organization · Reporting owner
Novartis Bioventures Ltd
Disclosed activity across 9 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Forma Therapeutics Holdings, Inc.FMTX · Entity 123059 | 10% owner | June 18, 2020 | June 19, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Forma Therapeutics Holdings, Inc.
Report date June 18, 2020 · Filed June 19, 2020
Jointly reported with NOVARTIS AG
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 331,221 |
Reported balance
Holding disclosure · report date 2020-06-18 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 331,221 F1: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-06-18 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F2: Each share of Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock is convertible into common stock on a one-for-4.2775 basis into the number of share of common stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock have no expiration date. F1: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-06-18 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F2: Each share of Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock is convertible into common stock on a one-for-4.2775 basis into the number of share of common stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock have no expiration date. F1: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-06-18 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance Not disclosed F2: Each share of Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock is convertible into common stock on a one-for-4.2775 basis into the number of share of common stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock have no expiration date. F1: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities.
F2: Each share of Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock is convertible into common stock on a one-for-4.2775 basis into the number of share of common stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock have no expiration date.
Past disclosures · reporting ended (8)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Section 16 reporting ended · disclosed 2020-07-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,181,258 |
Last balance in matching sequence
After 2020-06-30 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2020-06-30 · Conversion · Acquired 856,262 · Balance 856,262 F1: On June 30, 2020, the Series A Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. Row 2 · 2020-06-30 · Conversion · Acquired 199,996 · Balance 1,056,258 F3: On June 30, 2020, the Series B Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. Row 3 · 2020-06-30 · Purchase · Acquired 125,000 · Balance 1,181,258 F2: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2020-06-30 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-06-30 · Conversion · Disposed 856,262 · Balance 0 F1: On June 30, 2020, the Series A Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2020-06-30 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-06-30 · Conversion · Disposed 199,996 · Balance 0 F3: On June 30, 2020, the Series B Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. |
Filing footnotes · ownership attribution and instrument terms
F1: On June 30, 2020, the Series A Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
F2: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities.
F3: On June 30, 2020, the Series B Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
Altimmune, Inc.
Report date October 02, 2018 · Filed October 04, 2018
Jointly reported with NOVARTIS AG
Section 16 reporting ended · disclosed 2018-10-04. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
BICYCLE THERAPEUTICS PLC
Report date May 28, 2019 · Filed May 31, 2019
Jointly reported with NOVARTIS AG
Section 16 reporting ended · disclosed 2019-05-31. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 893,195 |
Reported balance
After 2019-05-28 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-05-28 · Conversion · Acquired 893,195 · Balance 893,195 F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. |
| Ordinary SharesSEC Table I · non-derivative | Direct | 964,645 |
Reported balance
After 2019-05-28 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-05-28 · Other · Acquired 71,450 · Balance 964,645 F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. |
| Ordinary SharesSEC Table I · non-derivative | Direct | 1,601,011 |
Reported balance
After 2019-05-28 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2019-05-28 · Conversion · Acquired 636,366 · Balance 1,601,011 F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. |
| Ordinary SharesSEC Table I · non-derivative | Direct | 1,769,641 |
Reported balance
After 2019-05-28 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2019-05-28 · Purchase · Acquired 168,630 · Balance 1,769,641 |
| Series A Preferred SharesSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-05-28 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-05-28 · Conversion · Disposed 893,195 · Balance 0 F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. |
| Series A Preferred Shares WarrantsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-05-28 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-05-28 · Other · Disposed 71,450 · Balance 0 F2: Upon conversion of all of the Series B1 Preferred Shares into Ordinary Shares in connection with the Issuer's initial public offering, the Warrants became exercisable for Ordinary Shares. The Warrants had an exercise price of a nominal value per share and were exercised immediately prior to completion of the Issuer's initial public offering. F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. |
| Series B1 Preferred SharesSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-05-28 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2019-05-28 · Conversion · Disposed 636,366 · Balance 0 F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date.
F2: Upon conversion of all of the Series B1 Preferred Shares into Ordinary Shares in connection with the Issuer's initial public offering, the Warrants became exercisable for Ordinary Shares. The Warrants had an exercise price of a nominal value per share and were exercised immediately prior to completion of the Issuer's initial public offering.
Galera Therapeutics, Inc.
