SEC Form 4/A · accession 0000014272-19-000020
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, 2018
Accepted (ET)
Jan 31, 2019 · 4:42 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 valueF1 | Dec 2, 2018 | M | 6,401 | $0.00 | A | 342,522 | D | |
| Common Stock, $0.10 par valueF2,F1 | Dec 2, 2018 | F | 2,716 | $53.46 | D | 339,806 | 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 UnitsF3,F4 | — | Dec 2, 2018 | M | 6,401 | D | — | Dec 2, 2018 | Common Stock, $0.10 par value | 6,401 | 0 | D |
Explanation of responses
- F1Due to a software error, this Form 4 is being amended to report in Column 5 the correct number of securities beneficially owned following the reported transaction.
- F2Shares withheld for payment of taxes upon vesting of awards.
- F3Each restricted stock unit converts into one share of common stock upon vesting.
- F4Represents final vesting of restricted stock units granted on December 2, 2013.