SEC Form 3
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*
Elicker John E

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

(Street)
NEW YORK NY 10154

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/20/2012
3. Issuer Name and Ticker or Trading Symbol
BRISTOL MYERS SQUIBB CO [ BMY ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
SVP Pub Affairs & Inv Relation
5. 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 Beneficially Owned
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 24,675.5 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 4,080 (2) D
Market Share Units (3) 03/02/2014 Common Stock, $0.10 par value 2,753 (2) D
Market Share Units (4) 03/06/2016 Common Stock, $0.10 par value 4,172 (2) D
Option (right to buy) (5) 03/02/2019 Common Stock, $0.10 par value 19,723 $17.51 D
Option (right to buy) (6) 03/03/2018 Common Stock, $0.10 par value 7,377 $22.14 D
Option (right to buy) (6) 03/05/2017 Common Stock, $0.10 par value 6,615 $27.01 D
Option (right to buy) (6) 03/01/2014 Common Stock, $0.10 par value 16,875 $28.11 D
Performance Shares (7) 03/31/2013 Common Stock, $0.10 par value 7,720.77 (8) D
Performance Shares (9) 03/31/2014 Common Stock, $0.10 par value 3,976.93 (10) D
Restricted Stock Units (11) 01/03/2017 Common Stock, $0.10 par value 2,852 (12) D
Restricted Stock Units (13) 03/03/2013 Common Stock, $0.10 par value 1,851 (12) D
Restricted Stock Units (14) 05/03/2014 Common Stock, $0.10 par value 3,017 (12) D
Explanation of Responses:
1. 1,360 market share units will vest on each of March 1, 2013, March 1, 2014 and March 1, 2015.
2. Each 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 vesting 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%.
3. 1,376 market share units will vest on March 2, 2013 and 1,377 market share units will vest on March 2, 2014.
4. 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 6, 2013.
5. 9,882 shares are currently exercisable. The remaining 9,841 shares will become exercisable on March 3, 2013.
6. All of the shares are currently exercisable.
7. Consists of 7,145 performance shares and 575.77 performance shares representing dividend equivalents earned under the 2010-2012 Long Term Performance Award.
8. Each performance share converts into one share of common stock upon distribution in the first quarter of 2013.
9. Consists of 3,767 performance shares and 209.93 performance shares representing dividend equivalents earned under the 2011-2013 Long Term Performance Award.
10. Each performance share converts into one share of common stock upon distribution in the first quarter of 2014.
11. 952 restricted stock units will vest on January 3, 2015, and 950 restricted stock units will vest on each of January 3, 2016 and January 3, 2017.
12. Each restricted stock unit converts into one share of common stock upon vesting.
13. These restricted stock units will vest on March 3, 2013.
14. 1,508 restricted stock units will vest on May 3, 2013 and 1,509 restricted stock units will vest on May 3, 2014.
Remarks:
Exhibit 24 - Power of Attorney
/s/ John E. Elicker 07/26/2012
** 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.