Report date June 18, 2020 · Filed June 22, 2020
Jointly reported with NOVARTIS AG
Section 16 reporting ended · disclosed 2020-06-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,467,961 |
Last balance in matching sequence
After 2020-06-19 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2020-06-18 · Sale · Disposed 900 · Balance 3,469,273 F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $9.00 to $9.37. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2: Novartis Bioventures Ltd is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. Row 2 · 2020-06-19 · Sale · Disposed 1,001,312 · Balance 2,467,961 F3: Reflects sales of common stock executed in multiple transactions at prices ranging from $8.25 to $9.17. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2: Novartis Bioventures Ltd is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $9.00 to $9.37. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.
F2: Novartis Bioventures Ltd is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities.
F3: Reflects sales of common stock executed in multiple transactions at prices ranging from $8.25 to $9.17. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.
Ra Pharmaceuticals, Inc.
Report date June 16, 2017 · Filed June 20, 2017
Jointly reported with NOVARTIS AG
Section 16 reporting ended · disclosed 2017-06-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,251,457 |
Last balance in matching sequence
After 2017-06-19 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2017-06-16 · Sale · Disposed 53,200 · Balance 2,254,677 F1: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $21.00 to $21.67 on June 16, 2017 and $22.00 to $22.04 on June 19, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Row 2 · 2017-06-19 · Sale · Disposed 3,220 · Balance 2,251,457 F1: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $21.00 to $21.67 on June 16, 2017 and $22.00 to $22.04 on June 19, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $21.00 to $21.67 on June 16, 2017 and $22.00 to $22.04 on June 19, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.
F2: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG.
Rein Therapeutics, Inc.
Report date March 29, 2019 · Filed April 03, 2019
Jointly reported with NOVARTIS AG
Section 16 reporting ended · disclosed 2019-04-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,079,394 |
Last balance in matching sequence
After 2019-04-01 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2019-03-29 · Sale · Disposed 106,540 · Balance 2,100,004 F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.76 to $1.96. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F3: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Row 2 · 2019-04-01 · Sale · Disposed 20,610 · Balance 2,079,394 F2: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.81 to $2.02. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F3: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.76 to $1.96. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.
F2: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.81 to $2.02. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.
F3: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities.
Spyre Therapeutics, Inc.
Report date May 11, 2018 · Filed May 14, 2018
Jointly reported with NOVARTIS AG
Section 16 reporting ended · disclosed 2018-05-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,175,314 |
Reported balance
After 2018-05-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-05-11 · Sale · Disposed 19,550 · Balance 2,175,314 F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $10.00 to $10.25. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $10.00 to $10.25. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.
F2: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities.
Whitehawk Therapeutics, Inc.
Report date April 25, 2019 · Filed April 29, 2019
Jointly reported with NOVARTIS AG
Section 16 reporting ended · disclosed 2019-04-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,049,804 |
Last balance in matching sequence
After 2019-04-26 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2019-04-25 · Sale · Disposed 563,096 · Balance 4,188,508 F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.00 to $1.04. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F3: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Row 2 · 2019-04-26 · Sale · Disposed 138,704 · Balance 4,049,804 F2: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.02 to $1.05. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F3: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.00 to $1.04. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.
F2: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.02 to $1.05. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.
F3: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 13, 2018 Filed Feb 15, 2018 21:34 UTC | Altimmune, Inc. ALT · Entity 5349 | OtherSeries B Convertible Preferred Stock · Derivative | 344.9398 | Not disclosed Strike: $2.67 | Not disclosed |
DisclosureSEC source: 0001012975-18-000201 · edgar.xml · derivative · entry 3 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,724.6878 Underlying: Common Stock, par value $0.0001 · 129,188 shares Expires 2018-08-15 F4 · derivative.exercise_price: The Issuer's Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock, subject to certain restrictions, at an initial conversion price of $2.67 per share and a stated amount of $1,000 per share. F1 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.2798 per share of Common Stock. F1 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.2798 per share of Common Stock. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 21:34 UTC | Altimmune, Inc. ALT · Entity 5349 | OtherCommon Stock, par value $0.0001 | 269,527 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001012975-18-000201 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,804,088 F1 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.2798 per share of Common Stock. F1 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.2798 per share of Common Stock. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| January 17, 2018 Filed Jan 19, 2018 22:04 UTC | Altimmune, Inc. ALT · Entity 5349 | OtherSeries B Convertible Preferred Stock · Derivative | 344.9398 | Not disclosed Strike: $2.67 | Not disclosed |
