Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BRISTOL MYERS SQUIBB COBMY · Entity 1662 | SVP & Controller | September 06, 2017 | September 08, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
BRISTOL MYERS SQUIBB CO
Report date September 06, 2017 · Filed September 08, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.10 par valueSEC Table I · non-derivative | Direct | 46,297.083 |
Reported balance
After 2017-09-06 transaction · row 1
1 source rowRow 1 · 2017-09-06 · Sale · Disposed 9,340 · Balance 46,297.083 |
| Common Stock, $0.10 par valueSEC Table I · non-derivative | IndirectBy BMY Savings and Investment Program | 1,779.017 |
Reported balance
Holding disclosure · report date 2017-09-06 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 1,779.017 F1: Based on a plan statement as of the end of the most recent fiscal quarter |
Filing footnotes · ownership attribution and instrument terms
F1: Based on a plan statement as of the end of the most recent fiscal quarter
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 03, 2014 Filed Mar 5, 2014 21:36 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Tax withholdingCommon Stock, $0.10 par value | 2,770 | $53.49 | $148,167.30 |
DisclosureSEC source: 0000014272-14-000085 · wf-form4_139405537427940.xml · nonDerivative · entry 6 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,090 F3 · shares: Shares withheld for payment of taxes upon vesting of awards. Read SEC document |
| March 03, 2014 Filed Mar 5, 2014 21:36 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | OtherCommon Stock, $0.10 par value | 2,474 | $0.00 | $0.00 |
DisclosureSEC source: 0000014272-14-000085 · wf-form4_139405537427940.xml · nonDerivative · entry 5 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,860 F2 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor. Read SEC document |
| March 03, 2014 Filed Mar 5, 2014 21:36 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionCommon Stock, $0.10 par value | 2,474 | $0.00 | $0.00 |
DisclosureSEC source: 0000014272-14-000085 · wf-form4_139405537427940.xml · nonDerivative · entry 4 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,386 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 1, 2011. Read SEC document |
| March 03, 2014 Filed Mar 5, 2014 21:36 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Tax withholdingCommon Stock, $0.10 par value | 1,981 | $53.49 | $105,963.69 |
DisclosureSEC source: 0000014272-14-000085 · wf-form4_139405537427940.xml · nonDerivative · entry 3 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,912 F3 · shares: Shares withheld for payment of taxes upon vesting of awards. Read SEC document |
| March 03, 2014 Filed Mar 5, 2014 21:36 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | OtherCommon Stock, $0.10 par value | 1,769 | $0.00 | $0.00 |
DisclosureSEC source: 0000014272-14-000085 · wf-form4_139405537427940.xml · nonDerivative · entry 2 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,893 F2 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor. Read SEC document |
| March 03, 2014 Filed Mar 5, 2014 21:36 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionCommon Stock, $0.10 par value | 1,769 | $0.00 | $0.00 |
DisclosureSEC source: 0000014272-14-000085 · wf-form4_139405537427940.xml · nonDerivative · entry 1 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,124 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 2, 2010. Read SEC document |
| February 06, 2014 Filed Feb 6, 2014 22:28 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionOption (right to buy) · Derivative | 15,584 | $0.00 Strike: $17.51 | $0.00 |
DisclosureSEC source: 0000014272-14-000048 · wf-form4_139172572240390.xml · derivative · entry 5 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock, $0.10 par value · 15,584 shares Expires 2019-03-02 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 · derivative.exercise_date: Twenty-five percent of the stock option award vested on each of the first, second, third, and fourth anniversaries of the grant date, which was March 3, 2009. Read SEC document |
| February 06, 2014 Filed Feb 6, 2014 22:28 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionOption (right to buy) · Derivative | 10,900 | $0.00 Strike: $22.14 | $0.00 |
DisclosureSEC source: 0000014272-14-000048 · wf-form4_139172572240390.xml · derivative · entry 4 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $0.10 par value · 10,900 shares Expires 2018-03-03 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 · derivative.exercise_date: Twenty-five percent of the stock option award vested on each of the first, second, third, and fourth anniversaries of the grant date, which was March 4, 2008. Read SEC document |
| February 06, 2014 Filed Feb 6, 2014 22:28 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | SaleCommon Stock, $0.10 par value | 35,471 | $48.90 | $1,734,457.41 |
DisclosureSEC source: 0000014272-14-000048 · wf-form4_139172572240390.xml · nonDerivative · entry 3 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,355 F1 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $48.87 to $48.94, 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 |
| February 06, 2014 Filed Feb 6, 2014 22:28 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionCommon Stock, $0.10 par value | 15,584 | $17.51 | $272,875.84 |
DisclosureSEC source: 0000014272-14-000048 · wf-form4_139172572240390.xml · nonDerivative · entry 2 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,826 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 |
| February 06, 2014 Filed Feb 6, 2014 22:28 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionCommon Stock, $0.10 par value | 10,900 | $22.14 | $241,326.00 |
