Form 4 BRISTOL MYERS SQUIBB CO For: Mar 10 Filed by: BOERNER CHRISTOPHER S.

March 13, 2019 7:42 AM
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person *
BOERNER CHRISTOPHER S.

(Last) (First) (Middle)
BRISTOL-MYERS SQUIBB COMPANY
430 E. 29TH STREET, 14 FLOOR

(Street)
NEW YORK NY 10016

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
BRISTOL MYERS SQUIBB CO [ BMY ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
EVP, Chief Commercial Officer
3. Date of Earliest Transaction (Month/Day/Year)
03/10/2019
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, $0.10 par value 03/10/2019 M 1,247 (1) A $ 0 4,121 D
Common Stock, $0.10 par value 03/10/2019 J 303 (2) D $ 0 3,818 D
Common Stock, $0.10 par value 03/10/2019 F 519 (3) D $ 51.39 3,299 D
Common Stock, $0.10 par value 03/10/2019 M 1,566 (4) A $ 0 4,865 D
Common Stock, $0.10 par value 03/10/2019 J 331 (2) D $ 0 4,534 D
Common Stock, $0.10 par value 03/10/2019 F 679 (3) D $ 51.39 3,855 D
Common Stock, $0.10 par value 03/10/2019 M 1,825 (5) A $ 0 5,680 D
Common Stock, $0.10 par value 03/10/2019 J 197 (2) D $ 0 5,483 D
Common Stock, $0.10 par value 03/10/2019 F 895 (3) D $ 51.39 4,588 D
Common Stock, $0.10 par value 03/10/2019 M 1,761 (6) A $ 0 6,349 D
Common Stock, $0.10 par value 03/10/2019 J 416 (2) D $ 0 5,933 D
Common Stock, $0.10 par value 03/10/2019 F 740 (3) D $ 51.39 5,193 D
Common Stock, $0.10 par value 03/10/2019 M 9,308 (7) A $ 0 14,501 D
Common Stock, $0.10 par value 03/10/2019 F 5,115 (3) D $ 51.39 9,386 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Market Share Units (8) 03/10/2019 M 1,247 (1) 03/10/2019 (1) Common Stock, $0.10 par value 1,247.00 $ 0 0 D
Market Share Units (8) 03/10/2019 M 1,566 (4) 03/10/2020 (4) Common Stock, $0.10 par value 1,566.00 $ 0 1,569 D
Market Share Units (8) 03/10/2019 M 1,825 (5) 03/10/2021 (5) Common Stock, $0.10 par value 1,825.00 $ 0 3,652 D
Market Share Units (8) 03/10/2019 M 1,761 (6) 03/10/2022 (6) Common Stock, $0.10 par value 1,761.00 $ 0 5,284 D
Market Share Units (8) 03/10/2019 A 21,273 (9) 03/10/2023 (9) Common Stock, $0.10 par value 21,273.00 $ 0 21,273 D
Performance Shares (10) 03/10/2019 M 9,308 (7) (10) 03/10/2019 (10) Common Stock, $0.10 par value 9,308.00 $ 0 0 D
Performance Shares (11) 03/10/2019 A 31,909 (11) 03/10/2022 (11) Common Stock, $0.10 par value 31,909.00 $ 0 31,909 D
Explanation of Responses:
1. Represents vesting of one-quarter of market share units granted on March 10, 2015.
2. Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.
3. Shares withheld for payment of taxes upon vesting of awards.
4. Represents vesting of one-quarter of market share units granted on March 10, 2016.
5. Represents vesting of one-quarter of market share units granted on March 10, 2017.
6. Represents vesting of one-quarter of market share units granted on March 10, 2018.
7. Amount represents distribution of performance shared earned under the 2016-2018 Long Term Performance Award based on the performance factor applied in accordance with the terms of the Award and certification of performance results by the Board.
8. 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%.
9. 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.
10. Each performance share converts into one share of common stock upon distribution in the first quarter of 2019, subject to a Total Shareholder Return modifier.
11. Each performance share converts into one share of common stock upon distribution in the first quarter of 2022.
/s/Lisa A. Atkins, attorney-in-fact for Christopher Boerner 03/13/2019
** Signature of Reporting Person Date
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