DisclosureSEC source: 0001012975-18-000085 · edgar.xml · derivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,069.6276 Underlying: Common Stock, par value $0.0001 · 129,188 shares Expires 2018-08-15 F3 · derivative.exercise_price: The Issuer's Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock, subject to certain restrictions, at an initial conversion price of $2.67 per share and a stated amount of $1,000 per share. F1 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.6420 per share of Common Stock. F1 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.6420 per share of Common Stock. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| January 17, 2018 Filed Jan 19, 2018 22:04 UTC | Altimmune, Inc. ALT · Entity 5349 | OtherCommon Stock, par value $0.0001 | 176,586 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001012975-18-000085 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,534,561 F1 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.6420 per share of Common Stock. F1 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.6420 per share of Common Stock. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| December 15, 2017 Filed Dec 15, 2017 22:44 UTC | Altimmune, Inc. ALT · Entity 5349 | OtherCommon Stock, par value $0.0001 | 65,718 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001012975-17-000932 · edgar.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,357,975 F3 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.3910 per share of Common Stock. F3 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.3910 per share of Common Stock. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| December 13, 2017 Filed Dec 15, 2017 22:44 UTC | Altimmune, Inc. ALT · Entity 5349 | OtherSeries B Convertible Preferred Stock · Derivative | 344.9398 | Not disclosed Strike: $2.67 | Not disclosed |
DisclosureSEC source: 0001012975-17-000932 · edgar.xml · derivative · entry 3 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,414.5674 Underlying: Common Stock, par value $0.0001 · 129,188 shares Expires 2018-08-15 F4 · derivative.exercise_price: The Issuer's Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock, subject to certain restrictions, at an initial conversion price of $2.67 per share and a stated amount of $1,000 per share. F1 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.4213 per share of Common Stock. F1 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.4213 per share of Common Stock. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| December 13, 2017 Filed Dec 15, 2017 22:44 UTC | Altimmune, Inc. ALT · Entity 5349 | OtherCommon Stock, par value $0.0001 | 242,694 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001012975-17-000932 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,292,257 F1 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.4213 per share of Common Stock. F1 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.4213 per share of Common Stock. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| November 14, 2017 Filed Nov 16, 2017 23:54 UTC | Altimmune, Inc. ALT · Entity 5349 | OtherSeries B Convertible Preferred Stock · Derivative | 344.9398 | Not disclosed Strike: $2.67 | Not disclosed |
DisclosureSEC source: 0001012975-17-000852 · edgar.xml · derivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,759.5072 Underlying: Common Stock, par value $0.0001 · 129,188 shares Expires 2018-08-15 F3 · derivative.exercise_price: The Issuer's Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock, subject to certain restrictions, at an initial conversion price of $2.67 per share and a stated amount of $1,000 per share. F1 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.89 per share of Common Stock. F1 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.89 per share of Common Stock. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| November 14, 2017 Filed Nov 16, 2017 23:54 UTC | Altimmune, Inc. ALT · Entity 5349 | OtherCommon Stock, par value $0.0001 | 182,262 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001012975-17-000852 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,049,563 F1 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.89 per share of Common Stock. F1 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.89 per share of Common Stock. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| August 21, 2017 Filed Aug 23, 2017 20:14 UTC | Altimmune, Inc. ALT · Entity 5349 | PurchaseWarrant · Derivative | 465,086 | Not disclosed Strike: $2.67 | Not disclosed |
DisclosureSEC source: 0001012975-17-000650 · edgar.xml · derivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 465,086 Underlying: Common Stock, par value $0.0001 · 465,086 shares Expires 2018-08-15 F3 · price: Warrants to purchase shares of the Issuer's Common Stock were acquired in connection with the acquisition of the Preferred Stock and reported on this Form 4. The Warrants held by Novartis may not be exercised if such exercise would cause Novartis to hold more than 19.99% of the Issuer's Common Stock, regardless of receipt by the Issuer of the Requisite Stockholder Approval. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| August 21, 2017 Filed Aug 23, 2017 20:14 UTC | Altimmune, Inc. ALT · Entity 5349 | PurchaseSeries B Convertible Preferred Stock · Derivative | 3,104.447 | $940.00 Strike: $2.67 | $2,918,180.18 |
