organization · Reporting owner
Novartis Institutes for BioMedical Research, Inc.
Disclosed activity across 3 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Intellia Therapeutics, Inc.NTLA · Entity 4585 | 10% owner | December 31, 2018 | February 14, 2019 |
| Surface Oncology, Inc.SURF · Entity 109857 | 10% owner | April 23, 2018 | April 23, 2018 |
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.
Intellia Therapeutics, Inc.
Report date December 31, 2018 · Filed February 14, 2019
Jointly reported with NOVARTIS AG
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 4,352,295 |
Last balance in matching sequence
After 2018-07-16 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2018-05-16 · Other · Acquired 25,074 · Balance 4,302,147 F1: Pro rata distribution from Atlas Venture Fund IX, L.P., of which Novartis Institutes for BioMedical Research, Inc. ("NIBRI") is a limited partner. F2: The shares are held directly by NIBRI. NIBRI is an indirect wholly-owned subsidiary of Novartis AG. Row 2 · 2018-06-18 · Other · Acquired 25,074 · Balance 4,327,221 F1: Pro rata distribution from Atlas Venture Fund IX, L.P., of which Novartis Institutes for BioMedical Research, Inc. ("NIBRI") is a limited partner. F2: The shares are held directly by NIBRI. NIBRI is an indirect wholly-owned subsidiary of Novartis AG. Row 3 · 2018-07-16 · Other · Acquired 25,074 · Balance 4,352,295 F1: Pro rata distribution from Atlas Venture Fund IX, L.P., of which Novartis Institutes for BioMedical Research, Inc. ("NIBRI") is a limited partner. F2: The shares are held directly by NIBRI. NIBRI is an indirect wholly-owned subsidiary of Novartis AG. |
Filing footnotes · ownership attribution and instrument terms
F1: Pro rata distribution from Atlas Venture Fund IX, L.P., of which Novartis Institutes for BioMedical Research, Inc. ("NIBRI") is a limited partner.
F2: The shares are held directly by NIBRI. NIBRI is an indirect wholly-owned subsidiary of Novartis AG.
Surface Oncology, Inc.
Report date April 23, 2018 · Filed April 23, 2018
Jointly reported with NOVARTIS AG
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,948,482 |
Last balance in matching sequence
After 2018-04-23 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2018-04-23 · Conversion · Acquired 2,272,726 · Balance 2,272,726 F1: The 1,571,429 shares of Series A Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 2,272,726 shares of the Issuer's Common Stock without payment or further consideration. F3: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG. Row 2 · 2018-04-23 · Conversion · Acquired 909,090 · Balance 3,181,816 F2: The 5,214,286 shares of Series A-1 Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 909,090 shares of the Issuer's Common Stock without payment or further consideration. F3: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG. Row 3 · 2018-04-23 · Purchase · Acquired 766,666 · Balance 3,948,482 F3: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG. |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-04-23 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-04-23 · Conversion · Disposed 1,571,429 · Balance 0 F1: The 1,571,429 shares of Series A Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 2,272,726 shares of the Issuer's Common Stock without payment or further consideration. F4: Not applicable. F3: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG. |
| Series A-1 Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-04-23 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-04-23 · Conversion · Disposed 5,214,286 · Balance 0 F2: The 5,214,286 shares of Series A-1 Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 909,090 shares of the Issuer's Common Stock without payment or further consideration. F4: Not applicable. F3: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG. |
Filing footnotes · ownership attribution and instrument terms
F1: The 1,571,429 shares of Series A Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 2,272,726 shares of the Issuer's Common Stock without payment or further consideration.
F2: The 5,214,286 shares of Series A-1 Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 909,090 shares of the Issuer's Common Stock without payment or further consideration.
F3: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG.
F4: Not applicable.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Section 16 reporting ended · disclosed 2018-04-04. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,979,226 |
Reported balance
After 2018-04-02 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-04-02 · Conversion · Acquired 1,979,226 · Balance 1,979,226 F1: The securities reported herein are held of record by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of Novartis AG. Novartis AG may therefore be deemed to have or share beneficial ownership of the Common Stock held directly by NIBRI. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-04-02 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-04-02 · Conversion · Disposed 1,979,226 · Balance 0 F2: Upon closing of the Issuer's initial public offering, each share of preferred stock was automatically converted into one share of the Issuer's common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities reported herein are held of record by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of Novartis AG. Novartis AG may therefore be deemed to have or share beneficial ownership of the Common Stock held directly by NIBRI.
F2: Upon closing of the Issuer's initial public offering, each share of preferred stock was automatically converted into one share of the Issuer's common stock.
