*
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The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information
which would alter disclosures provided in a prior cover page.
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1
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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BRISTOL-MYERS SQUIBB COMPANY
22-0790350 |
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)
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☐
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(b)
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☐
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (SEE INSTRUCTIONS)
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WC
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5
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
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☐
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Delaware, U.S.A.
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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7
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SOLE VOTING POWER
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0
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8
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SHARED VOTING POWER
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7,008,510
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9
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SOLE DISPOSITIVE POWER
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0
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10
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SHARED DISPOSITIVE POWER
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7,008,510
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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7,008,510
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12
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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12.0%1
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14
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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CO
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(1) |
The percentage ownership interest is determined based on 58,384,784 shares of Common Stock of the Issuer outstanding as of July 7, 2020 as disclosed in the Issuer’s prospectus supplement filed on July 2, 2020, plus 36,738 shares of Common
Stock issued to Celgene on July 9, 2020 upon the exercise of a warrant held by Celgene to purchase Common Stock of the Issuer.
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1
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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CELGENE CORPORATION
22-2711928 |
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)
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☐
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(b)
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☐
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (SEE INSTRUCTIONS)
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WC
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5
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
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☐
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Delaware, U.S.A.
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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7
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SOLE VOTING POWER
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0
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8
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SHARED VOTING POWER
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7,008,510
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9
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SOLE DISPOSITIVE POWER
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0
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10
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SHARED DISPOSITIVE POWER
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7,008,510
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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7,008,510
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12
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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12.0%1
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14
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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CO
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(1)
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The percentage ownership interest is determined based on 58,384,784 shares of Common Stock of the Issuer outstanding as of July 7, 2020 as disclosed in the Issuer’s prospectus supplement filed on July 2, 2020,
plus 36,738 shares of Common Stock issued to Celgene on July 9, 2020 upon the exercise of a warrant held by Celgene to purchase Common Stock of the Issuer.
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Item 1. |
Security and Issuer.
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Item 2. |
Identity and Background.
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Item 3. |
Source and Amount of Funds or Other Consideration.
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Item 4. |
Purpose of Transaction.
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a) |
The acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer;
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b) |
An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries;
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c) |
A sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries;
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d) |
Any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board;
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e) |
Any material change in the present capitalization or dividend policy of the Issuer;
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f) |
Any other material change in the Issuer’s business or corporate structure;
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g) |
Changes in the Issuer’s charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person;
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h) |
Causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;
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i) |
A class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934, as amended; or
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j) |
Any action similar to any of those enumerated above.
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Item 5. |
Interest in Securities of the Issuer.
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Item 6. |
Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer.
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Item 7. |
Material to Be Filed as Exhibits.
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99.1 |
Joint Filing Agreement, dated July 16, 2020, between Bristol-Myers Squibb Company and Celgene Corporation
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Dated: July 16, 2020
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BRISTOL-MYERS SQUIBB COMPANY
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By:
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/s/ Katherine R. Kelly
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Name:
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Katherine R. Kelly
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Title:
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Corporate Secretary
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CELGENE CORPORATION
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By:
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/s/ Katherine R. Kelly
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Name:
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Katherine R. Kelly
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Title:
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Secretary
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Name and Position
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Present Principal Occupation or Employment
|
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Giovanni Caforio, M.D.*
Chief Executive Officer
Chairman of the Board of Directors
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Chief Executive Officer and Chairman of the Board of Directors of Bristol-Myers Squibb Company
|
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Peter J. Arduini
Director
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President and Chief Executive Officer of Integra LifeSciences Holdings Corporation
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Robert Bertolini
Director
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Former President and Chief Financial Officer of Bausch & Lomb Incorporated
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Michael W. Bonney
Director
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Executive Chair of the Board of Kaleido Biosciences, Inc.
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Matthew W. Emmens
Director
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Retired Chief Executive Officer and Chairman of the Board of Shire PLC
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Julia A. Haller, M.D.
Director
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Ophthalmologist-in-Chief of the Wills Eye Hospital, Philadelphia, PA
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Dinesh C. Paliwal
Director
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President and Chief Executive Officer of Harman International
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Theodore R. Samuels
Director
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Retired President of Capital Guardian Trust Company
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Vicki L. Sato, Ph.D.
Lead Independent Director
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Chairman of the Board of Denali Therapeutics, Inc.
|
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Gerald L. Storch
Director
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Chief Executive Officer of Storch Advisors
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Karen H. Vousden, Ph.D.**
Director
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Senior Group Leader, The Francis Crick Institute and Chief Scientist, Cancer Research UK
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Phyllis R. Yale
Director
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Advisory Partner, Bain & Company
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Name
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Title
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Giovanni Caforio, M.D.*
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Chief Executive Officer
|
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Nadim Ahmed
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Executive Vice President and President, Hematology
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Christopher Boerner, Ph.D.
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Executive Vice President and Chief Commercialization Officer
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Adam Dubow
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Senior Vice President, Chief Compliance and Ethics Officer
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Joseph E. Eid, M.D.
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Senior Vice President and Head of Global Medical Affairs
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David V. Elkins
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Executive Vice President and Chief Financial Officer
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Samit Hirawat, M.D.
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Executive Vice President, Chief Medical Officer, Global Drug Development
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Sandra Leung
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Executive Vice President and General Counsel
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Kathryn Metcalfe
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Executive Vice President, Corporate Affairs
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Elizabeth A. Mily
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Executive Vice President, Strategy & Business Development
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Ann M. Powell
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Executive Vice President, Chief Human Resources Officer
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Lou Schmukler
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Executive Vice President and President, Global Product Development & Supply
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Rupert Vessey, D.Phil.
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Executive Vice President and President, Research and Early Development
|
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Paul von Autenried
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Executive Vice President, Chief Information Officer
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Name and Position
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Present Principal Occupation or Employment
|
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Phil M. Holzer
Director
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Senior Vice President, Head of Enterprise Integration Management Office
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Katherine R. Kelly
Director
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Vice President and Corporate Secretary, Bristol-Myers Squibb Company
|
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Name
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Title
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Phil M. Holzer
|
President
|
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Sophia Park
|
Vice President
|
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Lisa Goldey
|
Vice President
|
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Katherine R. Kelly
|
Secretary
|
|
Jeffrey Galik
|
Treasurer
|
|
Elisabeth S. Bradley
|
Assistant Secretary
|