SEC Form 4 · accession 0000014272-18-000078

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

Mar 10, 2018

Accepted (ET)

Mar 13, 2018 · 4:54 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
Common Stock, $0.10 par value^F1	Mar 10, 2018	M	2,472	$0.00	A	110,281	D
Common Stock, $0.10 par value^F2	Mar 10, 2018	J	561	$0.00	A	110,842	D
Common Stock, $0.10 par value^F3	Mar 10, 2018	F	1,039	$67.92	D	109,803	D
Common Stock, $0.10 par value^F4	Mar 10, 2018	M	2,053	$0.00	A	111,856	D
Common Stock, $0.10 par value^F2	Mar 10, 2018	J	120	$0.00	A	111,976	D
Common Stock, $0.10 par value^F3	Mar 10, 2018	F	745	$67.92	D	111,231	D
Common Stock, $0.10 par value^F5	Mar 10, 2018	M	2,003	$0.00	A	113,234	D
Common Stock, $0.10 par value^F2	Mar 10, 2018	J	85	$0.00	A	113,319	D
Common Stock, $0.10 par value^F3	Mar 10, 2018	F	800	$67.92	D	112,519	D
Common Stock, $0.10 par value^F6	Mar 10, 2018	M	2,053	$0.00	A	114,572	D
Common Stock, $0.10 par value^F2	Mar 10, 2018	J	368	$0.00	A	114,940	D
Common Stock, $0.10 par value^F3	Mar 10, 2018	F	1,193	$67.92	D	113,747	D
Common Stock, $0.10 par value^F7	Mar 10, 2018	M	22,694	$0.00	A	136,441	D
Common Stock, $0.10 par value^F3	Mar 10, 2018	F	11,177	$67.92	D	125,264	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Market Share Units^F8,F1	—	Mar 10, 2018	M	2,472	D	—	Mar 10, 2018	Common Stock, $0.10 par value	2,472	0	D
Market Share Units^F8,F4	—	Mar 10, 2018	M	2,053	D	—	Mar 10, 2019	Common Stock, $0.10 par value	2,053	2,053	D
Market Share Units^F8,F5	—	Mar 10, 2018	M	2,003	D	—	Mar 10, 2020	Common Stock, $0.10 par value	2,003	4,006	D
Market Share Units^F8,F6	—	Mar 10, 2018	M	2,053	D	—	Mar 10, 2021	Common Stock, $0.10 par value	2,053	6,161	D
Market Share Units^F8,F9	—	Mar 10, 2018	A	7,668	A	—	Mar 10, 2022	Common Stock, $0.10 par value	7,668	7,668	D
Performance Shares^F7,F10	—	Mar 10, 2018	M	22,694	D	—	Mar 10, 2018	Common Stock, $0.10 par value	22,694	0	D
Performance Shares^F11	—	Mar 10, 2018	A	11,502	A	—	Mar 10, 2021	Common Stock, $0.10 par value	11,502	11,502	D

Explanation of responses

F1Represents vesting of one-quarter of market share units granted on March 10, 2014.
F10Each performance share converts into one share of common stock upon distribution in the first quarter of 2018, subject to a Total Shareholder Return modifier.
F11Each performance share converts into one share of common stock upon distribution in the first quarter of 2021.
F2Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.
F3Shares withheld for payment of taxes upon vesting of awards.
F4Represents vesting of one-quarter of market share units granted on March 10, 2015.
F5Represents vesting of one-quarter of market share units granted on March 10, 2016.
F6Represents vesting of one-quarter of market share units granted on March 10, 2017.
F7Amount represents distribution of performance shares earned under the 2015-2017 Long-Term Performance Award based on the performance factor applied in accordance with the terms of the Award and certification of performance results by the Board.
F8Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.
F9Twenty-five percent of the market share unit award will vest on each of the first, second, third and fourth anniversaries of the grant date.