Amended Statement of Ownership (sc 13g/a)
January 25 2023 - 04:14PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C.
20549
SCHEDULE
13G
Under the Securities Exchange Act of 1934
(Amendment No.
38)*
Eli Lilly and Company
(Name of Issuer)
Common Stock, Without Par Value
(Title
of Class of Securities)
532457-10-8
December 31, 2022
(Date
of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which
this Schedule is filed:
o Rule 13d-1(b)
o Rule 13d-1(c)
x Rule 13d-1(d)
* 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 the disclosures provided
in a prior cover page.
The information required in the remainder of this cover page shall
not be deemed to be “filed” for the purpose of Section 18 of
the Securities Exchange Act of 1934 (“Act”) or otherwise subject to
the liabilities of that section of the Act but shall be subject to
all other provisions of the Act (however, see the
Notes).
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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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LILLY ENDOWMENT INC |
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2 |
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CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP (SEE INSTRUCTIONS)
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(a) o |
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(b) o |
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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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Indiana |
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NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON
WITH: |
5 |
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SOLE VOTING POWER |
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102948810 |
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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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102948810 |
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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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102948810 |
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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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o |
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11 |
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PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (9) |
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10.83% |
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12 |
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TYPE OF REPORTING PERSON (SEE
INSTRUCTIONS) |
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CO |
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FOOTNOTES |
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The percent of class represented is based on
950,177,900 shares of common stock outstanding as of October 28,
2022, as reported on the Issuer’s Form 10 Q for the period ended
September 30, 2022. |
Item 1.
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(b)
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Address
of Issuer’s Principal Executive Offices
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Lilly
Corporate Center, Indianapolis, Indiana 46285.
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Item 2.
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(a)
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Name
of Person Filing
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This
statement is filed by Lilly Endowment Inc., a not for profit
corporation organized under the laws of the State of Indiana. Lilly
Endowment Inc. is an organization described in Section 501(c)(3) of
the Internal Revenue Code of 1986 and is a private foundation under
Section 509(a) of the Code.
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(b)
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Address
of Principal Business Office or, if none, Residence
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The address of the principal business office of Lilly
Endowment Inc. is 2801 North Meridian Street, Indianapolis, Indiana
46208.
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(d)
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Title
of Class of Securities
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Common
Stock, Without Par Value
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Item 3.
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If this statement is filed pursuant to §§240.13d-1(b) or
240.13d-2(b) or (c), check whether the person filing is
a:
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(a)
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o
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Broker
or dealer registered under section 15 of the Act (15 U.S.C.
78o).
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(b)
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o
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Bank
as defined in section 3(a)(6) of the Act (15 U.S.C.
78c).
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(c)
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o
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Insurance
company as defined in section 3(a)(19) of the Act (15 U.S.C.
78c).
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(d)
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o
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Investment
company registered under section 8 of the Investment Company Act of
1940 (15 U.S.C 80a-8).
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(e)
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o
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An
investment adviser in accordance with
§240.13d-1(b)(1)(ii)(E);
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(f)
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o
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An
employee benefit plan or endowment fund in accordance with
§240.13d-1(b)(1)(ii)(F);
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(g)
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o
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A
parent holding company or control person in accordance with §
240.13d-1(b)(1)(ii)(G);
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(h)
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o
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A
savings associations as defined in Section 3(b) of the Federal
Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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o
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A
church plan that is excluded from the definition of an investment
company under section 3(c)(14) of the Investment Company Act of
1940 (15 U.S.C. 80a-3);
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(j)
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o
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A
non-U.S. institution in accordance with §
240.13d-1(b)(1)(ii)(J).
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(k)
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o
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A
group, in accordance with § 240.13d-1(b)(1)(ii)(K). If filing as a
non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J),
please specify the type of institution:
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Provide
the following information regarding the aggregate number and
percentage of the class of securities of the issuer identified in
Item 1.
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(a)
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Amount
beneficially owned: 102,948,810
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(b)
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Percent
of class: 10.83%
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(c)
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Number
of shares as to which the person has:
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(i)
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Sole
power to vote or to direct the vote: 102,948,810
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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:
102,948,810
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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.
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Ownership of Five Percent or Less of a Class
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If
this statement is being filed to report the fact that as of the
date hereof the reporting person has ceased to be the beneficial
owner of more than five percent of the class of securities, check
the following o .
Not applicable
Item 6.
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Ownership of More than Five Percent on Behalf of Another
Person.
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Not applicable
Item 7.
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Identification and Classification of the Subsidiary Which Acquired
the Security Being Reported on By the Parent Holding
Company
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Item 8.
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Identification and Classification of Members of the
Group
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Item 9.
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Notice of Dissolution of Group
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Item 10.
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Certification
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Not applicable. |
SIGNATURE
After
reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true,
complete and correct.
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Lilly Endowment Inc.
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Date:
January 20, 2023
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By:
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/s/
Diane M. Stenson |
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Name: Diane
M. Stenson |
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Title:
Vice President & Treasurer |
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Footnotes:
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Item
4: This information is provided as of December 31, 2022.
Item 4(a): None of such shares are deemed to be beneficially owned
by reason of the possession of Lilly Endowment Inc. of a right to
acquire such shares.
Item 4(b): The percent of class represented is based on 950,177,900
shares of common stock outstanding as of October 28, 2022, as
reported on the Issuer’s Form 10 Q for the period ended September
30, 2022.
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Attention:
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Intentional misstatements or omissions of fact constitute Federal
criminal violations (See 18 U.S.C. 1001)
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