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BRISTOL MYERS SQUIBB CO

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SEC CIK
0000014272
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2,253

Last 12 months

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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
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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
March 07, 2013 Filed Mar 11, 2013 20:43 UTC
DANIELS BRIANSVP Global Dev & Med Affairs
Exercise / conversionCommon Stock, $0.10 par value 3,812 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007232 · doc4.xml · nonDerivative · entry 2

DANIELS BRIAN · CIK 0001428698 · SVP Global Dev & Med Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,230.041

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.

F2 · shares: Represents vesting of one-quarter of market share units granted on March 2, 2010. The balance of the award is scheduled to vest on the fourth anniversary of the grant date.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:43 UTC
DANIELS BRIANSVP Global Dev & Med Affairs
Exercise / conversionCommon Stock, $0.10 par value 31,546 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007232 · doc4.xml · nonDerivative · entry 1

DANIELS BRIAN · CIK 0001428698 · SVP Global Dev & Med Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,418.041

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 distribution of performance shares earned under the 2010-2012 Long-Term Performance Award.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:44 UTC
LEUNG SANDRAGeneral Counsel & Secretary
OtherPerformance Shares · Derivative 534.9454 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007233 · doc4.xml · derivative · entry 22

LEUNG SANDRA · CIK 0001199294 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,936.9454

Underlying: Common Stock, $0.10 par value · 534.9454 shares

Expires 2015-03-31

F21 · derivative.exercise_price: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2015.

F22 · shares: Represents dividend equivalents earned under the 2012-2014 Long-Term Performance Award.

F21 · derivative.exercise_date: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2015.

F21 · derivative.expiration_date: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2015.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:44 UTC
LEUNG SANDRAGeneral Counsel & Secretary
GrantPerformance Shares · Derivative 13,402 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007233 · doc4.xml · derivative · entry 21

LEUNG SANDRA · CIK 0001199294 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,402

Underlying: Common Stock, $0.10 par value · 13,402 shares

Expires 2015-03-31

F19 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2015.

F20 · shares: Represents performance shares earned under the 2012-2014 Long-Term Performance Award.

F19 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2015.

F19 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2015.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:44 UTC
LEUNG SANDRAGeneral Counsel & Secretary
OtherPerformance Shares · Derivative 1,561.3678 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007233 · doc4.xml · derivative · entry 20

LEUNG SANDRA · CIK 0001199294 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,678.3678

Underlying: Common Stock, $0.10 par value · 1,561.3678 shares

Expires 2014-03-31

F17 · derivative.exercise_price: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2014.

F18 · shares: Represents dividend equivalents earned under the 2011-2013 Long-Term Performance Award.

F17 · derivative.exercise_date: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2014.

F17 · derivative.expiration_date: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2014.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:44 UTC
LEUNG SANDRAGeneral Counsel & Secretary
GrantPerformance Shares · Derivative 17,645 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007233 · doc4.xml · derivative · entry 19

LEUNG SANDRA · CIK 0001199294 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,117

Underlying: Common Stock, $0.10 par value · 17,645 shares

Expires 2014-03-31

F15 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2014.

F16 · shares: Represents performance shares earned under the 2011-2013 Long-Term Performance Award.

F15 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2014.

F15 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2014.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:44 UTC
LEUNG SANDRAGeneral Counsel & Secretary
Exercise / conversionPerformance Shares · Derivative 60,857 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007233 · doc4.xml · derivative · entry 18

LEUNG SANDRA · CIK 0001199294 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 60,857 shares

Expires not disclosed

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.

F11 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2013.

F1 · shares: Represents distribution of performance shares earned under the 2010-2012 Long-Term Performance Award.

F11 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2013.

F11 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2013.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:44 UTC
LEUNG SANDRAGeneral Counsel & Secretary
OtherPerformance Shares · Derivative 2,334.2364 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007233 · doc4.xml · derivative · entry 17

LEUNG SANDRA · CIK 0001199294 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,857

Underlying: Common Stock, $0.10 par value · 2,334.2364 shares

Expires not disclosed

F13 · derivative.exercise_price: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2013.

F14 · shares: Represents dividend equivalents earned under the 2010-2012 Long-Term Performance Award.

F13 · derivative.exercise_date: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2013.

