UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Market Share Units | Â (1) | 03/10/2019 | Common Stock, $0.10 par value | 1,179 | $ (2) | D | Â |
Market Share Units | Â (3) | 03/10/2020 | Common Stock, $0.10 par value | 3,135 | $ (2) | D | Â |
Market Share Units | Â (4) | 03/10/2021 | Common Stock, $0.10 par value | 5,477 | $ (2) | D | Â |
Market Share Units | Â (5) | 03/10/2022 | Common Stock, $0.10 par value | 7,045 | $ (2) | D | Â |
Performance Shares | Â (6) | 03/10/2019 | Common Stock, $0.10 par value | 9,401 | $ (6) | D | Â |
Performance Shares | Â (7) | 03/10/2020 | Common Stock, $0.10 par value | 10,953 | $ (7) | D | Â |
Performance Shares | Â (8) | 03/10/2021 | Common Stock, $0.10 par value | 10,568 | $ (8) | D | Â |
Restricted Stock Units | Â (9) | 02/02/2019 | Common Stock, $0.10 par value | 4,465 | $ (10) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BOERNER CHRISTOPHER S. BRISTOL-MYERS SQUIBB COMPANY 430 E. 29TH STREET, 14 FLOOR NEW YORK, NY 10016 |
 |  |  EVP, Chief Commercial Officer |  |
/s/Lisa A. Atkins, attorney-in-fact for Christopher Boerner | 09/06/2018 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | These market share units will vest on March 10, 2019. |
(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) | One-half of these market share units will vest on each of March 10, 2019 and March 10, 2020. |
(4) | One-third of these market share units will vest on each of March 10, 2019, March 10, 2020, and March 10, 2021. |
(5) | 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, 2019. |
(6) | Each performance share converts into one share of common stock upon distribution in the first quarter of 2019, subject to a Total Shareholder Return modifier. |
(7) | Each performance share converts into one share of common stock upon distribution in the first quarter of 2020. |
(8) | Each performance share converts into one share of common stock upon distribution in the first quarter of 2021. |
(9) | These restricted stock units will vest on February 2, 2019. |
(10) | Each restricted stock unit converts into one share of common stock upon vesting. |
 Remarks: EXHIBIT LIST: EX-24 Exhibit 24 - Christopher Boerner Power of Attorney |