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BRISTOL MYERS SQUIBB CO — Director's Dealing 2012
Nov 2, 2012
29889_dirs_2012-11-02_1e5ea9cd-d6d8-4f1d-aaa9-6184070c0f37.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: BRISTOL MYERS SQUIBB CO (BMY)
CIK: 0000014272
Period of Report: 2012-10-24
Reporting Person: Moed Samuel J (SVP, Strat Plan & Analysis)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, $0.10 par value | 9658.4640 | Direct |
| Common Stock, $0.10 par value | 300.0000 | Indirect |
| Common Stock, $0.10 par value | 300.0000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Market Share Units | $ | 2015-03-01 | Common Stock, $0.10 par value (3522.0000) | Direct | |
| Market Share Units | $ | 2014-03-02 | Common Stock, $0.10 par value (2633.0000) | Direct | |
| Market Share Units | $ | 2016-03-06 | Common Stock, $0.10 par value (4172.0000) | Direct | |
| Option (right to buy) | $17.5100 | 2019-03-02 | Common Stock, $0.10 par value (31152.0000) | Direct | |
| Option (right to buy) | $22.1400 | 2018-03-03 | Common Stock, $0.10 par value (27938.0000) | Direct | |
| Option (right to buy) | $22.7300 | 2016-03-06 | Common Stock, $0.10 par value (16100.0000) | Direct | |
| Option (right to buy) | $25.4500 | 2015-02-28 | Common Stock, $0.10 par value (22000.0000) | Direct | |
| Option (right to buy) | $27.0100 | 2017-03-05 | Common Stock, $0.10 par value (19650.0000) | Direct | |
| Option (right to buy) | $28.1100 | 2014-03-01 | Common Stock, $0.10 par value (22000.0000) | Direct | |
| Performance Shares | $ | 2013-03-31 | Common Stock, $0.10 par value (7453.8600) | Direct | |
| Performance Shares | $ | 2014-03-31 | Common Stock, $0.10 par value (3465.2400) | Direct | |
| Restricted Stock Units | $ | 2013-03-03 | Common Stock, $0.10 par value (1936.0000) | Direct | |
| Restricted Stock Units | $ | 2014-05-01 | Common Stock, $0.10 par value (10000.0000) | Direct |
Footnotes
F1: Shares held in custodial accounts for the benefit of Son #1 under the Uniform Transfer to Minors Act.
F2: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purposes.
F3: 1,174 market share units will vest on each of March 1, 2013, March 1, 2014, and March 1, 2015.
F4: 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 vesting 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%.
F5: 1,316 market share units will vest on March 2, 2013, and 1,317 market share units will vest on March 2, 2014.
F6: Twenty-five percent of the market share unit award will vest on each of the first, second, third, and fourth anniversaries of the grant date, starting on March 6, 2013.
F7: 20,864 shares are currently exercisable. The remaining 10,288 shares will become exercisable on March 3, 2013.
F8: All of the shares are currently exercisable.
F9: Consists of 6,834 performance shares and 619.86 performance shares representing dividend equivalents earned under the 2010-2012 Long Term Performance Award.
F10: Each performance share converts into one share of common stock upon distribution in the first quarter of 2013.
F11: Consists of 3,252 performance shares and 213.24 performance shares representing dividend equivalents earned under the 2011-2013 Long Term Performance Award.
F12: Each performance share converts into one share of common stock upon distribution in the first quarter of 2014.
F13: These restricted stock units will vest on March 3, 2013.
F14: Each restricted stock unit converts into one share of common stock upon vesting.
F15: 5,000 restricted stock units will vest on each of May 1, 2013 and May 1, 2014.