Item 6. EXHIBITS
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Item 6. EXHIBITS
Exhibits (listed by number corresponding to the Exhibit Table of Item 601 in Regulation S-K).
| Exhibit No. | Description | |||||||
| 31a. | Section 302 Certification Letter. | |||||||
| 31b. | Section 302 Certification Letter. | |||||||
| 32a. | Section 906 Certification Letter. | |||||||
| 32b. | Section 906 Certification Letter. | |||||||
| 101.INS | XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. | |||||||
| 101.SCH | XBRL Taxonomy Extension Schema Document. | |||||||
| 101.CAL | XBRL Taxonomy Extension Calculation Linkbase Document. | |||||||
| 101.DEF | XBRL Taxonomy Extension Definition Linkbase Document. | |||||||
| 101.LAB | XBRL Taxonomy Extension Label Linkbase Document. | |||||||
| 101.PRE | XBRL Taxonomy Extension Presentation Linkbase Document. | |||||||
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101). |
- Indicates, in this Quarterly Report on Form 10-Q, brand names of products, which are registered trademarks not solely owned by the Company or its subsidiaries. Abilify is a trademark of Otsuka Pharmaceutical Co., Ltd.; Atripla is a trademark of Gilead Sciences, LLC.; Avapro/Avalide (known in the EU as Aprovel/Karvea) and Plavix are trademarks of Sanofi; Byetta is a trademark of Amylin Pharmaceuticals, LLC; Cabometyx is a trademark of Exelixis, Inc.; Erbitux is a trademark of ImClone LLC; Onglyza is a trademark of AstraZeneca AB; Gleevec is a trademark of Novartis AG; Keytruda is a trademark of Merck Sharp & Dohme Corp; Otezla is a trademark of Amgen Inc.; Tecentriq is a trademark of Genentech, Inc.; and Yescarta is a trademark of Kite Pharma, Inc. Brand names of products that are in all italicized letters, without an asterisk, are registered trademarks of BMS and/or one of its subsidiaries.
SUMMARY OF ABBREVIATED TERMS
Bristol-Myers Squibb Company and its consolidated subsidiaries may be referred to as Bristol Myers Squibb, BMS, the Company, we, our or us in this Quarterly Report on Form 10-Q, unless the context otherwise indicates. Throughout this Quarterly Report on Form 10-Q we have used terms which are defined below:
| 2020 Form 10-K | Annual Report on Form 10-K for the fiscal year ended December 31, 2020 | LIBOR | London Interbank Offered Rate | ||||||||
| Agenus | Agenus Inc. | Lilly | Eli Lilly and Company | ||||||||
| aGvHD | acute graft versus host disease | LOE | loss of exclusivity | ||||||||
| Amgen | Amgen Inc. | MAA | marketing authorization application | ||||||||
| AML | acute myeloid leukemia | MDL | multi-district litigation | ||||||||
| Amylin | Amylin Pharmaceuticals, Inc. | MDS | myelodysplastic syndromes | ||||||||
| aNDA | abbreviated new drug applications | MPM | malignant pleural mesothelioma | ||||||||
| AstraZeneca | AstraZeneca PLC | MyoKardia | MyoKardia, Inc. | ||||||||
| BCMA | B-cell maturation antigen | NDA | new drug application | ||||||||
| BLA | biologics license application | NKT | natural killer T cells | ||||||||
| bluebird | bluebird bio, Inc. | NSCLC | non-small cell lung cancer | ||||||||
| CAR T | chimeric antigen receptor T-cell | NVAF | non-valvular atrial fibrillation | ||||||||
| Celgene | Celgene Corporation | Ono | Ono Pharmaceutical Co., Ltd. | ||||||||
| CERCLA | U.S. Comprehensive Environmental Response, Compensation and Liability Act | OTC | over-the-counter | ||||||||
| CHMP | Committee for Medicinal Products for Human Use | Otsuka | Otsuka Pharmaceutical Co., Ltd. | ||||||||
| CML | chronic myeloid leukemia | PD-1 | programmed cell death protein 1 | ||||||||
| Cormorant | Cormorant Pharmaceuticals | PD-L1 | programmed death-ligand 1 | ||||||||
| CRC | Colorectal carcinoma | PDUFA | The Prescription Drug User Fee Act | ||||||||
| CVR | contingent value rights | Pfizer | Pfizer, Inc. | ||||||||
| EC | European Commission | Prothena | Prothena Corporation plc | ||||||||
| Eisai | Eisai Co., Ltd. | PsA | psoriatic arthritis | ||||||||
| EMA | European Medicines Agency | Quarterly Report on Form 10-Q | Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2021 | ||||||||
| EPS | earnings per share | R&D | research and development | ||||||||
| ESCC | esophageal squamous cell carcinoma | RA | rheumatoid arthritis | ||||||||
| EU | European Union | RBC | red blood cell | ||||||||
| FASB | Financial Accounting Standards Board | RCC | renal cell carcinoma | ||||||||
| FDA | U.S. Food and Drug Administration | REMS | risk evaluation and mitigation strategy | ||||||||
| GAAP | U.S. generally accepted accounting principles | RRMM | relapsed and refractory multiple myeloma | ||||||||
| GILTI | Global intangible low-taxed income | Sanofi | Sanofi S.A. | ||||||||
| GTN | gross-to-net | sBLA | supplemental Biologics License Application | ||||||||
| HCC | hepatocellular carcinoma | SCLC | small cell lung cancer | ||||||||
| HCM | hypertrophic cardiomyopathy | SEC | Securities and Exchange Commission | ||||||||
| HIV | human immunodeficiency viruses | TNBC | triple-negative breast cancer | ||||||||
| IO | immuno-oncology | UC | ulcerative colitis | ||||||||
| IPRD | in-process research and development | U.S. | United States | ||||||||
| IRS | Internal Revenue Service | UK | United Kingdom | ||||||||
| JIA | juvenile idiopathic arthritis | VAT | value added tax | ||||||||
| Juno | Juno Therapeutics, Inc. | VTE | venous thromboembolic |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| BRISTOL-MYERS SQUIBB COMPANY (REGISTRANT) | |||||||||||
| Date: | October 27, 2021 | By: | /s/ Giovanni Caforio, M.D. | ||||||||
| Giovanni Caforio, M.D. Chairman of the Board and Chief Executive Officer | |||||||||||
| Date: | October 27, 2021 | By: | /s/ David V. Elkins | ||||||||
| David V. Elkins Chief Financial Officer |
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