Vessey Rupert's Form 4 filing
Bristol Myers Squibb Co (BMY) · filed Aug 3, 2021
- Accession no.
- 0000014272-21-000193
- Filed
- Aug 3, 2021
- Trade date
- Jul 30, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 16 non-derivative transactions and 14 derivative transactions. Open-market sales total $10.8M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Vessey RupertCIK 0001677618 | Officer (EVP, Research & Early Dev.) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 30, 2021 | Common Stock, $0.10 par value | SSaleDisposed | −17,740 | $68.01F1 | −$1,206,497.4 | 36,650 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseAcquired | +5,843 | $58.78 | +$343,451.54 | 42,493 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseAcquired | +6,305 | $63.41 | +$399,800.05 | 48,798 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseAcquired | +1,651 | $60.53 | +$99,935.03 | 50,449 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseAcquired | +1,454 | $54.20 | +$78,806.8 | 51,903 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseAcquired | +373 | $56.44 | +$21,052.12 | 52,276 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseAcquired | +29,489 | $63.41 | +$1,869,897.49 | 81,765 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseAcquired | +5,843 | $61.01 | +$356,481.43 | 87,608 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseAcquired | +2,905 | $54.20 | +$157,451 | 90,513 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseAcquired | +17,630 | $56.44 | +$995,037.2 | 108,143 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseAcquired | +24,134 | $61.34 | +$1,480,379.56 | 132,277 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseAcquired | +22,483 | $60.53 | +$1,360,895.99 | 154,760 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseAcquired | +15,879 | $55.52 | +$881,602.08 | 170,639 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseAcquired | +8,489 | $44.70 | +$379,458.3 | 179,128 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseAcquired | +8,489 | $47.81 | +$405,859.09 | 187,617 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | SSaleDisposed | −140,653 | $68.08F2 | −$9,575,656.24 | 46,964 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseDisposed | −5,843 | $0.00 | $0 | 0 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseDisposed | −6,305 | $0.00 | $0 | 0 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseDisposed | −1,651 | $0.00 | $0 | 0 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseDisposed | −1,454 | $0.00 | $0 | 0 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseDisposed | −373 | $0.00 | $0 | 0 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseDisposed | −29,489 | $0.00 | $0 | 0 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseDisposed | −5,843 | $0.00 | $0 | 0 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseDisposed | −2,905 | $0.00 | $0 | 0 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseDisposed | −17,630 | $0.00 | $0 | 0 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseDisposed | −24,134 | $0.00 | $0 | 0 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseDisposed | −22,483 | $0.00 | $0 | 0 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseDisposed | −15,879 | $0.00 | $0 | 3,494 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseDisposed | −8,489 | $0.00 | $0 | 8,491 | Direct | |
| Jul 30, 2021 | Common Stock, $0.10 par value | MOption exerciseDisposed | −8,489 | $0.00 | $0 | 8,491 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $67.93 to $68.045, 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.
Referenced by the price of 1 transaction in Table I.
- F2
140,653 of the shares sold were to cover the exercise price and taxes in accordance with broker's procedures for sell-to-cover transactions. The price reported reflects the weighted average sales price. The shares were sold in multiple transactions at prices ranging from $68.00 to $68.165, inclusive. The reporting person undertakes to provide 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.
Referenced by the price of 1 transaction in Table I.