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BRISTOL MYERS SQUIBB CO

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1662
SEC CIK
0000014272
Parsed reports
2,253

Last 12 months

Inside the activity.

0 purchase rows · 4 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202602
May 202600
Jun 202600
Jul 202600
Aug 202601
Sep 202601
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 30, 2024 Filed Jul 2, 2024 21:25 UTC GrantDeferred Share Units · Derivative 1,203.949 $41.53 $50,000.00
Disclosure

SEC source: 0000014272-24-000112 · wk-form4_1719955545.xml · derivative · entry 1

Samuels Theodore R. II · CIK 0001688276 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,712.392

Underlying: Common Stock, $0.10 par value · 1,203.949 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
June 30, 2024 Filed Jul 2, 2024 21:27 UTC GrantDeferred Share Units · Derivative 842.764 $41.53 $34,999.99
Disclosure

SEC source: 0000014272-24-000114 · wk-form4_1719955638.xml · derivative · entry 1

YALE PHYLLIS R · CIK 0001269070 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,812.523

Underlying: Common Stock, $0.10 par value · 842.764 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
May 01, 2024 Filed May 3, 2024 22:45 UTC
Lenkowsky AdamEVP, Chief Commercial Officer
OtherMarket Share Units · Derivative 1,373 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000098 · wk-form4_1714776300.xml · derivative · entry 4

Lenkowsky Adam · CIK 0001975719 · EVP, Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,121

Underlying: Common Stock, $0.10 par value · 1,373 shares

Expires 2027-05-10

F2 · derivative.exercise_price: 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%.

F3 · shares: Represents the cancellation of one-quarter of market share units granted on May 1, 2023 due to the 80% minimum payout factor not being achieved.

F4 · derivative.exercise_date: 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.

Read SEC document
April 01, 2024 Filed Apr 2, 2024 22:45 UTC
Shanahan KarinEVP, Glob. Prod. Dev. & Supply
Exercise / conversionRestricted Stock Units · Derivative 3,306 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000092 · wk-form4_1712097920.xml · derivative · entry 4

Shanahan Karin · CIK 0001917325 · EVP, Glob. Prod. Dev. & Supply

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,613

Underlying: Common Stock, $0.10 par value · 3,306 shares

Expires 2026-04-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: Each restricted stock unit converts into one share of common stock upon vesting.

F1 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning on April 1, 2023.

Read SEC document
April 01, 2024 Filed Apr 2, 2024 22:45 UTC
Shanahan KarinEVP, Glob. Prod. Dev. & Supply
Tax withholdingCommon Stock, $0.10 par value 1,196 $52.99 $63,376.04
Disclosure

SEC source: 0000014272-24-000092 · wk-form4_1712097920.xml · nonDerivative · entry 2

Shanahan Karin · CIK 0001917325 · EVP, Glob. Prod. Dev. & Supply

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,336

F2 · shares: Shares withheld for payment of taxes upon vesting of award.

Read SEC document
April 01, 2024 Filed Apr 2, 2024 22:45 UTC
Shanahan KarinEVP, Glob. Prod. Dev. & Supply
Exercise / conversionCommon Stock, $0.10 par value 3,306 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000092 · wk-form4_1712097920.xml · nonDerivative · entry 1

Shanahan Karin · CIK 0001917325 · EVP, Glob. Prod. Dev. & Supply

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,532

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The restricted stock units vest in four equal annual installments beginning on April 1, 2023.

Read SEC document
March 31, 2024 Filed Apr 2, 2024 22:37 UTC GrantDeferred Share Units · Derivative 645.399 $54.23 $34,999.99
Disclosure

SEC source: 0000014272-24-000080 · wk-form4_1712097420.xml · derivative · entry 1

Arduini Peter J · CIK 0001323134 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,708.649

Underlying: Common Stock, $0.10 par value · 645.399 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
March 31, 2024 Filed Apr 2, 2024 22:38 UTC
Bhatt DeepakDirector
GrantDeferred Share Units · Derivative 161.35 $54.23 $8,750.01
Disclosure

SEC source: 0000014272-24-000082 · wk-form4_1712097482.xml · derivative · entry 1

Bhatt Deepak · CIK 0001934074 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,050.37

Underlying: Common Stock, $0.10 par value · 161.35 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
March 31, 2024 Filed Apr 2, 2024 22:40 UTC GrantDeferred Share Units · Derivative 691.499 $54.23 $37,499.99
Disclosure

