# EDGAR Filing Document

**Accession Number:** 0000014272
**File Stem:** 0001140361-23-009050
**Filing Date:** 2023-2
**Character Count:** 5794
**Document Hash:** cf33cd5d079b8d19d4c1198e5652c358
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001140361-23-009050.hdr.sgml**: 20230228

**ACCESSION NUMBER**: 0001140361-23-009050

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20230223

**ITEM INFORMATION**: Other Events

**FILED AS OF DATE**: 20230228

**DATE AS OF CHANGE**: 20230228

**FILER**: 

**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

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-01136
- **FILM NUMBER:** 23678295

**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

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### UNITED STATES

### SECURITIES AND EXCHANGE COMMISSION

#### Washington, D.C. 20549

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### FORM 8-K

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#### CURRENT REPORT

#### Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934

#### Date of Report (Date of earliest event reported): February 28, 2023 (February 23, 2023)

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## BRISTOL-MYERS SQUIBB COMPANY

#### (Exact Name of Registrant as Specified in its Charter)

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| | | |
|:---|:---|:---|
| **Delaware**<br>| **001-01136** <br>| **22-0790350**<br>|
| **(State or Other Jurisdiction of Incorporation)** | **(Commission File Number)** | **(IRS Employer Identification Number)** |

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**430 East 29th Street, 14th Floor**

**New York, New York, 10016**

(Address of Principal Executive Office)

#### Registrant's telephone number, including area code: (212) 546-4200

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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

**Securities registered pursuant to Section 12(b) of the Act:**

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading Symbol(s)** | **Name of each exchange on which registered** |
| Common Stock, $0.10 Par Value<br>| BMY<br>| New York Stock Exchange<br>|
| 1.000% Notes due 2025<br>| BMY25<br>| New York Stock Exchange<br>|
| 1.750% Notes due 2035<br>| BMY35<br>| New York Stock Exchange<br>|
| Celgene Contingent Value Rights<br>| CELG RT<br>| New York Stock Exchange<br>|

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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| | |
|:---|:---|
| **Item 8.01** | **Other Events.** |

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As previously announced, on November 20, 2019, Bristol-Myers Squibb Company (the "Company") acquired Celgene Corporation ("Celgene") when it consummated the transactions contemplated by the Agreement and Plan of Merger, dated as of January 2, 2019 ("Merger Agreement"), among the Company, Burgundy Merger Sub, Inc., a wholly owned subsidiary of the Company, and Celgene. In connection with the consummation of the transactions contemplated by the Merger Agreement, the Company assumed the contingent value rights related to Celgene's Abraxane<sup>®</sup> and Abraxis pipeline products granted by Celgene to certain holders thereof pursuant to that certain Contingent Value Rights Agreement, dated as of October 15, 2010 (as amended, supplemented or otherwise modified from time to time, the "CVR Agreement"), between Equiniti Trust Company (the "Trustee", as successor to American Stock Transfer & Trust Company, LLC) and the Company (as successor in interest to Celgene).

On February 23, 2023, the Company notified the Trustee that the Net Sales (as defined in the CVR Agreement) in respect of Abraxane for the year ended December 31, 2022 is $908,974,933 and that there is no Net Sales Payment (as defined in the CVR Agreement) due in respect of the year ended December 31, 2022, in accordance with Section 3.1 of the CVR Agreement. The Company reserves the right, in accordance with the terms of the CVR Agreement, to disclose by means of its website at <u>www.bms.com</u> in the "Investors" section the Net Sales Payment due, if any, in respect of any subsequent Net Sales Measuring Period (as defined in the CVR Agreement).

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#### SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | | |
|:---|:---|:---|
|  | BRISTOL-MYERS SQUIBB COMPANY | BRISTOL-MYERS SQUIBB COMPANY |
| Dated: February 28, 2023 | By: | /s/Kimberly M. Jablonski |
|  | Name: | Kimberly M. Jablonski |
|  | Title: | Corporate Secretary |

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