F13 · derivative.expiration_date: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2013.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:44 UTC
LEUNG SANDRAGeneral Counsel & Secretary
GrantPerformance Shares · Derivative 17,687 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007233 · doc4.xml · derivative · entry 16

LEUNG SANDRA · CIK 0001199294 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,522.7636

Underlying: Common Stock, $0.10 par value · 17,687 shares

Expires not disclosed

F11 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2013.

F12 · shares: Represents performance shares earned under the 2010-2012 Long-Term Performance Award.

F11 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2013.

F11 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2013.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:44 UTC
LEUNG SANDRAGeneral Counsel & Secretary
Exercise / conversionMarket Share Units · Derivative 5,573 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007233 · doc4.xml · derivative · entry 15

LEUNG SANDRA · CIK 0001199294 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,720

Underlying: Common Stock, $0.10 par value · 5,573 shares

Expires 2016-03-06

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.

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 60% and the maximum payout factor is 200%.

F4 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 6, 2012. The balance of the award is scheduled to vest in three equal installments on the second, third, and fourth anniversaries of the grant date.

F4 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 6, 2012. The balance of the award is scheduled to vest in three equal installments on the second, third, and fourth anniversaries of the grant date.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:44 UTC
LEUNG SANDRAGeneral Counsel & Secretary
Exercise / conversionMarket Share Units · Derivative 7,418 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007233 · doc4.xml · derivative · entry 14

LEUNG SANDRA · CIK 0001199294 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,191

Underlying: Common Stock, $0.10 par value · 7,418 shares

Expires not disclosed

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.

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 60% and the maximum payout factor is 200%.

F2 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 1, 2011. The balance of the award is scheduled to vest in two equal installments on the third and fourth anniversaries of the grant date.

F2 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 1, 2011. The balance of the award is scheduled to vest in two equal installments on the third and fourth anniversaries of the grant date.

F10 · balance_after: Represents an aggregate of the derivative securities beneficially owned under the awards granted on March 2, 2010 and March 1, 2011.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:44 UTC
LEUNG SANDRAGeneral Counsel & Secretary
Exercise / conversionMarket Share Units · Derivative 7,355 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007233 · doc4.xml · derivative · entry 13

LEUNG SANDRA · CIK 0001199294 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,609

Underlying: Common Stock, $0.10 par value · 7,355 shares

Expires not disclosed

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.

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 60% and the maximum payout factor is 200%.

F3 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 2, 2010. The balance of the award is scheduled to vest on the fourth anniversary of the grant date.

F3 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 2, 2010. The balance of the award is scheduled to vest on the fourth anniversary of the grant date.

F10 · balance_after: Represents an aggregate of the derivative securities beneficially owned under the awards granted on March 2, 2010 and March 1, 2011.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:44 UTC
LEUNG SANDRAGeneral Counsel & Secretary
Tax withholdingCommon Stock, $0.10 par value 31,557 $37.53 $1,184,334.21
Disclosure

SEC source: 0001225208-13-007233 · doc4.xml · nonDerivative · entry 11

LEUNG SANDRA · CIK 0001199294 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,345

F7 · shares: Shares withheld for payment of taxes upon distribution of the 2010-2012 Long-Term Performance Award.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:44 UTC
LEUNG SANDRAGeneral Counsel & Secretary
Tax withholdingCommon Stock, $0.10 par value 5,682 $37.53 $213,245.46
Disclosure

SEC source: 0001225208-13-007233 · doc4.xml · nonDerivative · entry 10

LEUNG SANDRA · CIK 0001199294 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,902

F6 · shares: Shares withheld for payment of taxes upon vesting of market share units.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:44 UTC
LEUNG SANDRAGeneral Counsel & Secretary
Tax withholdingCommon Stock, $0.10 par value 3,980 $37.53 $149,369.40
Disclosure

SEC source: 0001225208-13-007233 · doc4.xml · nonDerivative · entry 9

LEUNG SANDRA · CIK 0001199294 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,584

F6 · shares: Shares withheld for payment of taxes upon vesting of market share units.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:44 UTC
LEUNG SANDRAGeneral Counsel & Secretary
Tax withholdingCommon Stock, $0.10 par value 3,289 $37.53 $123,436.17
Disclosure

