDT
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 | May 2, 2016 | M | 51,504 | $17.51 | A | 128,463 | D | |
| Common Stock, $0.10 par valueF1 | May 2, 2016 | S | 37,258 | $71.926 | D | 91,205 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (right to buy)F2 | $17.51 | May 2, 2016 | M | 51,504 | D | — | Mar 2, 2019 | Common Stock, $0.10 par value | 51,504 | 0 | D |
Explanation of responses
- F1A portion of these shares were sold to cover exercise price and taxes in accordance with broker's procedure for sell-to-cover transactions. The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $71.91 to $71.99, 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.
- F2Twenty-five percent of the stock option award vested on each of the first, second, third, and fourth anniversaries of the grant date, which was March 3, 2009.