# EDGAR Filing Document

**Accession Number:** 0001808438
**File Stem:** 0000014272-23-000070
**Filing Date:** 2023-3
**Character Count:** 9330
**Document Hash:** 40a2139c57d9cca79631f489b9fb5aae
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000014272-23-000070.hdr.sgml**: 20230314

**ACCESSION NUMBER**: 0000014272-23-000070

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230310

**FILED AS OF DATE**: 20230314

**DATE AS OF CHANGE**: 20230314

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Mily Elizabeth
- **CENTRAL INDEX KEY:** 0001808438

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-01136
- **FILM NUMBER:** 23733000

**MAIL ADDRESS:**
- **STREET 1:** BRISTOL-MYERS SQUIBB COMPANY
- **STREET 2:** ROUTE 206 & PROVENCE LINE ROAD
- **CITY:** PRINCETON
- **STATE:** NJ
- **ZIP:** 08540
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** BRISTOL MYERS SQUIBB CO
- **CENTRAL INDEX KEY:** 0000014272
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 220790350
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 430 E. 29TH STREET
- **STREET 2:** 14 FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10016
- **BUSINESS PHONE:** 2125464000

**MAIL ADDRESS:**
- **STREET 1:** 430 E. 29TH STREET
- **STREET 2:** 14 FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10016

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** BRISTOL MYERS CO
- **DATE OF NAME CHANGE:** 19891012

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Mily Elizabeth<br><sub>(Last) (First) (Middle)</sub><br>BRISTOL-MYERS SQUIBB COMPANY<br>430 E. 29TH STREET, 14TH FLOOR<br><sub>(Street)</sub><br>NEW YORK, NY 10016<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-10 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_EVP, Strategy & BD_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>BRISTOL MYERS SQUIBB CO [ BMY ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock, $0.10 par value | 2023-03-10 |  | M |  | 4005<sup>(1)</sup> | A | $0 | 15347 | D |  |
| Common Stock, $0.10 par value | 2023-03-10 |  | J |  | 657<sup>(2)</sup> | A | $0 | 16004 | D |  |
| Common Stock, $0.10 par value | 2023-03-10 |  | F |  | 1978<sup>(3)</sup> | D | $65.71 | 14026 | D |  |
| Common Stock, $0.10 par value | 2023-03-10 |  | M |  | 3658<sup>(4)</sup> | A | $0 | 17684 | D |  |
| Common Stock, $0.10 par value | 2023-03-10 |  | J |  | 118<sup>(2)</sup> | A | $0 | 17802 | D |  |
| Common Stock, $0.10 par value | 2023-03-10 |  | F |  | 1602<sup>(3)</sup> | D | $65.71 | 16200 | D |  |
| Common Stock, $0.10 par value | 2023-03-10 |  | M |  | 21973<sup>(5)</sup> | A | $0 | 38173 | D |  |
| Common Stock, $0.10 par value | 2023-03-10 |  | J |  | 2683<sup>(6)</sup> | A | $0 | 40856 | D |  |
| Common Stock, $0.10 par value | 2023-03-10 |  | F |  | 10460<sup>(3)</sup> | D | $65.71 | 30396 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Market Share Units | <sup>(7)</sup> | 2023-03-10 |  | M |  |  | 4005 | <sup>(1)</sup> | 2025-03-10 | Common Stock, $0.10 par value | 4005.0 | $0 | 8012 | D |  |
| Market Share Units | <sup>(8)</sup> | 2023-03-10 |  | M |  |  | 3658 | <sup>(4)</sup> | 2026-03-10 | Common Stock, $0.10 par value | 3658.0 | $0 | 10976 | D |  |
| Market Share Units | <sup>(8)</sup> | 2023-03-10 |  | A |  | 14637 |  | <sup>(9)</sup> | 2027-03-10 | Common Stock, $0.10 par value | 14637.0 | $0 | 14637 | D |  |
| Performance Shares | <sup>(10)</sup> | 2023-03-10 |  | M |  |  | 21973 | <sup>(10)</sup> | 2023-03-10 | Common Stock, $0.10 par value | 21973.0 | $0 | 0 | D |  |
| Performance Shares | <sup>(11)</sup> | 2023-03-10 |  | A |  | 21956 |  | <sup>(11)</sup> | 2026-03-10 | Common Stock, $0.10 par value | 21956.0 | $0 | 21956 | D |  |

---

### Footnotes:

(1) Represents vesting of one-quarter of market share units granted on March 10, 2021.

(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, 2022.

(5) Amount represents distribution of performance shares earned under the 2020-2022 Long-Term Performance Award.

(6) Adjustment to Award based on the performance factor applied in accordance with the terms of the Award and certification of performance results by the Board.

(7) 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%.

(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 80% and the maximum payout factor is 225%.

(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 2023, subject to a Total Shareholder Return.

(11) Each performance share converts into one share of common stock upon distribution in the first quarter of 2026.

**Signature:** /s/ Lisa A. Atkins, attorney-in-fact for Elizabeth Mily  
**Date:** 2023-03-14

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**