SEC source: 0001225208-13-007233 · doc4.xml · nonDerivative · entry 8

LEUNG SANDRA · CIK 0001199294 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,564

F6 · shares: Shares withheld for payment of taxes upon vesting of market share units.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:44 UTC
LEUNG SANDRAGeneral Counsel & Secretary
OtherCommon Stock, $0.10 par value 770 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007233 · doc4.xml · nonDerivative · entry 7

LEUNG SANDRA · CIK 0001199294 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,853

F5 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:44 UTC
LEUNG SANDRAGeneral Counsel & Secretary
OtherCommon Stock, $0.10 par value 3,265 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007233 · doc4.xml · nonDerivative · entry 6

LEUNG SANDRA · CIK 0001199294 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,083

F5 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:44 UTC
LEUNG SANDRAGeneral Counsel & Secretary
OtherCommon Stock, $0.10 par value 3,633 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007233 · doc4.xml · nonDerivative · entry 5

LEUNG SANDRA · CIK 0001199294 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 231,818

F5 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:44 UTC
LEUNG SANDRAGeneral Counsel & Secretary
Exercise / conversionCommon Stock, $0.10 par value 5,573 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007233 · doc4.xml · nonDerivative · entry 4

LEUNG SANDRA · CIK 0001199294 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,185

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 6, 2012. The balance of the award is scheduled to vest in three equal installments on the second, third, and fourth anniversaries of the grant date.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:44 UTC
LEUNG SANDRAGeneral Counsel & Secretary
Exercise / conversionCommon Stock, $0.10 par value 7,355 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007233 · doc4.xml · nonDerivative · entry 3

LEUNG SANDRA · CIK 0001199294 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,612

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.

F3 · shares: Represents vesting of one-quarter of market share units granted on March 2, 2010. The balance of the award is scheduled to vest on the fourth anniversary of the grant date.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:44 UTC
LEUNG SANDRAGeneral Counsel & Secretary
Exercise / conversionCommon Stock, $0.10 par value 7,418 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007233 · doc4.xml · nonDerivative · entry 2

LEUNG SANDRA · CIK 0001199294 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,257

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.

F2 · shares: Represents vesting of one-quarter of market share units granted on March 1, 2011. The balance of the award is scheduled to vest in two equal installments on the third and fourth anniversaries of the grant date.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:44 UTC
LEUNG SANDRAGeneral Counsel & Secretary
Exercise / conversionCommon Stock, $0.10 par value 60,857 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007233 · doc4.xml · nonDerivative · entry 1

LEUNG SANDRA · CIK 0001199294 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,839

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 distribution of performance shares earned under the 2010-2012 Long-Term Performance Award.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
OtherPerformance Shares · Derivative 702.909 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · derivative · entry 25

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,312.909

Underlying: Common Stock, $0.10 par value · 702.909 shares

Expires 2015-03-31

F23 · derivative.exercise_price: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2015.

F24 · shares: Represents dividend equivalents earned under the 2012-2014 Long-Term Performance Award.

F23 · derivative.exercise_date: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2015.

F23 · derivative.expiration_date: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2015.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
GrantPerformance Shares · Derivative 17,610 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · derivative · entry 24

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,610

Underlying: Common Stock, $0.10 par value · 17,610 shares

Expires 2015-03-31

F21 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2015.

F22 · shares: Represents performance shares earned under the 2012-2014 Long-Term Performance Award.

F21 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2015.

F21 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2015.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
OtherPerformance Shares · Derivative 1,975.6888 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · derivative · entry 23

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,472.6888

Underlying: Common Stock, $0.10 par value · 1,975.6888 shares

Expires 2014-03-31

F19 · derivative.exercise_price: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2014.

F20 · shares: Represents dividend equivalents earned under the 2011-2013 Long-Term Performance Award.

F19 · derivative.exercise_date: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2014.

F19 · derivative.expiration_date: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2014.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
GrantPerformance Shares · Derivative 22,326 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · derivative · entry 22

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,497

Underlying: Common Stock, $0.10 par value · 22,326 shares

Expires 2014-03-31

F17 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2014.

F18 · shares: Represents performance shares earned under the 2011-2013 Long-Term Performance Award.

