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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bancroft Charles A BRISTOL-MYERS SQUIBB COMPANY 345 PARK AVENUE NEW YORK, NY 10154 |
EVP & Chief Financial Officer |
/s/ Robert J. Wollin, attorney-in-fact for Charles A. Bancroft | 03/23/2015 | |
**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) | Due to a software error, this Form 4 is being amended to report in Column 5 the correct number of securities beneficially owned following the reported transactions. A Form 4 filed on March 4, 2015 (relating to the distribution of performance shares earned under the 2012-2014 Long-Term Performance Award) and a Form 4 filed on March 10, 2015 incorrectly reported in Column 5 the number of securities beneficially owned following the reported transactions included in each Form 4, and the incorrect amounts in the Form 4 filed on March 10, 2015 were carried over to this Form 4. |
(3) | Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor. |
(4) | Shares withheld for payment of taxes upon vesting of awards. |
(5) | Represents vesting of one-quarter of market share units granted on March 10, 2014. |