DisclosureSEC source: 0001012975-17-000650 · edgar.xml · derivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,104.447 Underlying: Common Stock, par value $0.0001 · 1,162,714 shares Expires 2018-08-15 F1 · derivative.exercise_price: The Issuer's Series B Convertible Preferred Stock (the "Preferred Stock") is convertible at any time at the option of the holder into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"), subject to certain restrictions, at an initial conversion price of $2.67 per share and a stated amount of $1,000 per share. Prior to the receipt of approval by the Issuer's stockholders for the issuance of shares pursuant to the conversion of the Preferred Stock (the "Requisite Stockholder Approval"), the Preferred Stock may not be converted by the holder if, as a result of such conversion, the holder, together with its affiliates, would hold more than 19.99% of the Issuer's Common Stock. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| July 05, 2017 Filed Jul 5, 2017 22:05 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | ConversionSeries F Preferred Stock · Derivative | 3,705,882 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-017838 · doc4.xml · derivative · entry 8 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 372,937 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| July 05, 2017 Filed Jul 5, 2017 22:05 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | ConversionSeries E-3 Preferred Stock · Derivative | 2,293,829 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-017838 · doc4.xml · derivative · entry 7 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 230,837 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| July 05, 2017 Filed Jul 5, 2017 22:05 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | ConversionSeries E-2 Preferred Stock · Derivative | 2,644,558 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-017838 · doc4.xml · derivative · entry 6 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 266,132 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| July 05, 2017 Filed Jul 5, 2017 22:05 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | ConversionSeries D Preferred Stock · Derivative | 6,781,770 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-017838 · doc4.xml · derivative · entry 5 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 682,476 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| July 05, 2017 Filed Jul 5, 2017 22:05 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | ConversionSeries C-2 Preferred Stock · Derivative | 4,238,607 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-017838 · doc4.xml · derivative · entry 4 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 426,547 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| July 05, 2017 Filed Jul 5, 2017 22:05 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | ConversionSeries C Preferred Stock · Derivative | 2,967,025 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-017838 · doc4.xml · derivative · entry 3 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 298,583 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| July 05, 2017 Filed Jul 5, 2017 22:05 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | PurchaseCommon Stock | 266,667 | $15.00 | $4,000,005.00 |
DisclosureSEC source: 0000899243-17-017838 · doc4.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,544,182 F3 · shares: Novartis Bioventures Ltd., a wholly-owned indirect subsidiary of Novartis AG, acquired 266,667 shares of Common Stock in the Issuer's initial public offering. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| July 05, 2017 Filed Jul 5, 2017 22:05 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | ConversionCommon Stock | 2,277,515 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-17-017838 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,277,515 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document |
| June 19, 2017 Filed Jun 20, 2017 20:41 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 3,220 | $22.02 | $70,898.60 |
DisclosureSEC source: 0001209191-17-041100 · doc4.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,251,457 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $21.00 to $21.67 on June 16, 2017 and $22.00 to $22.04 on June 19, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| June 16, 2017 Filed Jun 20, 2017 20:41 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 53,200 | $21.24 | $1,130,207.40 |
DisclosureSEC source: 0001209191-17-041100 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,254,677 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $21.00 to $21.67 on June 16, 2017 and $22.00 to $22.04 on June 19, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| June 08, 2017 Filed Jun 12, 2017 20:12 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 700 | $22.00 | $15,400.00 |
DisclosureSEC source: 0001209191-17-039137 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,307,877 F1 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| June 07, 2017 Filed Jun 8, 2017 20:33 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 4,840 | $22.11 | $106,999.33 |
DisclosureSEC source: 0001209191-17-038556 · doc4.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,308,577 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $22.58 to $23.32 on June 6, 2017 and $22.00 to $22.60 on June 7, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| June 06, 2017 Filed Jun 8, 2017 20:33 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 7,274 | $22.98 | $167,160.88 |
DisclosureSEC source: 0001209191-17-038556 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,313,417 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $22.58 to $23.32 on June 6, 2017 and $22.00 to $22.60 on June 7, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| June 05, 2017 Filed Jun 6, 2017 20:27 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 4,780 | $23.11 | $110,487.79 |
DisclosureSEC source: 0001209191-17-038124 · doc4.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,320,691 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $23.16 to $23.80 on June 2, 2017 and $22.87 to $23.40 on June 5, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| June 02, 2017 Filed Jun 6, 2017 20:27 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 14,867 | $23.47 | $348,949.30 |
DisclosureSEC source: 0001209191-17-038124 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,325,471 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $23.16 to $23.80 on June 2, 2017 and $22.87 to $23.40 on June 5, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| June 01, 2017 Filed Jun 2, 2017 20:25 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 10,722 | $23.89 | $256,176.46 |
DisclosureSEC source: 0001209191-17-037252 · doc4.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,340,338 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $23.51 to $24.21 on May 31, 2017 and $23.69 to $24.51 on June, 1 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 20:25 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 35,539 | $23.94 | $850,896.06 |