SEC source: 0000014272-24-000084 · wk-form4_1712097617.xml · derivative · entry 1

Rice Derica W · CIK 0001359067 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,634.109

Underlying: Common Stock, $0.10 par value · 691.499 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
March 31, 2024 Filed Apr 2, 2024 22:41 UTC GrantDeferred Share Units · Derivative 921.999 $54.23 $50,000.01
Disclosure

SEC source: 0000014272-24-000086 · wk-form4_1712097699.xml · derivative · entry 1

Samuels Theodore R. II · CIK 0001688276 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,858.919

Underlying: Common Stock, $0.10 par value · 921.999 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
March 31, 2024 Filed Apr 2, 2024 22:43 UTC GrantDeferred Share Units · Derivative 691.499 $54.23 $37,499.99
Disclosure

SEC source: 0000014272-24-000088 · wk-form4_1712097783.xml · derivative · entry 1

Storch Gerald L · CIK 0001205004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,158.649

Underlying: Common Stock, $0.10 par value · 691.499 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
March 31, 2024 Filed Apr 2, 2024 22:44 UTC GrantDeferred Share Units · Derivative 645.399 $54.23 $34,999.99
Disclosure

SEC source: 0000014272-24-000090 · wk-form4_1712097842.xml · derivative · entry 1

YALE PHYLLIS R · CIK 0001269070 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,595.249

Underlying: Common Stock, $0.10 par value · 645.399 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.exercise_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F1 · derivative.expiration_date: Each Deferred Share Unit will be converted into a share of common stock upon settlement. The Deferred Share Units become settleable when the reporting person ceases to be a director or at a future date previously specified by the reporting person.

F2 · balance_after: Includes deferred compensation and dividends reinvested under the 1987 Deferred Compensation Plan for Non-Employee Directors.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:42 UTC
Caforio GiovanniDirector · Executive Chair of the Board
Exercise / conversionPerformance Shares · Derivative 142,904 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000052 · wk-form4_1710279706.xml · derivative · entry 14

Caforio Giovanni · CIK 0001533201 · Director · Executive Chair of the Board

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 142,904 shares

Expires 2024-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F12 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2024, subject to a Total Shareholder Return.

F12 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2024, subject to a Total Shareholder Return.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:42 UTC
Caforio GiovanniDirector · Executive Chair of the Board
OtherMarket Share Units · Derivative 23,419 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000052 · wk-form4_1710279706.xml · derivative · entry 13

Caforio Giovanni · CIK 0001533201 · Director · Executive Chair of the Board

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,258

Underlying: Common Stock, $0.10 par value · 23,419 shares

Expires 2027-03-10

F8 · derivative.exercise_price: 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 · shares: Represents the cancellation of one-quarter of market share units granted on March 10, 2023 due to the 80% minimum payout factor not being achieved.

F10 · derivative.exercise_date: Twenty-five percent of these market share units will vest on each of the first, second, third and fourth anniversaries of the grant date.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:42 UTC
Caforio GiovanniDirector · Executive Chair of the Board
OtherMarket Share Units · Derivative 22,214 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000052 · wk-form4_1710279706.xml · derivative · entry 12

Caforio Giovanni · CIK 0001533201 · Director · Executive Chair of the Board

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,429

Underlying: Common Stock, $0.10 par value · 22,214 shares

Expires 2026-03-10

F8 · derivative.exercise_price: 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%.

F9 · shares: Represents the cancellation of one-quarter of market share units granted on March 10, 2022 due to the 80% minimum payout factor not being achieved.

F10 · derivative.exercise_date: Twenty-five percent of these market share units will vest on each of the first, second, third and fourth anniversaries of the grant date.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:42 UTC
Caforio GiovanniDirector · Executive Chair of the Board
Exercise / conversionMarket Share Units · Derivative 23,817 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000052 · wk-form4_1710279706.xml · derivative · entry 11

Caforio Giovanni · CIK 0001533201 · Director · Executive Chair of the Board

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,818

Underlying: Common Stock, $0.10 par value · 23,817 shares

Expires 2025-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_price: 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 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2021.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:42 UTC
Caforio GiovanniDirector · Executive Chair of the Board
Exercise / conversionMarket Share Units · Derivative 23,409 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000052 · wk-form4_1710279706.xml · derivative · entry 10

