Form 4 for BMY Bristol Myers Squibb
Accepted 2023-03-14 00:00:00 ET · period of report 2023-03-10 · accession 0000014272-23-000055 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-03-14 | 2023-03-10 | BMY | Caforio Giovanni | CEO, Board COB, Dir | M - OptEx | $0.00 | +234.7K | 301.9K | +349% | $0 |
| DM | 2023-03-14 | 2023-03-10 | BMY | Caforio Giovanni | CEO, Board COB, Dir | F - Tax | $65.71 | -138.0K | 290.9K | -32% | -$9.07M |
| DM | 2023-03-14 | 2023-03-10 | BMY | Caforio Giovanni | CEO, Board COB, Dir | J - Other | $0.00 | +35.1K | 302.7K | +13% | $0 |
| DM | 2023-03-14 | 2023-03-10 | BMY | Caforio Giovanni | CEO, Board COB, Dir | A - Grant | $0.00 | +234.2K | 93.7K | New | $0 |
| DM | 2023-03-14 | 2023-03-10 | BMY | Caforio Giovanni | CEO, Board COB, Dir | M - OptEx | $0.00 | -234.7K | 47.6K | -83% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock, $0.10 par value | 2023-03-10 | M | A | 23,817 | $0.00 | 290,003.33 | D | — | — | (F5) Represents vesting of one-quarter of market share units granted on March 10, 2021. |
| 2 | Common | Common Stock, $0.10 par value | 2023-03-10 | F | D | 80,594 | $65.71 | 367,935.33 | D | — | — | (F3) Shares withheld for payment of taxes upon vesting of award. |
| 3 | Common | Common Stock, $0.10 par value | 2023-03-10 | J | A | 17,148 | $0.00 | 448,529.33 | D | — | — | (F8) Adjustment to Award based on the performance factor applied in accordance with the terms of the Award and certification of performance results by the Board. |
| 4 | Common | Common Stock, $0.10 par value | 2023-03-10 | M | A | 140,445 | $0.00 | 431,381.33 | D | — | — | (F7) Amount represents distribution of performance shares earned under the 2020-2022 Long-Term Performance Award. |
| 5 | Common | Common Stock, $0.10 par value | 2023-03-10 | M | A | 24,793 | $0.00 | 260,897.33 | D | — | — | (F1) Represents vesting of one-quarter of market share units granted on March 10, 2019. |
| 6 | Common | Common Stock, $0.10 par value | 2023-03-10 | J | A | 9,042 | $0.00 | 269,939.33 | D | — | — | (F2) Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor. |
| 7 | Common | Common Stock, $0.10 par value | 2023-03-10 | F | D | 17,304 | $65.71 | 252,635.33 | D | — | — | (F3) Shares withheld for payment of taxes upon vesting of award. |
| 8 | Common | Common Stock, $0.10 par value | 2023-03-10 | M | A | 23,407 | $0.00 | 276,042.33 | D | — | — | (F4) Represents vesting of one-quarter of market share units granted on March 10, 2020. |
| 9 | Common | Common Stock, $0.10 par value | 2023-03-10 | J | A | 4,328 | $0.00 | 280,370.33 | D | — | — | (F2) Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor. |
| 10 | Common | Common Stock, $0.10 par value | 2023-03-10 | F | D | 14,184 | $65.71 | 266,186.33 | D | — | — | (F3) Shares withheld for payment of taxes upon vesting of award. |
| 11 | Common | Common Stock, $0.10 par value | 2023-03-10 | J | A | 3,908 | $0.00 | 293,911.33 | D | — | — | (F2) Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor. |
| 12 | Common | Common Stock, $0.10 par value | 2023-03-10 | F | D | 14,179 | $65.71 | 279,732.33 | D | — | — | (F3) Shares withheld for payment of taxes upon vesting of award. |
| 13 | Common | Common Stock, $0.10 par value | 2023-03-10 | M | A | 22,214 | $0.00 | 301,946.33 | D | — | — | (F6) Represents vesting of one-quarter of market share units granted on March 10, 2022. |
| 14 | Common | Common Stock, $0.10 par value | 2023-03-10 | J | A | 718 | $0.00 | 302,664.33 | D | — | — | (F2) Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor. |
| 15 | Common | Common Stock, $0.10 par value | 2023-03-10 | F | D | 11,728 | $65.71 | 290,936.33 | D | — | — | (F3) Shares withheld for payment of taxes upon vesting of award. |
| 16 | Derivative | Performance Shares | 2023-03-10 | A | A | 140,515 | $0.00 | 140,515 | D | — · — to 2026-03-10 | 140,515 Common Stock, $0.10 par value | (F13) Each performance share unit converts into one share of common stock upon distribution in the first quarter of 2026. |
| 17 | Derivative | Market Share Units | 2023-03-10 | M | D | 24,793 | $0.00 | 0 | D | — · — to 2023-03-10 | 24,793 Common Stock, $0.10 par value | (F9) 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%. (F1) Represents vesting of one-quarter of market share units granted on March 10, 2019. |
| 18 | Derivative | Market Share Units | 2023-03-10 | M | D | 23,407 | $0.00 | 23,409 | D | — · — to 2024-03-10 | 23,407 Common Stock, $0.10 par value | (F9) 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%. (F4) Represents vesting of one-quarter of market share units granted on March 10, 2020. |
| 19 | Derivative | Performance Shares | 2023-03-10 | M | D | 140,445 | $0.00 | 0 | D | — · — to 2023-03-10 | 140,445 Common Stock, $0.10 par value | (F12) Each performance share unit converts into one share of common stock upon distribution in the first quarter of 2023, subject to a Total Shareholder Return. |
| 20 | Derivative | Market Share Units | 2023-03-10 | M | D | 22,214 | $0.00 | 66,643 | D | — · — to 2026-03-10 | 22,214 Common Stock, $0.10 par value | (F10) 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 80% and the maximum payout factor is 225%. (F6) Represents vesting of one-quarter of market share units granted on March 10, 2022. |
| 21 | Derivative | Market Share Units | 2023-03-10 | A | A | 93,677 | $0.00 | 93,677 | D | — · — to 2027-03-10 | 93,677 Common Stock, $0.10 par value | (F10) 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 80% and the maximum payout factor is 225%. (F11) Twenty-five percent of these market share units will vest on each of the first, second, third and fourth anniversaries of the grant date. |
| 22 | Derivative | Market Share Units | 2023-03-10 | M | D | 23,817 | $0.00 | 47,635 | D | — · — to 2025-03-10 | 23,817 Common Stock, $0.10 par value | (F9) 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%. (F5) Represents vesting of one-quarter of market share units granted on March 10, 2021. |