DisclosureSEC source: 0001209191-17-037252 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,351,060 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $23.51 to $24.21 on May 31, 2017 and $23.69 to $24.51 on June, 1 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| May 26, 2017 Filed May 30, 2017 20:29 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 5,300 | $25.14 | $133,267.44 |
DisclosureSEC source: 0001209191-17-036141 · doc4.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,386,599 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $25.00 on May 25, 2017 to $25.00 to $25.22 on May 26, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| May 25, 2017 Filed May 30, 2017 20:29 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 53 | $25.00 | $1,325.00 |
DisclosureSEC source: 0001209191-17-036141 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,391,899 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $25.00 on May 25, 2017 to $25.00 to $25.22 on May 26, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| May 24, 2017 Filed May 25, 2017 20:57 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 17,451 | $25.01 | $436,364.00 |
DisclosureSEC source: 0001209191-17-035464 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,391,952 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $25.00 to $25.05 on May 24, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| May 18, 2017 Filed May 22, 2017 22:50 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 9,019 | $25.50 | $229,963.76 |
DisclosureSEC source: 0001209191-17-034478 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,409,403 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $25.00 to $26.25 on May 18, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| May 17, 2017 Filed May 18, 2017 20:36 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 22,534 | $25.51 | $574,900.93 |
DisclosureSEC source: 0001209191-17-033593 · doc4.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,418,422 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $25.45 to $26.73 on May 16, 2017 and $25.00 to $26.73 on May 17, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| May 16, 2017 Filed May 18, 2017 20:36 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 20,081 | $26.33 | $528,724.70 |
DisclosureSEC source: 0001209191-17-033593 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,440,956 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $25.45 to $26.73 on May 16, 2017 and $25.00 to $26.73 on May 17, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| March 15, 2017 Filed Mar 18, 2017 00:36 UTC | Whitehawk Therapeutics, Inc. NONE · Entity 6074 | PurchaseCommon Stock | 560,000 | $5.00 | $2,800,000.00 |
DisclosureSEC source: 0000899243-17-008150 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,805,550 F1 · ownership.nature: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| March 01, 2017 Filed May 2, 2017 21:22 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 7,778 | $20.91 | $162,658.20 |
DisclosureSEC source: 0001209191-17-029277 · doc4.xml · nonDerivative · entry 6 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,461,037 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $21.85 to $21.88 on February 22, 2017; $20.74 to $21.32 on February 23, 2017; $20.85 to $21.01 on February 24, 2017; $20.85 to $21.09 on February 27, 2017; $20.50 to $21.06 on February 28, 2017; and $20.50 to $21.06 on March 1, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| February 28, 2017 Filed May 2, 2017 21:22 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 7,847 | $20.86 | $163,670.37 |
DisclosureSEC source: 0001209191-17-029277 · doc4.xml · nonDerivative · entry 5 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,468,815 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $21.85 to $21.88 on February 22, 2017; $20.74 to $21.32 on February 23, 2017; $20.85 to $21.01 on February 24, 2017; $20.85 to $21.09 on February 27, 2017; $20.50 to $21.06 on February 28, 2017; and $20.50 to $21.06 on March 1, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| February 27, 2017 Filed May 2, 2017 21:22 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 57,844 | $20.96 | $1,212,306.12 |
DisclosureSEC source: 0001209191-17-029277 · doc4.xml · nonDerivative · entry 4 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,476,662 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $21.85 to $21.88 on February 22, 2017; $20.74 to $21.32 on February 23, 2017; $20.85 to $21.01 on February 24, 2017; $20.85 to $21.09 on February 27, 2017; $20.50 to $21.06 on February 28, 2017; and $20.50 to $21.06 on March 1, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| February 24, 2017 Filed May 2, 2017 21:22 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 5,398 | $20.93 | $112,999.57 |
DisclosureSEC source: 0001209191-17-029277 · doc4.xml · nonDerivative · entry 3 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,534,506 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $21.85 to $21.88 on February 22, 2017; $20.74 to $21.32 on February 23, 2017; $20.85 to $21.01 on February 24, 2017; $20.85 to $21.09 on February 27, 2017; $20.50 to $21.06 on February 28, 2017; and $20.50 to $21.06 on March 1, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| February 23, 2017 Filed May 2, 2017 21:22 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 4,999 | $21.04 | $105,159.96 |
DisclosureSEC source: 0001209191-17-029277 · doc4.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,539,904 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $21.85 to $21.88 on February 22, 2017; $20.74 to $21.32 on February 23, 2017; $20.85 to $21.01 on February 24, 2017; $20.85 to $21.09 on February 27, 2017; $20.50 to $21.06 on February 28, 2017; and $20.50 to $21.06 on March 1, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| February 22, 2017 Filed May 2, 2017 21:22 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 749 | $21.86 | $16,369.62 |
