SEC Form 4 · accession 0000014272-17-000065
BRISTOL MYERS SQUIBB CO · BMY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sandra Leung
Officer — EVP, General Counsel
Period of report
Mar 3, 2017
Accepted (ET)
Mar 7, 2017 · 4:39 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 | Mar 3, 2017 | M | 116,100 | $27.01 | A | 488,063 | D | |
| Common Stock, $0.10 par valueF1 | Mar 6, 2017 | S | 92,405 | $57.016 | D | 395,658 | D | |
| Common Stock, $0.10 par valueF2 | holding | — | — | — | 5,847 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (right to buy)F3 | $27.01 | Mar 3, 2017 | M | 116,100 | D | — | Mar 5, 2017 | Common Stock, $0.10 par value | 116,100 | 0 | D |
Explanation of responses
- F1A portion of the proceeds from the sale of these shares were used to cover the exercise price and taxes of the Option exercised on March 3, 2017. The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $56.64 to $57.22, 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.
- F3All of the shares are currently exercisable.