SEC Form 4/A · accession 0000014272-16-000501
BRISTOL MYERS SQUIBB CO · BMY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Charles A Bancroft
Officer — EVP & Chief Financial Officer
Period of report
Dec 2, 2016
Accepted (ET)
Dec 6, 2016 · 5:21 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 | Dec 2, 2016 | M | 6,403 | $0.00 | A | 192,801 | D | |
| Common Stock, $0.10 par valueF1 | Dec 2, 2016 | F | 2,883 | $55.96 | D | 189,918 | 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 UnitsF4,F2,F3 | — | Dec 2, 2016 | M | 6,403 | D | — | Dec 2, 2018 | Common Stock, $0.10 par value | 6,403 | 12,802 | D |
Explanation of responses
- F1Shares withheld for payment of taxes upon vesting of awards.
- F2Each restricted stock unit converts into one share of common stock upon vesting.
- F3The restricted stock units vest in three equal annual installments beginning on December 2, 2016.
- F4Due to a software error, this Form 4 is being amended to report in Column 8 the correct number for price of derivative security.