Caforio Giovanni · CIK 0001533201 · Director · Executive Chair of the Board

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 23,409 shares

Expires 2024-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_price: 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 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2020.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:42 UTC
Caforio GiovanniDirector · Executive Chair of the Board
Tax withholdingCommon Stock, $0.10 par value 47,651 $53.79 $2,563,147.29
Disclosure

SEC source: 0000014272-24-000052 · wk-form4_1710279706.xml · nonDerivative · entry 9

Caforio Giovanni · CIK 0001533201 · Director · Executive Chair of the Board

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 432,266.333

F3 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:42 UTC
Caforio GiovanniDirector · Executive Chair of the Board
OtherCommon Stock, $0.10 par value 49,745 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000052 · wk-form4_1710279706.xml · nonDerivative · entry 8

Caforio Giovanni · CIK 0001533201 · Director · Executive Chair of the Board

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 479,917.333

F6 · shares: 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.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:42 UTC
Caforio GiovanniDirector · Executive Chair of the Board
Exercise / conversionCommon Stock, $0.10 par value 142,904 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000052 · wk-form4_1710279706.xml · nonDerivative · entry 7

Caforio Giovanni · CIK 0001533201 · Director · Executive Chair of the Board

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 529,662.333

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · shares: Amount represents distribution of performance shares earned under the 2020-2022 Long-Term Performance Award.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:42 UTC
Caforio GiovanniDirector · Executive Chair of the Board
Tax withholdingCommon Stock, $0.10 par value 10,084 $53.79 $542,418.36
Disclosure

SEC source: 0000014272-24-000052 · wk-form4_1710279706.xml · nonDerivative · entry 6

Caforio Giovanni · CIK 0001533201 · Director · Executive Chair of the Board

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 386,758.333

F3 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:42 UTC
Caforio GiovanniDirector · Executive Chair of the Board
OtherCommon Stock, $0.10 par value 4,104 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000052 · wk-form4_1710279706.xml · nonDerivative · entry 5

Caforio Giovanni · CIK 0001533201 · Director · Executive Chair of the Board

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 396,842.333

F2 · shares: Adjustment reflects shares disposed upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:42 UTC
Caforio GiovanniDirector · Executive Chair of the Board
Exercise / conversionCommon Stock, $0.10 par value 23,817 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000052 · wk-form4_1710279706.xml · nonDerivative · entry 4

Caforio Giovanni · CIK 0001533201 · Director · Executive Chair of the Board

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 400,946.333

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2021.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:42 UTC
Caforio GiovanniDirector · Executive Chair of the Board
Tax withholdingCommon Stock, $0.10 par value 10,088 $53.79 $542,633.52
Disclosure

SEC source: 0000014272-24-000052 · wk-form4_1710279706.xml · nonDerivative · entry 3

Caforio Giovanni · CIK 0001533201 · Director · Executive Chair of the Board

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 377,129.333

F3 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:42 UTC
Caforio GiovanniDirector · Executive Chair of the Board
OtherCommon Stock, $0.10 par value 3,687 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000052 · wk-form4_1710279706.xml · nonDerivative · entry 2

Caforio Giovanni · CIK 0001533201 · Director · Executive Chair of the Board

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 387,217.333

F2 · shares: Adjustment reflects shares disposed upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:42 UTC
Caforio GiovanniDirector · Executive Chair of the Board
Exercise / conversionCommon Stock, $0.10 par value 23,409 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000052 · wk-form4_1710279706.xml · nonDerivative · entry 1

Caforio Giovanni · CIK 0001533201 · Director · Executive Chair of the Board

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 390,904.333

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2020.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:45 UTC
Hickey BenjaminPresident, RayzeBio Org.
GrantPerformance Shares · Derivative 5,805 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000056 · wk-form4_1710279895.xml · derivative · entry 4

Hickey Benjamin · CIK 0001753055 · President, RayzeBio Org.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,805

Underlying: Common Stock, $0.10 par value · 5,805 shares

Expires 2027-03-10

F3 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2027.

F3 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2027.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:45 UTC
Hickey BenjaminPresident, RayzeBio Org.
GrantMarket Share Units · Derivative 3,870 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000056 · wk-form4_1710279895.xml · derivative · entry 3

Hickey Benjamin · CIK 0001753055 · President, RayzeBio Org.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,870

Underlying: Common Stock, $0.10 par value · 3,870 shares

Expires 2028-03-10

F1 · derivative.exercise_price: 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%.

