0000014272-21-000095.txt : 20210312 0000014272-21-000095.hdr.sgml : 20210312 20210312185927 ACCESSION NUMBER: 0000014272-21-000095 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210310 FILED AS OF DATE: 20210312 DATE AS OF CHANGE: 20210312 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BOERNER CHRISTOPHER S. CENTRAL INDEX KEY: 0001543747 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-01136 FILM NUMBER: 21739291 MAIL ADDRESS: STREET 1: 21823 30TH DRIVE S CITY: BOTHELL STATE: WA ZIP: 98021 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_161559355118606.xml FORM 4 X0306 4 2021-03-10 0 0000014272 BRISTOL MYERS SQUIBB CO BMY 0001543747 BOERNER CHRISTOPHER S. BRISTOL-MYERS SQUIBB COMPANY 430 E. 29TH STREET, 14 FLOOR NEW YORK NY 10016 0 1 0 0 EVP, Chief Commercial Officer Common Stock, $0.10 par value 2021-03-10 4 M 0 1827 0 A 24198 D Common Stock, $0.10 par value 2021-03-10 4 J 0 121 0 A 24319 D Common Stock, $0.10 par value 2021-03-10 4 F 0 904 60.93 D 23415 D Common Stock, $0.10 par value 2021-03-10 4 M 0 1761 0 A 25176 D Common Stock, $0.10 par value 2021-03-10 4 J 0 154 0 D 25022 D Common Stock, $0.10 par value 2021-03-10 4 F 0 746 60.93 D 24276 D Common Stock, $0.10 par value 2021-03-10 4 M 0 5318 0 A 29594 D Common Stock, $0.10 par value 2021-03-10 4 J 0 922 0 A 30516 D Common Stock, $0.10 par value 2021-03-10 4 F 0 2894 60.93 D 27622 D Common Stock, $0.10 par value 2021-03-10 4 M 0 5741 0 A 33363 D Common Stock, $0.10 par value 2021-03-10 4 J 0 107 0 A 33470 D Common Stock, $0.10 par value 2021-03-10 4 F 0 2713 60.93 D 30757 D Common Stock, $0.10 par value 2021-03-10 4 M 0 10568 0 A 41325 D Common Stock, $0.10 par value 2021-03-10 4 J 0 1493 0 A 42818 D Common Stock, $0.10 par value 2021-03-10 4 F 0 5594 60.93 D 37224 D Market Share Units 2021-03-10 4 M 0 1827 0 D 2021-03-10 Common Stock, $0.10 par value 1827.0 0 D Market Share Units 2021-03-10 4 M 0 1761 0 D 2022-03-10 Common Stock, $0.10 par value 1761.0 1762 D Market Share Units 2021-03-10 4 M 0 5318 0 D 2023-03-10 Common Stock, $0.10 par value 5318.0 10637 D Market Share Units 2021-03-10 4 M 0 5741 0 D 2024-03-10 Common Stock, $0.10 par value 5741.0 17225 D Market Share Units 2021-03-10 4 A 0 27940 0 A 2025-03-10 Common Stock, $0.10 par value 27940.0 27940 D Performance Shares 2021-03-10 4 M 0 10568 0 D 2021-03-10 Common Stock, $0.10 par value 10568.0 0 D Performance Shares 2021-03-10 4 A 0 41910 0 A 2024-03-10 Common Stock, $0.10 par value 41910.0 41910 D 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. Shares withheld for payment of taxes upon vesting. Represents vesting of one-quarter of market share units granted on March 10, 2018. Represents a downward adjustment to the number of 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, 2019. Represents vesting of one-quarter of market share units granted on March 10, 2020. Amount represents distribution of performance shares earned under the 2018-2020 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 2021, subject to a Total Shareholder Return. Each performance share unit converts into one share of common stock upon distribution in the first quarter of 2024. /s/Lisa A. Atkins, attorney-in-fact for Christopher Boerner 2021-03-12