DisclosureSEC source: 0000014272-14-000048 · wf-form4_139172572240390.xml · nonDerivative · entry 1 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,242 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 |
| June 06, 2013 Filed Jun 6, 2013 20:31 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionOption (right to buy) · Derivative | 25,000 | $0.00 Strike: $22.14 | $0.00 |
DisclosureSEC source: 0001225208-13-014060 · doc4.xml · derivative · entry 4 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,900 Underlying: Common Stock, $0.10 par value · 25,000 shares Expires 2018-03-03 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 · derivative.exercise_date: Twenty-five percent of the stock option award vested on each of the first, second, third, and fourth anniversaries of the grant date, which was March 4, 2008. F3 · derivative.expiration_date: Twenty-five percent of the stock option award vested on each of the first, second, third, and fourth anniversaries of the grant date, which was March 4, 2008. Read SEC document |
| June 06, 2013 Filed Jun 6, 2013 20:31 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | SaleCommon Stock, $0.10 par value | 26,275 | $46.53 | $1,222,575.75 |
DisclosureSEC source: 0001225208-13-014060 · doc4.xml · nonDerivative · entry 2 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,342 F1 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $46.52 to $46.58, 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 |
| June 06, 2013 Filed Jun 6, 2013 20:31 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionCommon Stock, $0.10 par value | 25,000 | $22.14 | $553,500.00 |
DisclosureSEC source: 0001225208-13-014060 · doc4.xml · nonDerivative · entry 1 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,617 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 10, 2013 Filed Mar 11, 2013 21:03 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantMarket Share Units · Derivative | 7,403 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-007257 · doc4.xml · derivative · entry 1 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,403 Underlying: Common Stock, $0.10 par value · 7,403 shares Expires 2017-03-10 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 60% and the maximum payout factor is 200%. 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. F2 · derivative.expiration_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 07, 2013 Filed Mar 11, 2013 20:40 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | OtherPerformance Shares · Derivative | 185.2871 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-007230 · doc4.xml · derivative · entry 22 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,827.2871 Underlying: Common Stock, $0.10 par value · 185.2871 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 20:40 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantPerformance Shares · Derivative | 4,642 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-007230 · doc4.xml · derivative · entry 21 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,642 Underlying: Common Stock, $0.10 par value · 4,642 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 20:40 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | OtherPerformance Shares · Derivative | 520.8551 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-007230 · doc4.xml · derivative · entry 20 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,569.8551 Underlying: Common Stock, $0.10 par value · 520.8551 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 20:40 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantPerformance Shares · Derivative | 5,886 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-007230 · doc4.xml · derivative · entry 19 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,049 Underlying: Common Stock, $0.10 par value · 5,886 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 20:40 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionPerformance Shares · Derivative | 14,634 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-007230 · doc4.xml · derivative · entry 18 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $0.10 par value · 14,634 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 20:40 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | OtherPerformance Shares · Derivative | 560.9136 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-007230 · doc4.xml · derivative · entry 17 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,634 Underlying: Common Stock, $0.10 par value · 560.9136 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 20:40 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantPerformance Shares · Derivative | 4,254 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-007230 · doc4.xml · derivative · entry 16 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,073.0864 Underlying: Common Stock, $0.10 par value · 4,254 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 20:40 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionMarket Share Units · Derivative | 1,930 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-007230 · doc4.xml · derivative · entry 15 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,793 Underlying: Common Stock, $0.10 par value · 1,930 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%. 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. Read SEC document |