F17 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2014.

F17 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2014.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
Exercise / conversionPerformance Shares · Derivative 56,180 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · derivative · entry 21

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 56,180 shares

Expires not disclosed

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 2013.

F1 · shares: Represents distribution of performance shares earned under the 2010-2012 Long-Term Performance Award.

F13 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2013.

F13 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2013.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
OtherPerformance Shares · Derivative 2,156.5345 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · derivative · entry 20

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,180

Underlying: Common Stock, $0.10 par value · 2,156.5345 shares

Expires not disclosed

F15 · derivative.exercise_price: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2013.

F16 · shares: Represents dividend equivalents earned under the 2010-2012 Long-Term Performance Award.

F15 · derivative.exercise_date: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2013.

F15 · derivative.expiration_date: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2013.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
GrantPerformance Shares · Derivative 16,327 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · derivative · entry 19

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,023.4655

Underlying: Common Stock, $0.10 par value · 16,327 shares

Expires not disclosed

F13 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2013.

F14 · shares: Represents performance shares earned under the 2010-2012 Long-Term Performance Award.

F13 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2013.

F13 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2013.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
Exercise / conversionOption (right to buy) · Derivative 100,000 $0.00 Strike: $24.74 $0.00
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · derivative · entry 18

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.10 par value · 100,000 shares

Expires 2016-11-30

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 · shares: One-third of the stock option award vested on each of the third, fourth, and fifth anniversaries of the grant date, which was December 1, 2006.

F12 · derivative.exercise_date: One-third of the stock option award vested on each of the third, fourth, and fifth anniversaries of the grant date, which was December 1, 2006.

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March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
Exercise / conversionMarket Share Units · Derivative 7,323 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · derivative · entry 17

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,970

Underlying: Common Stock, $0.10 par value · 7,323 shares

Expires 2016-03-06

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.

F10 · 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%.

F3 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 6, 2012. The balance of the award is scheduled to vest in three equal installments on the second, third, and fourth anniversaries of the grant date.

F3 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 6, 2012. The balance of the award is scheduled to vest in three equal installments on the second, third, and fourth anniversaries of the grant date.

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March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
Exercise / conversionMarket Share Units · Derivative 9,386 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · derivative · entry 16

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,561

Underlying: Common Stock, $0.10 par value · 9,386 shares

Expires not disclosed

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.

F10 · 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%.

F2 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 1, 2011. The balance of the award is scheduled to vest in two equal installments on the third and fourth anniversaries of the grant date.

F2 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 1, 2011. The balance of the award is scheduled to vest in two equal installments on the third and fourth anniversaries of the grant date.

F11 · balance_after: Represents an aggregate of the derivative securities beneficially owned under the awards granted on March 2, 2010 and March 1, 2011.

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March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
Exercise / conversionMarket Share Units · Derivative 6,789 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · derivative · entry 15

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,947

Underlying: Common Stock, $0.10 par value · 6,789 shares

Expires not disclosed

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.

F10 · 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 2, 2010. The balance of the award is scheduled to vest on the fourth anniversary of the grant date.

F4 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 2, 2010. The balance of the award is scheduled to vest on the fourth anniversary of the grant date.

F11 · balance_after: Represents an aggregate of the derivative securities beneficially owned under the awards granted on March 2, 2010 and March 1, 2011.

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March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
SaleCommon Stock, $0.10 par value 83,750 $37.61 $3,149,837.50
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · nonDerivative · entry 13

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 266,244.93

F8 · shares: Shares sold to cover exercise price and taxes in accordance with broker's procedures for sell-to-cover transactions upon exercise of an option. The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $37.60 to $37.64, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

F8 · price: Shares sold to cover exercise price and taxes in accordance with broker's procedures for sell-to-cover transactions upon exercise of an option. The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $37.60 to $37.64, inclusive. The reporting person undertakes to provide to the SEC staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
Tax withholdingCommon Stock, $0.10 par value 29,132 $37.53 $1,093,323.96
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · nonDerivative · entry 12

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 349,994.93

F7 · shares: Shares withheld for payment of taxes upon distribution of the 2010-2012 Long-Term Performance Award.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
Tax withholdingCommon Stock, $0.10 par value 7,009 $37.53 $263,047.77
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · nonDerivative · entry 11

