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