F2 · derivative.exercise_date: 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.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:43 UTC
Elkins David VEVP, Chief Financial Officer
GrantPerformance Shares · Derivative 62,693 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000054 · wk-form4_1710279797.xml · derivative · entry 17

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,693

Underlying: Common Stock, $0.10 par value · 62,693 shares

Expires 2027-03-10

F14 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2027.

F14 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2027.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:43 UTC
Elkins David VEVP, Chief Financial Officer
Exercise / conversionPerformance Shares · Derivative 48,257 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000054 · wk-form4_1710279797.xml · derivative · entry 16

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 48,257 shares

Expires 2024-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F13 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2024, subject to a Total Shareholder Return.

F13 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2024, subject to a Total Shareholder Return.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:43 UTC
Elkins David VEVP, Chief Financial Officer
GrantMarket Share Units · Derivative 41,796 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000054 · wk-form4_1710279797.xml · derivative · entry 15

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,796

Underlying: Common Stock, $0.10 par value · 41,796 shares

Expires 2028-03-10

F9 · derivative.exercise_price: 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 · derivative.exercise_date: 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.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:43 UTC
Elkins David VEVP, Chief Financial Officer
OtherMarket Share Units · Derivative 7,904 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000054 · wk-form4_1710279797.xml · derivative · entry 14

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,712

Underlying: Common Stock, $0.10 par value · 7,904 shares

Expires 2027-03-10

F9 · derivative.exercise_price: 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%.

F12 · shares: Represents the cancellation of one-quarter of market share units granted on March 10, 2023 due to the 80% minimum payout factor not being achieved.

F11 · derivative.exercise_date: 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.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:43 UTC
Elkins David VEVP, Chief Financial Officer
OtherMarket Share Units · Derivative 7,652 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000054 · wk-form4_1710279797.xml · derivative · entry 13

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,306

Underlying: Common Stock, $0.10 par value · 7,652 shares

Expires 2026-03-10

F9 · derivative.exercise_price: 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%.

F10 · shares: Represents the cancellation of one-quarter of market share units granted on March 10, 2022 due to the 80% minimum payout factor not being achieved.

F11 · derivative.exercise_date: 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.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:43 UTC
Elkins David VEVP, Chief Financial Officer
Exercise / conversionMarket Share Units · Derivative 8,042 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000054 · wk-form4_1710279797.xml · derivative · entry 12

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,045

Underlying: Common Stock, $0.10 par value · 8,042 shares

Expires 2025-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_price: 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 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2021.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:43 UTC
Elkins David VEVP, Chief Financial Officer
Exercise / conversionMarket Share Units · Derivative 8,027 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000054 · wk-form4_1710279797.xml · derivative · entry 11

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 8,027 shares

Expires 2024-03-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_price: 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 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2020.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:43 UTC
Elkins David VEVP, Chief Financial Officer
Tax withholdingCommon Stock, $0.10 par value 13,345 $53.79 $717,827.55
Disclosure

SEC source: 0000014272-24-000054 · wk-form4_1710279797.xml · nonDerivative · entry 9

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 194,968

F3 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:43 UTC
Elkins David VEVP, Chief Financial Officer
OtherCommon Stock, $0.10 par value 16,798 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000054 · wk-form4_1710279797.xml · nonDerivative · entry 8

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 208,313

F6 · shares: 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.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:43 UTC
Elkins David VEVP, Chief Financial Officer
Exercise / conversionCommon Stock, $0.10 par value 48,257 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000054 · wk-form4_1710279797.xml · nonDerivative · entry 7

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 225,111

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · shares: Amount represents distribution of performance shares earned under the 2020-2022 Long-Term Performance Award.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:43 UTC
Elkins David VEVP, Chief Financial Officer
Tax withholdingCommon Stock, $0.10 par value 2,824 $53.79 $151,902.96
Disclosure

SEC source: 0000014272-24-000054 · wk-form4_1710279797.xml · nonDerivative · entry 6

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 176,854

F3 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:43 UTC
Elkins David VEVP, Chief Financial Officer
OtherCommon Stock, $0.10 par value 1,386 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000054 · wk-form4_1710279797.xml · nonDerivative · entry 5

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 179,678

F2 · shares: Adjustment reflects shares disposed upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:43 UTC
Elkins David VEVP, Chief Financial Officer
Exercise / conversionCommon Stock, $0.10 par value 8,042 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000054 · wk-form4_1710279797.xml · nonDerivative · entry 4

