0000014272-20-000124.txt : 20200312 0000014272-20-000124.hdr.sgml : 20200312 20200312181735 ACCESSION NUMBER: 0000014272-20-000124 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: Powell Ann CENTRAL INDEX KEY: 0001570844 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-01136 FILM NUMBER: 20710144 MAIL ADDRESS: STREET 1: BRISTOL-MYERS SQUIBB COMPANY STREET 2: ROUTE 206 & PROVINCELINE ROAD CITY: LAWRENCEVILLE STATE: NJ ZIP: 08543 FORMER NAME: FORMER CONFORMED NAME: JUDGE ANN POWELL DATE OF NAME CHANGE: 20130228 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_158405143770985.xml FORM 4 X0306 4 2020-03-10 0 0000014272 BRISTOL MYERS SQUIBB CO BMY 0001570844 Powell Ann BRISTOL-MYERS SQUIBB COMPANY 430 E. 29TH STREET, 14 FLOOR NEW YORK NY 10016 0 1 0 0 EVP, Chief Human Resources Common Stock, $0.10 par value 2020-03-10 4 M 0 2492 0 A 34318.088 D Common Stock, $0.10 par value 2020-03-10 4 J 0 40 0 D 34278.088 D Common Stock, $0.10 par value 2020-03-10 4 F 0 1041 57.93 D 33237.088 D Common Stock, $0.10 par value 2020-03-10 4 M 0 3169 0 A 36406.088 D Common Stock, $0.10 par value 2020-03-10 4 J 0 357 0 A 36763.088 D Common Stock, $0.10 par value 2020-03-10 4 F 0 1496 57.93 D 35267.088 D Common Stock, $0.10 par value 2020-03-10 4 M 0 2793 0 A 38060.088 D Common Stock, $0.10 par value 2020-03-10 4 J 0 134 0 D 37926.088 D Common Stock, $0.10 par value 2020-03-10 4 F 0 1128 57.93 D 36798.088 D Common Stock, $0.10 par value 2020-03-10 4 M 0 3699 0 A 40497.088 D Common Stock, $0.10 par value 2020-03-10 4 J 0 829 0 A 41326.088 D Common Stock, $0.10 par value 2020-03-10 4 F 0 1921 57.93 D 39405.088 D Common Stock, $0.10 par value 2020-03-10 4 M 0 19016 0 A 58421.088 D Common Stock, $0.10 par value 2020-03-10 4 J 0 1907 0 A 60328.088 D Common Stock, $0.10 par value 2020-03-10 4 F 0 8876 57.93 D 51452.088 D Market Share Units 2020-03-10 4 M 0 2492 0 D 2020-03-10 Common Stock, $0.10 par value 2492.0 0 D Market Share Units 2020-03-10 4 M 0 3169 0 D 2021-03-10 Common Stock, $0.10 par value 3169.0 3170 D Market Share Units 2020-03-10 4 M 0 2793 0 D 2022-03-10 Common Stock, $0.10 par value 2793.0 5588 D Market Share Units 2020-03-10 4 M 0 3699 0 D 2023-03-10 Common Stock, $0.10 par value 3699.0 11097 D Market Share Units 2020-03-10 4 A 0 13650 0 A 2024-03-10 Common Stock, $0.10 par value 13650.0 13650 D Performance Shares 2020-03-10 4 M 0 19016 0 D 2020-03-10 Common Stock, $0.10 par value 19016.0 0 D Performance Shares 2020-03-10 4 A 0 20475 0 A 2023-03-10 Common Stock, $0.10 par value 20475.0 20475 D 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%. Twenty-five percent of these market share units will vest on each of the first, second, third and fourth anniversaries of the grant date. 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. Each performance share unit converts into one share of common stock upon distribution in the first quarter of 2023. /s/ Lisa A. Atkins, attorney-in-fact for Ann Powell 2020-03-12