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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Performance Shares | (3) | 03/02/2015 | A | 8,746.736 (4) | (3) | 03/31/2015(3) | Common Stock, $0.10 par value | 8,746.736 | $ 0 | 22,247.4521 | D | ||||
Performance Shares | (5) | 03/02/2015 | J | 603.8244 (6) | (5) | 03/31/2015(5) | Common Stock, $0.10 par value | 603.8244 | $ 0 | 22,851.2765 | D | ||||
Performance Shares | (3) | 03/02/2015 | M | 22,851.2765 (1) | (3) | 03/31/2015(3) | Common Stock, $0.10 par value | 22,851.2765 | $ 0 | 0 | D | ||||
Performance Shares | (7) | 03/02/2015 | A | 14,768.633 (8) | (7) | 03/31/2016(7) | Common Stock, $0.10 par value | 14,768.633 | $ 0 | 24,984.6898 | D | ||||
Performance Shares | (9) | 03/02/2015 | J | 678.0882 (10) | (9) | 03/31/2016(9) | Common Stock, $0.10 par value | 678.0882 | $ 0 | 25,662.778 | D | ||||
Performance Shares | (11) | 03/02/2015 | A | 51,788.612 (12) | (11) | 03/10/2017(11) | Common Stock, $0.10 par value | 51,788.612 | $ 0 | 51,788.612 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Caforio Giovanni BRISTOL-MYERS SQUIBB COMPANY 345 PARK AVENUE NEW YORK, NY 10154 |
X | Chief Operating Officer |
/s/ Robert J. Wollin, attorney-in-fact for Giovanni Caforio | 03/04/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents distribution of performance shares earned under the 2012-2014 Long-Term Performance Award. |
(2) | Shares withheld for payment of taxes upon vesting of awards. |
(3) | Each performance share converts into one share of common stock upon distribution in the first quarter of 2015. |
(4) | Represents performance shares earned under the 2012-2014 Long-Term Performance Award. |
(5) | Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2015. |
(6) | Represents dividend equivalents earned under the 2012-2014 Long-Term Performance Award. |
(7) | Each performance share converts into one share of common stock upon distribution in the first quarter of 2016. |
(8) | Represents performance shares earned under the 2013-2015 Long-Term Performance Award. |
(9) | Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2016. |
(10) | Represents dividend equivalents earned under the 2013-2015 Long-Term Performance Award. |
(11) | Each performance share converts into one share of common stock upon distribution in the first quarter of 2017, subject to a Total Shareholder Return modifier. |
(12) | Represents performance shares earned under the 2014-2016 Long-Term Performance Award. |