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 181,064

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2021.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:43 UTC
Elkins David VEVP, Chief Financial Officer
Tax withholdingCommon Stock, $0.10 par value 2,353 $53.79 $126,567.87
Disclosure

SEC source: 0000014272-24-000054 · wk-form4_1710279797.xml · nonDerivative · entry 3

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 173,022

F3 · shares: Shares withheld for payment of taxes upon vesting of awards.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:43 UTC
Elkins David VEVP, Chief Financial Officer
OtherCommon Stock, $0.10 par value 1,264 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000054 · wk-form4_1710279797.xml · nonDerivative · entry 2

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 175,375

F2 · shares: Adjustment reflects shares disposed upon the vesting of market share units due to the performance factor.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:43 UTC
Elkins David VEVP, Chief Financial Officer
Exercise / conversionCommon Stock, $0.10 par value 8,027 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000054 · wk-form4_1710279797.xml · nonDerivative · entry 1

Elkins David V · CIK 0001451604 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 176,639

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents vesting of one-quarter of market share units granted on March 10, 2020.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:46 UTC
Meyers Gregory ScottEVP, Chief Digital & Tech Off.
GrantPerformance Shares · Derivative 29,025 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000058 · wk-form4_1710279979.xml · derivative · entry 5

Meyers Gregory Scott · CIK 0001908769 · EVP, Chief Digital & Tech Off.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,025

Underlying: Common Stock, $0.10 par value · 29,025 shares

Expires 2027-03-10

F5 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2027.

F5 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2027.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:46 UTC
Meyers Gregory ScottEVP, Chief Digital & Tech Off.
GrantMarket Share Units · Derivative 19,350 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000058 · wk-form4_1710279979.xml · derivative · entry 4

Meyers Gregory Scott · CIK 0001908769 · EVP, Chief Digital & Tech Off.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,350

Underlying: Common Stock, $0.10 par value · 19,350 shares

Expires 2028-03-10

F1 · derivative.exercise_price: 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%.

F3 · derivative.exercise_date: 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.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:46 UTC
Meyers Gregory ScottEVP, Chief Digital & Tech Off.
OtherMarket Share Units · Derivative 3,293 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000058 · wk-form4_1710279979.xml · derivative · entry 3

Meyers Gregory Scott · CIK 0001908769 · EVP, Chief Digital & Tech Off.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,880

Underlying: Common Stock, $0.10 par value · 3,293 shares

Expires 2027-03-10

F1 · derivative.exercise_price: 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%.

F4 · shares: Represents the cancellation of one-quarter of market share units granted on March 10, 2023 due to the 80% minimum payout factor not being achieved.

F3 · derivative.exercise_date: 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.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:46 UTC
Meyers Gregory ScottEVP, Chief Digital & Tech Off.
OtherMarket Share Units · Derivative 2,836 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000058 · wk-form4_1710279979.xml · derivative · entry 2

Meyers Gregory Scott · CIK 0001908769 · EVP, Chief Digital & Tech Off.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,675

Underlying: Common Stock, $0.10 par value · 2,836 shares

Expires 2026-03-10

F1 · derivative.exercise_price: 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%.

F2 · shares: Represents the cancellation of one-quarter of market share units granted on March 10, 2022 due to the 80% minimum payout factor not being achieved.

F3 · derivative.exercise_date: 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.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:50 UTC
Shanahan KarinEVP, Glob. Prod. Dev. & Supply
GrantPerformance Shares · Derivative 34,830 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000060 · wk-form4_1710280224.xml · derivative · entry 6

Shanahan Karin · CIK 0001917325 · EVP, Glob. Prod. Dev. & Supply

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,830

Underlying: Common Stock, $0.10 par value · 34,830 shares

Expires 2027-03-10

F6 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2027.

F6 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2027.

Read SEC document
March 10, 2024 Filed Mar 12, 2024 21:50 UTC
Shanahan KarinEVP, Glob. Prod. Dev. & Supply
GrantMarket Share Units · Derivative 23,220 $0.00 $0.00
Disclosure

SEC source: 0000014272-24-000060 · wk-form4_1710280224.xml · derivative · entry 5

Shanahan Karin · CIK 0001917325 · EVP, Glob. Prod. Dev. & Supply

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,220

Underlying: Common Stock, $0.10 par value · 23,220 shares

Expires 2028-03-10

F2 · derivative.exercise_price: 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%.

F4 · derivative.exercise_date: 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.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.