SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
SIGAL ELLIOT

(Last) (First) (Middle)
BRISTOL-MYERS SQUIBB COMPANY
345 PARK AVENUE

(Street)
NEW YORK NY 10154

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
BRISTOL MYERS SQUIBB CO [ BMY ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
EVP, CSO & President R&D
3. Date of Earliest Transaction (Month/Day/Year)
04/29/2013
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, $0.10 par value 04/29/2013 M 36,503 A $24.74 221,524 D
Common Stock, $0.10 par value 04/29/2013 M 25,795 A $22.73 247,319 D
Common Stock, $0.10 par value 04/29/2013 M 11,092 A $24.74 258,411 D
Common Stock, $0.10 par value 04/29/2013 S 9,600(1) D $40 248,811 D
Common Stock, $0.10 par value 04/29/2013 S 21,856(1) D $39.9 226,955 D
Common Stock, $0.10 par value 04/29/2013 S 31,594(1) D $39.9 195,361 D
Common Stock, $0.10 par value 04/29/2013 S 41,868 D $39.92(2) 153,493 D
Common Stock, $0.10 par value 04/30/2013 M 202,405 A $24.74 355,898 D
Common Stock, $0.10 par value 04/30/2013 M 103,500 A $25.45 459,398 D
Common Stock, $0.10 par value 04/30/2013 S 88,132 D $39.63(3) 371,266 D
Common Stock, $0.10 par value 04/30/2013 S 90,234(1) D $39.61(4) 281,032 D
Common Stock, $0.10 par value 04/30/2013 S 175,143(1) D $39.61(4) 105,889 D
Common Stock, $0.10 par value 04/29/2013 S 18,313 D $39.97(5) 19,099(6) I By C. Elliott Sigal 2012 Irrevocable Trust
Common Stock, $0.10 par value 04/30/2013 S 919 D $39.65 18,180(6) I By C. Elliott Sigal 2012 Irrevocable Trust
Common Stock, $0.10 par value 04/29/2013 S 18,313 D $39.97(5) 19,099(6) I By Ruth L. Sigal Irrevocable Trust
Common Stock, $0.10 par value 04/30/2013 S 919 D $39.65 18,180(6) I By Ruth L. Sigal Irrevocable Trust
Common Stock, $0.10 par value 04/29/2013 S 9,157 D $39.97(5) 9,550 I By Sigal Family Investments, LLC
Common Stock, $0.10 par value 04/30/2013 S 459 D $39.65 9,091 I By Sigal Family Investments, LLC
Common Stock, $0.10 par value 1,628.06(7) I By BMY Savings & Investment Program
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Executive Option (right to buy) $22.73 04/29/2013 M 25,795 (8) 03/06/2016(8) Common Stock, $0.10 par value 25,795 $0.0000 0.0000 D
Executive Option (right to buy) $24.74 04/29/2013 M 11,092 (9) 11/30/2016(9) Common Stock, $0.10 par value 11,092 $0.0000 288,908 D
Executive Option (right to buy) $24.74 04/29/2013 M 36,503 (9) 11/30/2016(9) Common Stock, $0.10 par value 36,503 $0.0000 252,405 D
Executive Option (right to buy) $25.45 04/30/2013 M 103,500 (10) 02/28/2015(10) Common Stock, $0.10 par value 103,500 $0.0000 0.0000 D
Executive Option (right to buy) $24.74 04/30/2013 M 202,405 (9) 11/30/2016(9) Common Stock, $0.10 par value 202,405 $0.0000 50,000 D
Explanation of Responses:
1. Includes shares sold to cover exercise price and taxes in accordance with broker's procedures for sell-to-cover transactions.
2. The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $39.90 to $40.00, 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.
3. The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $39.62 to $39.65, 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.
4. The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $39.60 to $39.67, 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.
5. The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $39.90 to $40.00, 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.
6. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purpose.
7. Based on a plan statement as of the end of the most recent fiscal quarter.
8. Twenty-five percent of the stock option award vested on each of the first, second, third and fourth anniversaries of the grant date, which was March 7, 2006.
9. One-third of the stock option award vested on each of the third, fourth and fifth anniversaries of the grant date, which was December 1, 2006.
10. Twenty-five percent of the stock option award vested on each of the first, second, third and fourth anniversaries of the grant date, which was March 1, 2005.
/s/ Robert J. Wollin, attorney-in-fact for Elliott Sigal, M.D., Ph.D 05/01/2013
** 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 4 (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.