0000014272-21-000096.txt : 20210312
0000014272-21-000096.hdr.sgml : 20210312
20210312185955
ACCESSION NUMBER: 0000014272-21-000096
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: Caforio Giovanni
CENTRAL INDEX KEY: 0001533201
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-01136
FILM NUMBER: 21739292
MAIL ADDRESS:
STREET 1: BRISTOL-MYERS SQUIBB COMPANY
STREET 2: ROUTE 206 & PROVINCELINE ROAD
CITY: LAWRENCEVILLE
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_161559357232423.xml
FORM 4
X0306
4
2021-03-10
0
0000014272
BRISTOL MYERS SQUIBB CO
BMY
0001533201
Caforio Giovanni
BRISTOL-MYERS SQUIBB COMPANY
430 E. 29TH STREET, 14 FLOOR
NEW YORK
NY
10016
1
1
0
0
Chairman and CEO
Common Stock, $0.10 par value
2021-03-10
4
M
0
21443
0
A
466547.333
D
Common Stock, $0.10 par value
2021-03-10
4
J
0
1426
0
A
467973.333
D
Common Stock, $0.10 par value
2021-03-10
4
F
0
11608
60.93
D
456365.333
D
Common Stock, $0.10 par value
2021-03-10
4
M
0
18723
0
A
475088.333
D
Common Stock, $0.10 par value
2021-03-10
4
J
0
1635
0
D
473453.333
D
Common Stock, $0.10 par value
2021-03-10
4
F
0
8674
60.93
D
464779.333
D
Common Stock, $0.10 par value
2021-03-10
4
M
0
24793
0
A
489572.333
D
Common Stock, $0.10 par value
2021-03-10
4
J
0
4297
0
A
493869.333
D
Common Stock, $0.10 par value
2021-03-10
4
F
0
14766
60.93
D
479103.333
D
Common Stock, $0.10 par value
2021-03-10
4
M
0
23407
0
A
502510.333
D
Common Stock, $0.10 par value
2021-03-10
4
J
0
438
0
A
502948.333
D
Common Stock, $0.10 par value
2021-03-10
4
F
0
12104
60.93
D
490844.333
D
Common Stock, $0.10 par value
2021-03-10
4
M
0
112343
0
A
603187.333
D
Common Stock, $0.10 par value
2021-03-10
4
J
0
15874
0
A
619061.333
D
Common Stock, $0.10 par value
2021-03-10
4
F
0
65081
60.93
D
553980.333
D
Market Share Units
2021-03-10
4
M
0
21443
0
D
2021-03-10
Common Stock, $0.10 par value
21443.0
0
D
Market Share Units
2021-03-10
4
M
0
18723
0
D
2022-03-10
Common Stock, $0.10 par value
18723.0
18726
D
Market Share Units
2021-03-10
4
M
0
24793
0
D
2023-03-10
Common Stock, $0.10 par value
24793.0
49586
D
Market Share Units
2021-03-10
4
M
0
23407
0
D
2024-03-10
Common Stock, $0.10 par value
23407.0
70223
D
Market Share Units
2021-03-10
4
A
0
95269
0
A
2025-03-10
Common Stock, $0.10 par value
95269.0
95269
D
Performance Shares
2021-03-10
4
M
0
112343
0
D
2021-03-10
Common Stock, $0.10 par value
112343.0
0
D
Performance Shares
2021-03-10
4
A
0
142904
0
A
2024-03-10
Common Stock, $0.10 par value
142904.0
142904
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 Giovanni Caforio
2021-03-12