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BRISTOL MYERS SQUIBB CO — Director's Dealing 2015
Mar 12, 2015
29889_dirs_2015-03-12_9160733f-fc10-42c9-ae87-40acb7996335.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: BRISTOL MYERS SQUIBB CO (BMY)
CIK: 0000014272
Period of Report: 2015-03-10
Reporting Person: Caforio Giovanni (Director, Chief Operating Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-03-10 | Common Stock, $0.10 par value | M | 4878 | — | Acquired | 66660.7465 | Direct |
| 2015-03-10 | Common Stock, $0.10 par value | J | 3094 | — | Acquired | 69754.7465 | Direct |
| 2015-03-10 | Common Stock, $0.10 par value | F | 4134 | $65.53 | Disposed | 65620.7465 | Direct |
| 2015-03-10 | Common Stock, $0.10 par value | M | 5701 | — | Acquired | 71321.7465 | Direct |
| 2015-03-10 | Common Stock, $0.10 par value | J | 598 | — | Acquired | 71919.7465 | Direct |
| 2015-03-10 | Common Stock, $0.10 par value | F | 3267 | $65.53 | Disposed | 68652.7465 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-03-10 | Market Share Units | $ | M | 4878 | Disposed | 2017-03-10 | Common Stock, $0.10 par value (4878.0) | Direct |
| 2015-03-10 | Market Share Units | $ | M | 5701 | Disposed | 2018-03-10 | Common Stock, $0.10 par value (5701.0) | Direct |
| 2015-03-10 | Market Share Units | $ | A | 28205 | Acquired | 2019-03-10 | Common Stock, $0.10 par value (28205.0) | Direct |
Footnotes
F1: Represents vesting of one-quarter of market share units granted on March 10, 2013.
F2: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.
F3: Shares withheld for payment of taxes upon vesting of awards.
F4: Represents vesting of one-quarter of market share units granted on March 10, 2014.
F5: 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%.
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.