DisclosureSEC source: 0001209191-17-029277 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,544,903 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $21.85 to $21.88 on February 22, 2017; $20.74 to $21.32 on February 23, 2017; $20.85 to $21.01 on February 24, 2017; $20.85 to $21.09 on February 27, 2017; $20.50 to $21.06 on February 28, 2017; and $20.50 to $21.06 on March 1, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| October 31, 2016 Filed Oct 31, 2016 20:50 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | ConversionSeries B-2 Preferred Stock · Derivative | 3,402,729 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-16-153345 · a4.xml · derivative · entry 10 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 486,104 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: Each share of the Series B-2 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F5 · price: Each share of the Series B-2 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F5 · derivative.exercise_date: Each share of the Series B-2 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F5 · derivative.expiration_date: Each share of the Series B-2 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F1 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| October 31, 2016 Filed Oct 31, 2016 20:50 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | ConversionSeries B-1 Preferred Stock · Derivative | 3,657,932 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-16-153345 · a4.xml · derivative · entry 9 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 522,561 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each share of the Series B-1 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F4 · price: Each share of the Series B-1 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F4 · derivative.exercise_date: Each share of the Series B-1 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F4 · derivative.expiration_date: Each share of the Series B-1 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F1 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| October 31, 2016 Filed Oct 31, 2016 20:50 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | ConversionSeries A Preferred Stock · Derivative | 9,728,589 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-16-153345 · a4.xml · derivative · entry 8 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,389,797 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of the Series A Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F3 · price: Each share of the Series A Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F3 · derivative.exercise_date: Each share of the Series A Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F3 · derivative.expiration_date: Each share of the Series A Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F1 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| October 31, 2016 Filed Oct 31, 2016 20:50 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | OtherWarrants to Purchase Common Stock · Derivative | 62,914 | Not disclosed Strike: $0.07 | Not disclosed |
DisclosureSEC source: 0001104659-16-153345 · a4.xml · derivative · entry 7 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 62,914 shares Expires 2022-04-01 F2 · derivative.exercise_price: The Warrants automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision, resulting in the Issuer withholding 339 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 62,575 shares, after deducting the aggregate exercise price. F2 · price: The Warrants automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision, resulting in the Issuer withholding 339 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 62,575 shares, after deducting the aggregate exercise price. F2 · derivative.exercise_date: The Warrants automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision, resulting in the Issuer withholding 339 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 62,575 shares, after deducting the aggregate exercise price. F1 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| October 31, 2016 Filed Oct 31, 2016 20:50 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | PurchaseCommon Stock | 84,615 | $13.00 | $1,099,995.00 |
DisclosureSEC source: 0001104659-16-153345 · a4.xml · nonDerivative · entry 6 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,545,652 F1 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| October 31, 2016 Filed Oct 31, 2016 20:50 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | ConversionCommon Stock | 486,104 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-16-153345 · a4.xml · nonDerivative · entry 5 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,461,037 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · price: Each share of the Series B-2 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F1 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| October 31, 2016 Filed Oct 31, 2016 20:50 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | ConversionCommon Stock | 522,561 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-16-153345 · a4.xml · nonDerivative · entry 4 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,974,933 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: Each share of the Series B-1 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F1 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| October 31, 2016 Filed Oct 31, 2016 20:50 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | ConversionCommon Stock | 1,389,797 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-16-153345 · a4.xml · nonDerivative · entry 3 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,452,372 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of the Series A Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F1 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| October 31, 2016 Filed Oct 31, 2016 20:50 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 339 | $13.00 | $4,407.00 |
DisclosureSEC source: 0001104659-16-153345 · a4.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,575 F2 · kind: The Warrants automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision, resulting in the Issuer withholding 339 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 62,575 shares, after deducting the aggregate exercise price. F2 · price: The Warrants automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision, resulting in the Issuer withholding 339 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 62,575 shares, after deducting the aggregate exercise price. F1 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.