SEC Form 4 · accession 0000014272-17-000171
BRISTOL MYERS SQUIBB CO · BMY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anne Nielsen
Officer — Chief Compliance & Ethics Off
Period of report
Sep 3, 2017
Accepted (ET)
Sep 6, 2017 · 4:46 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 valueF1 | Sep 3, 2017 | M | 1,594 | $0.00 | A | 38,811 | D | |
| Common Stock, $0.10 par valueF2 | Sep 3, 2017 | F | 837 | $59.81 | D | 37,974 | 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 UnitsF1,F3 | — | Sep 3, 2017 | M | 1,594 | D | — | Sep 3, 2018 | Common Stock, $0.10 par value | 1,594 | 1,594 | D |
Explanation of responses
- F1Represents vesting of one-third of restricted stock units granted on September 3, 2013. The balance of the award is scheduled to vest on the fifth anniversaries of the grant date.
- F2Shares withheld for payment of taxes upon vesting of restricted stock units.
- F3Each restricted stock unit converts into one share of common stock upon vesting.