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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 | ||||||||
| Market Share Units | (8) | 03/10/2016 | M | 4,878 | (1) | 03/10/2017(1) | Common Stock, $0.10 par value | 4,878 | $ 0 | 4,879 | D | ||||
| Market Share Units | (8) | 03/10/2016 | M | 5,702 | (4) | 03/10/2018(4) | Common Stock, $0.10 par value | 5,702 | $ 0 | 11,404 | D | ||||
| Market Share Units | (8) | 03/10/2016 | M | 7,051 | (5) | 03/10/2019(5) | Common Stock, $0.10 par value | 7,051 | $ 0 | 21,154 | D | ||||
| Market Share Units | (8) | 03/10/2016 | A | 72,733 | (9) | 03/10/2020(9) | Common Stock, $0.10 par value | 72,733 | $ 0 | 72,733 | D | ||||
| Performance Shares | (10) | 03/10/2016 | A | 109,099 | (10) | 03/10/2019(10) | Common Stock, $0.10 par value | 109,099 | $ 0 | 109,099 | D | ||||
| Performance Shares | (11) | 03/15/2016 | A | 16,342.975 (12) | (11) | 03/10/2016(11) | Common Stock, $0.10 par value | 16,342.975 | $ 0 | 42,005.971 | D | ||||
| Performance Shares | (13) | 03/10/2016 | J | 985.619 (14) | (13) | 03/10/2016(13) | Common Stock, $0.10 par value | 985.619 | $ 0 | 42,991.59 | D | ||||
| Performance Shares | (11) | 03/10/2016 | M | 42,991.59 (7) | (11) | 03/10/2016(11) | Common Stock, $0.10 par value | 42,991.59 | $ 0 | 0 | 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 Executive Officer | ||
| /s/ Katherine Kelly, attorney-in-fact for Giovanni Caforio | 03/14/2016 | |
| **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 vesting of one-quarter of market share units granted on March 10, 2013. |
| (2) | Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor. |
| (3) | Shares withheld for payment of taxes upon vesting of awards. |
| (4) | Represents vesting of one-quarter of market share units granted on March 10, 2014. |
| (5) | Represents vesting of one-quarter of market share units granted on March 10, 2015. |
| (6) | Represents a downward adjustment to the number of shares acquired upon the vesting of market share units due to the performance factor. |
| (7) | Represents distribution of performance shares earned under the 2013-2015 Long-Term Performance Award. |
| (8) | 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%. |
| (9) | 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. |
| (10) | Each performance share converts into one share of common stock upon distribution in the first quarter of 2019. |
| (11) | Each performance share converts into one share of common stock upon distribution in the first quarter of 2016. |
| (12) | Represents performance shares earned under the 2013-2015 Long-Term Performance Award. |
| (13) | Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2016. |
| (14) | Represents dividend equivalents earned under the 2013-2015 Long-Term Performance Award. |