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Rule 13d-1(b)
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Rule 13d-1(c)
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Rule 13d-1(d)
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1
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NAMES OF REPORTING PERSONS
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Bristol-Myers Squibb Company
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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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(b)☐
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3
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SEC USE ONLY
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4
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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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5
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SOLE VOTING POWER
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5,075,304
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6
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SHARED VOTING POWER
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0 |
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7
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SOLE DISPOSITIVE POWER
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5,075,304
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8
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SHARED DISPOSITIVE POWER
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0 |
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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5,075,304
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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6.4%(1)
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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CO
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Item 1(a). |
Name of Issuer:
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Item 1(b). |
Address of Issuer’s Principal Executive Offices:
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Item 2(a). |
Name of Person Filing:
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Item 2(b). |
Address of Principal Business Office or, if none, Residence:
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Item 2(c). |
Citizenship:
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Item 2(d). |
Title of Class of Securities:
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Item 2(e). |
CUSIP Number:
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Item 3. |
If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:
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Item 4. |
Ownership.
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(a)
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Amount beneficially owned:
5,075,304
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(b)
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Percent of class:
The Reporting Person has beneficial ownership of 6.4% of the total number of shares of Common Stock of the Issuer (the “Shares”) outstanding, which percentage is determined based on 79,180,351 Shares outstanding
as of November 28, 2023, as disclosed to the Reporting Person by the Issuer.
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(c)
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Number of shares as to which such person has:
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(i)
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Sole power to vote or to direct the vote:
5,075,304
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(ii)
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Shared power to vote or to direct the vote:
0
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(iii)
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Sole power to dispose or to direct the disposition of:
5,075,304
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(iv)
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Shared power to dispose or to direct the disposition of:
0
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Item 5. |
Ownership of Five Percent or Less of a Class.
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Item 6. |
Ownership of More than Five Percent on Behalf of Another Person.
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Item 7. |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.
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Item 8. |
Identification and Classification of Members of the Group.
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Item 9. |
Notice of Dissolution of Group.
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Item 10. |
Certification.
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Date: December 4, 2023
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BRISTOL-MYERS SQUIBB COMPANY
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/s/ Kimberly M. Jablonski
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Name:
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Kimberly M. Jablonski
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Title:
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Corporate Secretary
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