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 379,126.93

F6 · shares: Shares withheld for payment of taxes upon vesting of market share units.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
Tax withholdingCommon Stock, $0.10 par value 5,259 $37.53 $197,370.27
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · nonDerivative · entry 10

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 386,135.93

F6 · shares: Shares withheld for payment of taxes upon vesting of market share units.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
Tax withholdingCommon Stock, $0.10 par value 4,322 $37.53 $162,204.66
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · nonDerivative · entry 9

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 391,394.93

F6 · shares: Shares withheld for payment of taxes upon vesting of market share units.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
OtherCommon Stock, $0.10 par value 1,012 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · nonDerivative · entry 8

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 395,716.93

F5 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
OtherCommon Stock, $0.10 par value 3,353 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · nonDerivative · entry 7

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 394,704.93

F5 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
OtherCommon Stock, $0.10 par value 4,131 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · nonDerivative · entry 6

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 391,351.93

F5 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
Exercise / conversionCommon Stock, $0.10 par value 6,789 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · nonDerivative · entry 5

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 387,220.93

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 2, 2010. The balance of the award is scheduled to vest on the fourth anniversary of the grant date.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
Exercise / conversionCommon Stock, $0.10 par value 7,323 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · nonDerivative · entry 4

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 380,431.93

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.

F3 · shares: Represents vesting of one-quarter of market share units granted on March 6, 2012. The balance of the award is scheduled to vest in three equal installments on the second, third, and fourth anniversaries of the grant date.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
Exercise / conversionCommon Stock, $0.10 par value 9,386 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · nonDerivative · entry 3

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 373,108.93

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.

F2 · shares: Represents vesting of one-quarter of market share units granted on March 1, 2011. The balance of the award is scheduled to vest in two equal installments on the third and fourth anniversaries of the grant date.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
Exercise / conversionCommon Stock, $0.10 par value 56,180 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · nonDerivative · entry 2

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 363,722.93

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 distribution of performance shares earned under the 2010-2012 Long-Term Performance Award.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Cazala Beatrice JEVP Commercial Operations
Exercise / conversionCommon Stock, $0.10 par value 100,000 $24.74 $2,474,000.00
Disclosure

SEC source: 0001225208-13-007235 · doc4.xml · nonDerivative · entry 1

Cazala Beatrice J · CIK 0001457948 · EVP Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 307,542.93

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.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Caforio GiovanniPres., US Pharmaceuticals
OtherPerformance Shares · Derivative 277.292 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007236 · doc4.xml · derivative · entry 21

Caforio Giovanni · CIK 0001533201 · Pres., US Pharmaceuticals

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,224.292

Underlying: Common Stock, $0.10 par value · 277.292 shares

Expires 2015-03-31

F19 · derivative.exercise_price: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2015.

F20 · shares: Represents dividend equivalents earned under the 2012-2014 Long-Term Performance Award.

F19 · derivative.exercise_date: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2015.

F19 · derivative.expiration_date: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2015.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Caforio GiovanniPres., US Pharmaceuticals
GrantPerformance Shares · Derivative 6,947 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007236 · doc4.xml · derivative · entry 20

Caforio Giovanni · CIK 0001533201 · Pres., US Pharmaceuticals

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,947

Underlying: Common Stock, $0.10 par value · 6,947 shares

Expires 2015-03-31

F17 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2015.

F18 · shares: Represents performance shares earned under the 2012-2014 Long-Term Performance Award.

F17 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2015.

F17 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2015.

Read SEC document
March 07, 2013 Filed Mar 11, 2013 20:47 UTC
Caforio GiovanniPres., US Pharmaceuticals
OtherPerformance Shares · Derivative 314.4128 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-007236 · doc4.xml · derivative · entry 19

Caforio Giovanni · CIK 0001533201 · Pres., US Pharmaceuticals

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,191.4128

Underlying: Common Stock, $0.10 par value · 314.4128 shares

Expires 2014-03-31

F15 · derivative.exercise_price: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2014.

F16 · shares: Represents dividend equivalents earned under the 2011-2013 Long-Term Performance Award.

F15 · derivative.exercise_date: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2014.

F15 · derivative.expiration_date: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2014.

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.