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Item 15. Exhibits and Financial Statement Schedules

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Item 15. Exhibits and Financial Statement Schedules

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(a)1. Financial Statements

The following consolidated financial statements of the company and its subsidiaries are found at Item 8:

  • Consolidated Statements of Operations—Years Ended December 31, 2021, 2020, and 2019

  • Consolidated Statements of Comprehensive Income (Loss)—Years Ended December 31, 2021, 2020, and 2019

  • Consolidated Balance Sheets—December 31, 2021 and 2020

  • Consolidated Statements of Shareholders' Equity—Years Ended December 31, 2021, 2020, and 2019

  • Consolidated Statements of Cash Flows—Years Ended December 31, 2021, 2020, and 2019

  • Notes to Consolidated Financial Statements

(a)2. Financial Statement Schedules

The consolidated financial statement schedules of the company and its subsidiaries have been omitted because they are not required, are inapplicable, or are adequately explained in the financial statements.

Financial statements of interests of 50 percent or less, which are accounted for by the equity method, have been omitted because they do not, considered in the aggregate as a single subsidiary, constitute a significant subsidiary.

(a)3. Exhibits

The following documents are filed as part of this report:

ExhibitLocation
3.1Amended Articles of IncorporationIncorporated by reference to Exhibit 3.1 to the Company's Annual Report on Form 10-K for the year ended December 31, 2013
3.2Bylaws, as amendedIncorporated by reference to Exhibit 3.1 to the Company's Current Report on Form 8-K filed on December 16, 2021
4.1Indenture, dated February 1, 1991, between the Company and Deutsche Bank Trust Company Americas, as successor trustee to Citibank, N.A., as TrusteeIncorporated by reference to Exhibit 4.1 to the Company's Registration Statement on Form S-3, Registration No. 333-186979
4.2Tripartite Agreement, dated September 13, 2007, appointing Deutsche Bank Trust Company Americas as Successor Trustee under the Indenture listed in Exhibit 4.1Incorporated by reference to Exhibit 4.2 to the Company's Annual Report on Form 10-K for the year ended December 31, 2008
4.3Description of the Company's Common StockIncorporated by reference to Exhibit 4.3 to the Company's Annual Report on Form 10-K for the year ended December 31, 2019
4.4Description of the Company's 1.000% Notes due 2022, 1.625% Notes due 2026, and 2.125% Notes due 2030Incorporated by reference to Exhibit 4.4 to the Company's Annual Report on Form 10-K for the year ended December 31, 2019
4.5Description of the Company's 6.77% Notes due 2036Incorporated by reference to Exhibit 4.5 to the Company's Annual Report on Form 10-K for the year ended December 31, 2019
4.6Description of the Company's 7 1/8% Notes due 2025Incorporated by reference to Exhibit 4.6 to the Company's Annual Report on Form 10-K for the year ended December 31, 2019

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4.7Description of the Company's 0.625% Notes due 2031 and 1.700% Notes due 2049Incorporated by reference to Exhibit 4.7 to the Company's Annual Report on Form 10-K for the year ended December 31, 2019
4.8Description of the Company's 0.500% Notes due 2033, 1.125% Notes due 2051, and 1.375% Notes due 2061Attached
4.9Description of the Company's 1.625% Notes due 2043Attached
10.1Amended and Restated 2002 Lilly Stock Plan(1)Incorporated by reference to Exhibit 10.1 to the Company's Quarterly Report on Form 10-Q for the quarter ended June 30, 2018
10.2Form of Performance Award under the 2002 Lilly Stock Plan(1)Attached
10.3Form of Performance Award under the 2002 Lilly Stock Plan (with non-compete)(1)Attached
10.4Form of Performance Award under the 2002 Lilly Stock Plan (non-executive officer)(1)Attached
10.5Form of Shareholder Value Award under the 2002 Lilly Stock Plan(1)Attached
10.6Form of Shareholder Value Award under the 2002 Lilly Stock Plan (with non-compete)(1)Attached
10.7Form of Shareholder Value Award under the 2002 Lilly Stock Plan (non-executive officer)(1)Attached
10.8Form of Relative Value Award under the 2002 Lilly Stock Plan(1)Attached
10.9Form of Relative Value Award under the 2002 Lilly Stock Plan (with non-compete)(1)Attached
10.10Form of Relative Value Award under the 2002 Lilly Stock Plan (non-executive)(1)Attached
10.11Form of Restricted Stock Unit Award under the 2002 Lilly Stock Plan(1)Attached
10.12Form of Restricted Stock Unit Award under the 2002 Lilly Stock Plan (with non-compete)(1)Incorporated by reference to Exhibit 10.1 to the Company's Quarterly Report on Form 10-Q for the quarter ended March 31, 2021
10.13Release Agreement, effective as of February 9, 2021, by and between Eli Lilly and Company and Joshua L. Smiley(1)Incorporated by reference to Exhibit 10.2 to the Company's Quarterly Report on Form 10-Q for the quarter ended March 31, 2021
10.14The Lilly Deferred Compensation Plan, as amended(1)Incorporated by reference to Exhibit 10.5 to the Company's annual report on Form 10-K for the year ended December 31, 2013
10.15The Lilly Directors' Deferral Plan, as amended(1)Incorporated by reference to Exhibit 10 to the Company's Quarterly Report on Form 10-Q for the quarter ended June 30, 2017
10.16The Eli Lilly and Company Bonus Plan, as amended(1)Incorporated by reference to Exhibit 10.14 to the Company's Annual Report on Form 10-K for the year ended December 31, 2020
10.17The Loxo Oncology, Inc. Bonus Plan(1)Attached

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10.182007 Change in Control Severance Pay Plan for Select Employees, as amended(1)Incorporated by reference to Exhibit 10.15 to the Company's Annual Report on Form 10-K for the year ended December 31, 2020
21List of SubsidiariesAttached
23Consent of Independent Registered Public Accounting FirmAttached
31.1Rule 13a-14(a) Certification of David A. Ricks, Chair, President, and Chief Executive OfficerAttached
31.2Rule 13a-14(a) Certification of Anat Ashkenazi, Senior Vice President and Chief Financial OfficerAttached
32Section 1350 CertificationAttached
101Interactive Data FileAttached
104Cover Page Interactive Data File (formatted in Inline XBRL and contained in Exhibit 101)Attached

(1) Indicates management contract or compensatory plan.

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