Sec Form 4 Filing - Santiago Karen Murphy @ BRISTOL MYERS SQUIBB CO - 2021-03-10

Insider filing report for Changes in Beneficial Ownership
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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
OMB APPROVAL
OMB Number: 3235-0287
Expires: November 30, 2011
Estimated average burden hours per response... 0.5
1. Name and Address of Reporting Person
Santiago Karen Murphy
2. Issuer Name and Ticker or Trading Symbol
BRISTOL MYERS SQUIBB CO [ BMY]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
SVP & Controller
(Last) (First) (Middle)
BRISTOL-MYERS SQUIBB COMPANY, 430 E. 29TH STREET, 14 FLOOR
3. Date of Earliest Transaction (MM/DD/YY)
03/10/2021
(Street)
NEW YORK, NY10016
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, $0.10 par value 03/10/2021 M 411 ( 1 ) A $ 0 8,581 D
Common Stock, $0.10 par value 03/10/2021 J 27 ( 2 ) A $ 0 8,608 D
Common Stock, $0.10 par value 03/10/2021 F 138 ( 3 ) D $ 60.93 8,470 D
Common Stock, $0.10 par value 03/10/2021 M 682 ( 4 ) A $ 0 9,152 D
Common Stock, $0.10 par value 03/10/2021 J 60 ( 5 ) D $ 0 9,092 D
Common Stock, $0.10 par value 03/10/2021 F 195 ( 3 ) D $ 60.93 8,897 D
Common Stock, $0.10 par value 03/10/2021 M 1,156 ( 6 ) A $ 0 10,053 D
Common Stock, $0.10 par value 03/10/2021 J 200 ( 2 ) A $ 0 10,253 D
Common Stock, $0.10 par value 03/10/2021 F 426 ( 3 ) D $ 60.93 9,827 D
Common Stock, $0.10 par value 03/10/2021 M 1,141 ( 7 ) A $ 0 10,968 D
Common Stock, $0.10 par value 03/10/2021 J 21 ( 2 ) A $ 0 10,989 D
Common Stock, $0.10 par value 03/10/2021 F 365 ( 3 ) D $ 60.93 10,624 D
Common Stock, $0.10 par value 03/10/2021 M 4,093 ( 8 ) A $ 0 14,717 D
Common Stock, $0.10 par value 03/10/2021 J 797 ( 9 ) A $ 0 15,514 D
Common Stock, $0.10 par value 03/10/2021 F 1,538 ( 3 ) D $ 60.93 13,976 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Market Share Units ( 10 ) 03/10/2021 M 411 ( 1 ) 03/10/2021 Common Stock, $0.10 par value 411 $ 0 0 D
Market Share Units ( 10 ) 03/10/2021 M 682 ( 4 ) 03/10/2022 Common Stock, $0.10 par value 682 $ 0 683 D
Market Share Units ( 10 ) 03/10/2021 M 1,156 ( 6 ) 03/10/2023 Common Stock, $0.10 par value 1,156 $ 0 2,314 D
Market Share Units ( 10 ) 03/10/2021 M 1,141 ( 7 ) 03/10/2024 Common Stock, $0.10 par value 1,141 $ 0 3,423 D
Market Share Units ( 10 ) 03/10/2021 A 4,619 ( 11 ) 03/10/2025 Common Stock, $0.10 par value 4,619 $ 0 4,619 D
Performance Shares ( 12 ) 03/10/2021 M 4,093 ( 12 ) 03/10/2021 Common Stock, $0.10 par value 4,093 $ 0 0 D
Performance Shares ( 13 ) 03/10/2021 A 6,928 ( 13 ) 03/10/2024 Common Stock, $0.10 par value 6,928 $ 0 6,928 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Santiago Karen Murphy
BRISTOL-MYERS SQUIBB COMPANY
430 E. 29TH STREET, 14 FLOOR
NEW YORK, NY10016
SVP & Controller
Signatures
/s/ Lisa A. Atkins, attorney-in-fact for Karen M. Santiago 03/12/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Represents vesting of one-quarter of market share units granted on March 10, 2017.
( 2 )Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.
( 3 )Shares withheld for payment of taxes upon vesting of awards.
( 4 )Represents vesting of one-quarter of market share units granted on March 10, 2018.
( 5 )Represents a downward adjustment to the number of shares acquired upon the vesting of market share units due to the performance factor.
( 6 )Represents vesting of one-quarter of market share units granted on March 10, 2019.
( 7 )Represents vesting of one-quarter of market share units granted on March 10, 2020.
( 8 )Amount represents distribution of performance shares earned under the 2018-2020 Long-Term Performance Award.
( 9 )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.
( 10 )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%.
( 11 )Twenty-five percent of the market share unit award will vest on each of the first, second, third and fourth anniversaries of the grant date.
( 12 )Each performance share converts into one share of common stock upon distribution in the first quarter of 2021, subject to a Total Shareholder Return.
( 13 )Each performance share converts into one share of common stock upon distribution in the first quarter of 2024.

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 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).

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.