| March 07, 2013 Filed Mar 11, 2013 20:40 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionMarket Share Units · Derivative | 2,475 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-007230 · doc4.xml · derivative · entry 14 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,718 Underlying: Common Stock, $0.10 par value · 2,475 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 20:40 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionMarket Share Units · Derivative | 1,769 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-007230 · doc4.xml · derivative · entry 13 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,193 Underlying: Common Stock, $0.10 par value · 1,769 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%. 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. 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 20:40 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Tax withholdingCommon Stock, $0.10 par value | 7,719 | $37.53 | $289,694.07 |
DisclosureSEC source: 0001225208-13-007230 · doc4.xml · nonDerivative · entry 11 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,617 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 20:40 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Tax withholdingCommon Stock, $0.10 par value | 1,475 | $37.53 | $55,356.75 |
DisclosureSEC source: 0001225208-13-007230 · doc4.xml · nonDerivative · entry 10 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,336 F6 · shares: Shares withheld for payment of taxes upon vesting of market share units. Read SEC document |
| March 07, 2013 Filed Mar 11, 2013 20:40 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Tax withholdingCommon Stock, $0.10 par value | 1,094 | $37.53 | $41,057.82 |
DisclosureSEC source: 0001225208-13-007230 · doc4.xml · nonDerivative · entry 9 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,811 F6 · shares: Shares withheld for payment of taxes upon vesting of market share units. Read SEC document |
| March 07, 2013 Filed Mar 11, 2013 20:40 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Tax withholdingCommon Stock, $0.10 par value | 909 | $37.53 | $34,114.77 |
DisclosureSEC source: 0001225208-13-007230 · doc4.xml · nonDerivative · entry 8 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,905 F6 · shares: Shares withheld for payment of taxes upon vesting of market share units. Read SEC document |
| March 07, 2013 Filed Mar 11, 2013 20:40 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | OtherCommon Stock, $0.10 par value | 267 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-007230 · doc4.xml · nonDerivative · entry 7 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,814 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 20:40 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | OtherCommon Stock, $0.10 par value | 874 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-007230 · doc4.xml · nonDerivative · entry 6 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,547 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 20:40 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | OtherCommon Stock, $0.10 par value | 1,089 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-007230 · doc4.xml · nonDerivative · entry 5 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,673 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 20:40 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionCommon Stock, $0.10 par value | 1,769 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-007230 · doc4.xml · nonDerivative · entry 4 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,584 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 20:40 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionCommon Stock, $0.10 par value | 1,930 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-007230 · doc4.xml · nonDerivative · entry 3 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,815 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 20:40 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionCommon Stock, $0.10 par value | 2,475 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-007230 · doc4.xml · nonDerivative · entry 2 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,885 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 20:40 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionCommon Stock, $0.10 par value | 14,634 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-007230 · doc4.xml · nonDerivative · entry 1 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,410 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 03, 2013 Filed Mar 5, 2013 21:26 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionRestricted Stock Units · Derivative | 2,379 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-006627 · doc4.xml · derivative · entry 4 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $0.10 par value · 2,379 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. F4 · derivative.exercise_price: Each restricted stock unit converts into one share of common stock upon vesting. F1 · derivative.exercise_date: Represents vesting of one-quarter of restricted stock units granted on March 3, 2009. This is the final vesting of this award. F1 · derivative.expiration_date: Represents vesting of one-quarter of restricted stock units granted on March 3, 2009. This is the final vesting of this award. Read SEC document |
| March 03, 2013 Filed Mar 5, 2013 21:26 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Tax withholdingCommon Stock, $0.10 par value | 985 | $37.15 | $36,592.75 |
DisclosureSEC source: 0001225208-13-006627 · doc4.xml · nonDerivative · entry 2 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,776 F2 · shares: Shares withheld for payment of taxes upon vesting of restricted stock units. Read SEC document |
| March 03, 2013 Filed Mar 5, 2013 21:26 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionCommon Stock, $0.10 par value | 2,379 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-006627 · doc4.xml · nonDerivative · entry 1 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,761 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 restricted stock units granted on March 3, 2009. This is the final vesting of this award. Read SEC document |
