0000014272-20-000113.txt : 20200312 0000014272-20-000113.hdr.sgml : 20200312 20200312181114 ACCESSION NUMBER: 0000014272-20-000113 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200310 FILED AS OF DATE: 20200312 DATE AS OF CHANGE: 20200312 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bancroft Charles A CENTRAL INDEX KEY: 0001480250 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-01136 FILM NUMBER: 20710104 MAIL ADDRESS: STREET 1: BRISTOL-MYERS SQUIBB COMPANY STREET 2: ROUTE 206 & PROVINCE LINE ROAD CITY: PRINCETON STATE: NJ ZIP: 08543 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BRISTOL MYERS SQUIBB CO CENTRAL INDEX KEY: 0000014272 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 220790350 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 430 E. 29TH STREET STREET 2: 14 FLOOR CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 2125464000 MAIL ADDRESS: STREET 1: 430 E. 29TH STREET STREET 2: 14 FLOOR CITY: NEW YORK STATE: NY ZIP: 10016 FORMER COMPANY: FORMER CONFORMED NAME: BRISTOL MYERS CO DATE OF NAME CHANGE: 19891012 4 1 wf-form4_158405105510153.xml FORM 4 X0306 4 2020-03-10 0 0000014272 BRISTOL MYERS SQUIBB CO BMY 0001480250 Bancroft Charles A BRISTOL-MYERS SQUIBB COMPANY 430 E. 29TH STREET, 14 FLOOR NEW YORK NY 10016 0 1 0 0 EVP, Head of Integration Common Stock, $0.10 par value 2020-03-10 4 G 0 300000 0 D 92309.283 D Common Stock, $0.10 par value 2020-03-10 4 G 0 300000 0 A 300000 I Trust Common Stock, $0.10 par value 2020-03-10 4 M 0 6174 0 A 98483.283 D Common Stock, $0.10 par value 2020-03-10 4 J 0 100 0 D 98383.283 D Common Stock, $0.10 par value 2020-03-10 4 F 0 2577 57.93 D 95806.283 D Common Stock, $0.10 par value 2020-03-10 4 M 0 7324 0 A 103130.283 D Common Stock, $0.10 par value 2020-03-10 4 J 0 825 0 A 103955.283 D Common Stock, $0.10 par value 2020-03-10 4 F 0 3457 57.93 D 100498.283 D Common Stock, $0.10 par value 2020-03-10 4 M 0 6207 0 A 106705.283 D Common Stock, $0.10 par value 2020-03-10 4 J 0 297 0 D 106408.283 D Common Stock, $0.10 par value 2020-03-10 4 F 0 2508 57.93 D 103900.283 D Common Stock, $0.10 par value 2020-03-10 4 M 0 8219 0 A 112119.283 D Common Stock, $0.10 par value 2020-03-10 4 J 0 1842 0 A 113961.283 D Common Stock, $0.10 par value 2020-03-10 4 F 0 4268 57.93 D 109693.283 D Common Stock, $0.10 par value 2020-03-10 4 M 0 43944 0 A 153637.283 D Common Stock, $0.10 par value 2020-03-10 4 J 0 4408 0 A 158045.283 D Common Stock, $0.10 par value 2020-03-10 4 F 0 20511 57.93 D 137534.283 D Market Share Units 2020-03-10 4 M 0 6174 0 D 2020-03-10 Common Stock, $0.10 par value 6174.0 0 D Market Share Units 2020-03-10 4 M 0 7324 0 D 2021-03-01 Common Stock, $0.10 par value 7324.0 7324 D Market Share Units 2020-03-10 4 M 0 6207 0 D 2022-03-10 Common Stock, $0.10 par value 6207.0 12415 D Market Share Units 2020-03-10 4 M 0 8219 0 D 2023-03-10 Common Stock, $0.10 par value 8219.0 24659 D Performance Shares 2020-03-10 4 M 0 43944 0 D 2020-03-10 Common Stock, $0.10 par value 43944.0 0 D Reporting person transferred shares to a grantor annuity trust (GRAT). Represents vesting of one-quarter of market share units granted on March 10, 2016. Represents a downward adjustment to the number of shares acquired upon the vesting of market share units due to the performance factor. Shares withheld for payment of taxes upon vesting. Represents vesting of one-quarter of market share units granted on March 10, 2017. Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor. Represents vesting of one-quarter of market share units granted on March 10, 2018. Represents vesting of one-quarter of market share units granted on March 10, 2019. Amount represents distribution of performance shares earned under the 2017-2019 Long-Term Performance Award. Adjustment to Award based on the performance factor applied in accordance with the terms of the Award and certification of performance results by the Board. 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 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%. Each performance share unit converts into one share of common stock upon distribution in the first quarter of 2020, subject to a Total Shareholder Return. /s/ Lisa A. Atkins, attorney-in-fact for Charles A. Bancroft 2020-03-12