0000014272-24-000052.txt : 20240312 0000014272-24-000052.hdr.sgml : 20240312 20240312174202 ACCESSION NUMBER: 0000014272-24-000052 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240310 FILED AS OF DATE: 20240312 DATE AS OF CHANGE: 20240312 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Caforio Giovanni CENTRAL INDEX KEY: 0001533201 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-01136 FILM NUMBER: 24743665 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] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 220790350 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ROUTE 206 AND PROVINCE LINE ROAD CITY: PRINCETON STATE: NJ ZIP: 08543 BUSINESS PHONE: 6092524621 MAIL ADDRESS: STREET 1: ROUTE 206 AND PROVINCE LINE ROAD CITY: PRINCETON STATE: NJ ZIP: 08543 FORMER COMPANY: FORMER CONFORMED NAME: BRISTOL MYERS CO DATE OF NAME CHANGE: 19891012 4 1 wk-form4_1710279706.xml FORM 4 X0508 4 2024-03-10 0 0000014272 BRISTOL MYERS SQUIBB CO BMY 0001533201 Caforio Giovanni BRISTOL-MYERS SQUIBB COMPANY ROUTE 206 AND PROVINCE LINE ROAD PRINCETON NJ 08543 1 1 0 0 Executive Chair of the Board 0 Common Stock, $0.10 par value 2024-03-10 4 M 0 23409 0 A 390904.333 D Common Stock, $0.10 par value 2024-03-10 4 J 0 3687 0 D 387217.333 D Common Stock, $0.10 par value 2024-03-10 4 F 0 10088 53.79 D 377129.333 D Common Stock, $0.10 par value 2024-03-10 4 M 0 23817 0 A 400946.333 D Common Stock, $0.10 par value 2024-03-10 4 J 0 4104 0 D 396842.333 D Common Stock, $0.10 par value 2024-03-10 4 F 0 10084 53.79 D 386758.333 D Common Stock, $0.10 par value 2024-03-10 4 M 0 142904 0 A 529662.333 D Common Stock, $0.10 par value 2024-03-10 4 J 0 49745 0 D 479917.333 D Common Stock, $0.10 par value 2024-03-10 4 F 0 47651 53.79 D 432266.333 D Market Share Units 2024-03-10 4 M 0 23409 0 D 2024-03-10 Common Stock, $0.10 par value 23409 0 D Market Share Units 2024-03-10 4 M 0 23817 0 D 2025-03-10 Common Stock, $0.10 par value 23817 23818 D Market Share Units 2024-03-10 4 J 0 22214 0 D 2026-03-10 Common Stock, $0.10 par value 22214 44429 D Market Share Units 2024-03-10 4 J 0 23419 0 D 2027-03-10 Common Stock, $0.10 par value 23419 70258 D Performance Shares 2024-03-10 4 M 0 142904 0 D 2024-03-10 Common Stock, $0.10 par value 142904 0 D Represents vesting of one-quarter of market share units granted on March 10, 2020. Adjustment reflects shares disposed upon the vesting of market share units due to the performance factor. Shares withheld for payment of taxes upon vesting of awards. Represents vesting of one-quarter of market share units granted on March 10, 2021. Amount represents distribution of performance shares earned under the 2020-2022 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 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 80% and the maximum payout factor is 225%. Represents the cancellation of one-quarter of market share units granted on March 10, 2022 due to the 80% minimum payout factor not being achieved. Twenty-five percent of these market share units will vest on each of the first, second, third and fourth anniversaries of the grant date. Represents the cancellation of one-quarter of market share units granted on March 10, 2023 due to the 80% minimum payout factor not being achieved. Each performance share converts into one share of common stock upon distribution in the first quarter of 2024, subject to a Total Shareholder Return. /s/ Lisa A. Atkins, attorney-in-fact for Giovanni Caforio 2024-03-12