| February 20, 2013 Filed Feb 20, 2013 21:12 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionOption (right to buy) · Derivative | 17,710 | $0.00 Strike: $22.73 | $0.00 |
DisclosureSEC source: 0001225208-13-004681 · doc4.xml · derivative · entry 6 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $0.10 par value · 17,710 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. F4 · derivative.exercise_date: Twenty-five percent of the stock option award vested on each of the first, second, third, and fourth anniversaries of the grant date, which was March 7, 2006. Read SEC document |
| February 20, 2013 Filed Feb 20, 2013 21:12 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionOption (right to buy) · Derivative | 22,598 | $0.00 Strike: $27.01 | $0.00 |
DisclosureSEC source: 0001225208-13-004681 · doc4.xml · derivative · entry 5 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $0.10 par value · 22,598 shares Expires 2017-03-05 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 · derivative.exercise_date: Twenty-five percent of the stock option award vested on each of the first, second, third, and fourth anniversaries of the grant date, which was March 6, 2007. Read SEC document |
| February 20, 2013 Filed Feb 20, 2013 21:12 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | SaleCommon Stock, $0.10 par value | 37,585 | $36.87 | $1,385,758.95 |
DisclosureSEC source: 0001225208-13-004681 · doc4.xml · nonDerivative · entry 3 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,382 F1 · price: The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $36.87 to $36.89, 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 |
| February 20, 2013 Filed Feb 20, 2013 21:12 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionCommon Stock, $0.10 par value | 17,710 | $22.73 | $402,548.30 |
DisclosureSEC source: 0001225208-13-004681 · doc4.xml · nonDerivative · entry 2 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,967 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 |
| February 20, 2013 Filed Feb 20, 2013 21:12 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionCommon Stock, $0.10 par value | 22,598 | $27.01 | $610,371.98 |
DisclosureSEC source: 0001225208-13-004681 · doc4.xml · nonDerivative · entry 1 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,257 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. Read SEC document |
| September 07, 2012 Filed Sep 7, 2012 20:11 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionOption (right to buy) · Derivative | 16,500 | $0.00 Strike: $28.11 | $0.00 |
DisclosureSEC source: 0001225208-12-019254 · doc4.xml · derivative · entry 5 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $0.10 par value · 16,500 shares Expires 2014-03-01 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. F3 · derivative.exercise_date: Twenty-five percent of the stock option award vested on each of the first, second, third, and fourth anniversaries of the grant date, which was March 2, 2004. Read SEC document |
| September 07, 2012 Filed Sep 7, 2012 20:11 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | SaleCommon Stock, $0.10 par value | 15,415 | $33.16 | $511,161.40 |
DisclosureSEC source: 0001225208-12-019254 · doc4.xml · nonDerivative · entry 3 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,659 F1 · shares: Shares sold to cover exercise price and taxes in accordance with broker's procedures for sell-to-cover transactions. Read SEC document |
| September 07, 2012 Filed Sep 7, 2012 20:11 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | SaleCommon Stock, $0.10 par value | 6,740 | $33.16 | $223,498.40 |
DisclosureSEC source: 0001225208-12-019254 · doc4.xml · nonDerivative · entry 2 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,074 Read SEC document |
| September 07, 2012 Filed Sep 7, 2012 20:11 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionCommon Stock, $0.10 par value | 16,500 | $28.11 | $463,815.00 |
DisclosureSEC source: 0001225208-12-019254 · doc4.xml · nonDerivative · entry 1 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,814 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 06, 2012 Filed Mar 9, 2012 02:27 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | OtherPerformance Shares · Derivative | 308 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-007112 · doc4.xml · derivative · entry 10 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,163 Underlying: Common Stock, $0.10 par value · 308 shares Expires 2014-03-31 F16 · derivative.exercise_price: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2014. F17 · shares: Represents dividend equivalents earned under the 2011-2013 Long-Term Performance Award. F16 · derivative.exercise_date: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2014. F16 · 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 06, 2012 Filed Mar 9, 2012 02:27 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantPerformance Shares · Derivative | 6,855 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-007112 · doc4.xml · derivative · entry 9 Caldarella Joseph C · CIK 0001341069 · SVP & Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,855 Underlying: Common Stock, $0.10 par value · 6,855 shares Expires 2014-03-31 F14 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2014. F15 · shares: Represents performance shares earned under the 2011-2013 Long-Term Performance Award. F14 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2014. F14 · derivative.expiration_date: Each performance share 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.