| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 06/12/2019 | 3. Issuer Name and Ticker or Trading Symbol BRISTOL MYERS SQUIBB CO [ BMY ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock, $0.10 par value | 2,170 | D | |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Market Share Units | (1) | 03/10/2022 | Common Stock, $0.10 par value | 1,876 | (2) | D | |
| Market Share Units | (3) | 03/10/2023 | Common Stock, $0.10 par value | 3,784 | (2) | D | |
| Performance Shares | (4) | 03/10/2021 | Common Stock, $0.10 par value | 3,751 | (4) | D | |
| Performance Shares | (5) | 03/10/2022 | Common Stock, $0.10 par value | 5,677 | (5) | D | |
| Restricted Stock Units | (6) | 12/01/2021 | Common Stock, $0.10 par value | 8,476 | (7) | D | |
| Restricted Stock Units | (8) | 06/03/2023 | Common Stock, $0.10 par value | 8,617 | (7) | D | |
| Explanation of Responses: |
| 1. One-third of these market share units will vest on March 10, 2020, March 10, 2021, and March 10, 2022. |
| 2. 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%. |
| 3. Twenty-five percent of these market share units will vest on each of the first, second, third and fourth anniversaries of the grant date, starting on March 10, 2020. |
| 4. Each performance share converts into common stock upon distribution in the first quarter of 2021. |
| 5. Each performance share converts into common stock upon distribution in the first quarter of 2022. |
| 6. One-third of these restricted stock units will vest on December 1, 2019, December 1, 2020, and December 1, 2021. |
| 7. Each restricted stock unit converts into one share of common stock upon vesting. |
| 8. Twenty-five percent of these restricted stock units will vest on each of the first, second, third, and fourth anniversaries of the grant date starting on June 3, 2020. |
| Remarks: |
| EXHIBIT LIST: EX-24 GRAPHIC Exhibit 24 Power of Attorney for Joseph Eid |
| /s/ Lisa A. Atkins, attorney-in-fact for Joseph Eid | 06/20/2019 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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 Number. | ||
