Giovanni Caforio - Mar 10, 2022 Form 4 Insider Report for BRISTOL MYERS SQUIBB CO (BMY)

Role
Board Chair and CEO, Director
Signature
/s/ Lisa A. Atkins, attorney-in-fact for Giovanni Caforio
Stock symbol
BMY
Transactions as of
Mar 10, 2022
Transactions value $
-$10,871,254
Form type
4
Date filed
3/14/2022, 09:20 PM
Previous filing
Feb 28, 2022
Next filing
Mar 23, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BMY Common Stock, $0.10 par value Options Exercise $0 +18.7K +4.13% $0.00 472K Mar 10, 2022 Direct F1
transaction BMY Common Stock, $0.10 par value Other $0 +266 +0.06% $0.00 472K Mar 10, 2022 Direct F2
transaction BMY Common Stock, $0.10 par value Tax liability -$662K -9.67K -2.05% $68.42 463K Mar 10, 2022 Direct F3
transaction BMY Common Stock, $0.10 par value Options Exercise $0 +24.8K +5.36% $0.00 488K Mar 10, 2022 Direct F4
transaction BMY Common Stock, $0.10 par value Other $0 +7.54K +1.55% $0.00 495K Mar 10, 2022 Direct F2
transaction BMY Common Stock, $0.10 par value Tax liability -$1.13M -16.5K -3.33% $68.42 479K Mar 10, 2022 Direct F3
transaction BMY Common Stock, $0.10 par value Options Exercise $0 +23.4K +4.89% $0.00 502K Mar 10, 2022 Direct F5
transaction BMY Common Stock, $0.10 par value Other $0 +3.09K +0.62% $0.00 505K Mar 10, 2022 Direct F2
transaction BMY Common Stock, $0.10 par value Tax liability -$923K -13.5K -2.67% $68.42 492K Mar 10, 2022 Direct F3
transaction BMY Common Stock, $0.10 par value Options Exercise $0 +23.8K +4.84% $0.00 515K Mar 10, 2022 Direct F6
transaction BMY Common Stock, $0.10 par value Other $0 +2.67K +0.52% $0.00 518K Mar 10, 2022 Direct F2
transaction BMY Common Stock, $0.10 par value Tax liability -$923K -13.5K -2.6% $68.42 505K Mar 10, 2022 Direct F3
transaction BMY Common Stock, $0.10 par value Options Exercise $0 +149K +29.48% $0.00 653K Mar 10, 2022 Direct F7
transaction BMY Common Stock, $0.10 par value Other $0 +58.9K +9.01% $0.00 712K Mar 10, 2022 Direct F8
transaction BMY Common Stock, $0.10 par value Tax liability -$7.24M -106K -14.85% $68.42 607K Mar 10, 2022 Direct F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction BMY Market Share Units Options Exercise $0 -18.7K -100% $0.00* 0 Mar 10, 2022 Common Stock, $0.10 par value 18.7K Direct F1, F9
transaction BMY Market Share Units Options Exercise $0 -24.8K -50% $0.00 24.8K Mar 10, 2022 Common Stock, $0.10 par value 24.8K Direct F4, F9
transaction BMY Market Share Units Options Exercise $0 -23.4K -33.33% $0.00 46.8K Mar 10, 2022 Common Stock, $0.10 par value 23.4K Direct F5, F9
transaction BMY Market Share Units Options Exercise $0 -23.8K -25% $0.00 71.5K Mar 10, 2022 Common Stock, $0.10 par value 23.8K Direct F6, F9
transaction BMY Market Share Units Award $0 +88.9K $0.00 88.9K Mar 10, 2022 Common Stock, $0.10 par value 88.9K Direct F9, F10
transaction BMY Performance Shares Options Exercise $0 -149K -100% $0.00* 0 Mar 10, 2022 Common Stock, $0.10 par value 149K Direct F11
transaction BMY Performance Shares Award $0 +133K $0.00 133K Mar 10, 2022 Common Stock, $0.10 par value 133K Direct F12
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents vesting of one-quarter of market share units granted on March 10, 2018.
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 award.
F4 Represents vesting of one-quarter of market share units granted on March 10, 2019.
F5 Represents vesting of one-quarter of market share units granted on March 10, 2020.
F6 Represents vesting of one-quarter of market share units granted on March 10, 2021.
F7 Amount represents distribution of performance shares earned under the 2019-2021 Long-Term Performance Award.
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.
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%.
F10 Twenty-five percent of these market share units will vest on each of the first, second, third and fourth anniversaries of the grant date.
F11 Each performance share unit converts into one share of common stock upon distribution in the first quarter of 2022, subject to a Total Shareholder Return.
F12 Each performance share unit converts into one share of common stock upon distribution in the first quarter of 2025.