FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/22/2011 |
3. Issuer Name and Ticker or Trading Symbol
BRISTOL MYERS SQUIBB CO [ BMY ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, $0.10 par value | 20,671 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Market Share Units | (1) | 03/01/2015 | Common Stock, $0.10 par value | 12,726 | (2) | D | |
Market Share Units | (3) | 03/02/2014 | Common Stock, $0.10 par value | 5,307 | (2) | D | |
Option (right to buy) | (4) | 03/02/2019 | Common Stock, $0.10 par value | 51,504 | $17.51 | D | |
Option (right to buy) | (5) | 03/03/2018 | Common Stock, $0.10 par value | 21,049 | $22.14 | D | |
Option (right to buy) | (6) | 03/05/2017 | Common Stock, $0.10 par value | 15,663 | $27.01 | D | |
Option (right to buy) | (6) | 03/01/2014 | Common Stock, $0.10 par value | 19,500 | $28.11 | D | |
Option (right to buy) | (6) | 03/04/2012 | Common Stock, $0.10 par value | 13,000 | $48.075 | D | |
Performance Shares | (7) | 03/31/2012 | Common Stock, $0.10 par value | 7,286 | (8) | D | |
Performance Shares | (9) | 03/31/2013 | Common Stock, $0.10 par value | 4,496 | (8) | D | |
Restricted Stock Units | (10) | 03/03/2013 | Common Stock, $0.10 par value | 4,844 | (11) | D | |
Restricted Stock Units | (12) | 03/04/2012 | Common Stock, $0.10 par value | 1,155 | (11) | D |
Explanation of Responses: |
1. Twenty-five percent of the market share unit award will vest on each of the first, second, third and fourth anniversaries of the grant date, starting on March 1, 2012, and upon vesting will be converted into shares of common stock based on a conversion factor. |
2. Each market share unit converts into the number of shares of common stock based on the average of the closing share price of the company's common stock on the vesting date and the nine trading days immediately preceding the vesting date. |
3. 1,769 market share units will vest on each of March 2, 2012, March 2, 2013, and March 2, 2014 and upon vesting will be converted into shares of common stock based on a conversion factor. |
4. 25,752 shares are currently exerciseable. 12,876 shares will become exerciseable on each of March 3, 2012 and March 3, 2013. |
5. 15,786 are currently exerciseable. The remaining 5,263 shares will become exerciseable on March 4, 2012. |
6. Currently Exercisable. |
7. Consists of performance shares earned under the 2009-2011 Long Term Performance Award with a payout during the first quarter of 2012. |
8. Each performance share converts into one share of common stock upon payout. |
9. Consists of 4,228 performance shares and 268 performance shares representing dividend equivalents earned under the 2010-2012 Long Term Performance Award with a payout during the first quarter of 2013. |
10. 2,422 restricted stock units will vest on each of March 3, 2012 and March 3, 2013 and upon vesting will be converted to shares of common stock. |
11. Each restricted stock unit converts into one share of common stock upon vesting. |
12. These restricted stock units will vest on March 4, 2012 and upon vesting will be converted into shares of common stock. |
Remarks: |
vonautenriedpoa.txt |
/s/ Paul von Autenried | 06/30/2011 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |