Vessey Rupert's Form 4 filing
Bristol Myers Squibb CoBMY · filed Nov 9, 2022
- Accession no.
- 0000014272-22-000198
- Filed
- Nov 9, 2022
- Trade date
- Nov 7, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 5 derivative transactions. Open-market sales total $3.62M. It was filed 2 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 7, 2022 | Common Stock, $0.10 par value | MOption exerciseAcquired | +5,843 | $70.89 | +$414,210.27 | 56,228 | Direct | |
| Nov 7, 2022 | Common Stock, $0.10 par value | MOption exerciseAcquired | +21,288 | $72.42 | +$1,541,676.96 | 77,516 | Direct | |
| Nov 7, 2022 | Common Stock, $0.10 par value | MOption exerciseAcquired | +8,491 | $44.70 | +$379,547.7 | 86,007 | Direct | |
| Nov 7, 2022 | Common Stock, $0.10 par value | MOption exerciseAcquired | +8,491 | $47.81 | +$405,954.71 | 94,498 | Direct | |
| Nov 7, 2022 | Common Stock, $0.10 par value | MOption exerciseAcquired | +8,491 | $38.41 | +$326,139.31 | 102,989 | Direct | |
| Nov 7, 2022 | Common Stock, $0.10 par value | SSaleDisposed | −45,910 | $78.88F1 | −$3,621,380.8 | 57,079 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 7, 2022 | Common Stock, $0.10 par value | MOption exerciseDisposed | −5,843 | $0.00 | $0 | 0 | Direct | |
| Nov 7, 2022 | Common Stock, $0.10 par value | MOption exerciseDisposed | −21,288 | $0.00 | $0 | 0 | Direct | |
| Nov 7, 2022 | Common Stock, $0.10 par value | MOption exerciseDisposed | −8,491 | $0.00 | $0 | 0 | Direct | |
| Nov 7, 2022 | Common Stock, $0.10 par value | MOption exerciseDisposed | −8,491 | $0.00 | $0 | 0 | Direct | |
| Nov 7, 2022 | Common Stock, $0.10 par value | MOption exerciseDisposed | −8,491 | $0.00 | $0 | 0 | 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
45,910 shares were sold 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 $78.82 to $78.935, 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.