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 |
|---|---|---|---|---|---|---|
| July 16, 2018 Filed Feb 14, 2019 21:02 UTC | Intellia Therapeutics, Inc. NTLA · Entity 4585 | OtherCommon Stock | 25,074 | $0.00 | $0.00 |
DisclosureSEC source: 0000925421-19-000049 · edgar.xml · nonDerivative · entry 3 Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 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: 4,352,295 F1 · kind: Pro rata distribution from Atlas Venture Fund IX, L.P., of which Novartis Institutes for BioMedical Research, Inc. ("NIBRI") is a limited partner. F2 · ownership.direct: The shares are held directly by NIBRI. NIBRI is an indirect wholly-owned subsidiary of Novartis AG. Read SEC document |
| June 18, 2018 Filed Feb 14, 2019 21:02 UTC | Intellia Therapeutics, Inc. NTLA · Entity 4585 | OtherCommon Stock | 25,074 | $0.00 | $0.00 |
DisclosureSEC source: 0000925421-19-000049 · edgar.xml · nonDerivative · entry 2 Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 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: 4,327,221 F1 · kind: Pro rata distribution from Atlas Venture Fund IX, L.P., of which Novartis Institutes for BioMedical Research, Inc. ("NIBRI") is a limited partner. F2 · ownership.direct: The shares are held directly by NIBRI. NIBRI is an indirect wholly-owned subsidiary of Novartis AG. Read SEC document |
| May 16, 2018 Filed Feb 14, 2019 21:02 UTC | Intellia Therapeutics, Inc. NTLA · Entity 4585 | OtherCommon Stock | 25,074 | $0.00 | $0.00 |
DisclosureSEC source: 0000925421-19-000049 · edgar.xml · nonDerivative · entry 1 Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 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: 4,302,147 F1 · kind: Pro rata distribution from Atlas Venture Fund IX, L.P., of which Novartis Institutes for BioMedical Research, Inc. ("NIBRI") is a limited partner. F2 · ownership.direct: The shares are held directly by NIBRI. NIBRI is an indirect wholly-owned subsidiary of Novartis AG. Read SEC document |
| April 23, 2018 Filed Apr 23, 2018 20:43 UTC | Surface Oncology, Inc. SURF · Entity 109857 | ConversionSeries A-1 Preferred Stock · Derivative | 5,214,286 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-025864 · a4.xml · derivative · entry 5 Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 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 · 909,090 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. F2 · derivative.exercise_price: The 5,214,286 shares of Series A-1 Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 909,090 shares of the Issuer's Common Stock without payment or further consideration. F2 · derivative.exercise_date: The 5,214,286 shares of Series A-1 Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 909,090 shares of the Issuer's Common Stock without payment or further consideration. F4 · derivative.expiration_date: Not applicable. F3 · ownership.direct: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG. Read SEC document |
| April 23, 2018 Filed Apr 23, 2018 20:43 UTC | Surface Oncology, Inc. SURF · Entity 109857 | ConversionSeries A Preferred Stock · Derivative | 1,571,429 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-025864 · a4.xml · derivative · entry 4 Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 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 · 2,272,726 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 1,571,429 shares of Series A Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 2,272,726 shares of the Issuer's Common Stock without payment or further consideration. F1 · derivative.exercise_date: The 1,571,429 shares of Series A Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 2,272,726 shares of the Issuer's Common Stock without payment or further consideration. F4 · derivative.expiration_date: Not applicable. F3 · ownership.direct: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG. Read SEC document |
| April 23, 2018 Filed Apr 23, 2018 20:43 UTC | Surface Oncology, Inc. SURF · Entity 109857 | PurchaseCommon Stock | 766,666 | $15.00 | $11,499,990.00 |
DisclosureSEC source: 0001104659-18-025864 · a4.xml · nonDerivative · entry 3 Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 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: 3,948,482 F3 · ownership.direct: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG. Read SEC document |
| April 23, 2018 Filed Apr 23, 2018 20:43 UTC | Surface Oncology, Inc. SURF · Entity 109857 | ConversionCommon Stock | 909,090 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-025864 · a4.xml · nonDerivative · entry 2 Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 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: 3,181,816 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. F2 · price: The 5,214,286 shares of Series A-1 Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 909,090 shares of the Issuer's Common Stock without payment or further consideration. F3 · ownership.direct: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG. Read SEC document |
| April 23, 2018 Filed Apr 23, 2018 20:43 UTC | Surface Oncology, Inc. SURF · Entity 109857 | ConversionCommon Stock | 2,272,726 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-025864 · a4.xml · nonDerivative · entry 1 Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 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: 2,272,726 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 1,571,429 shares of Series A Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 2,272,726 shares of the Issuer's Common Stock without payment or further consideration. F3 · ownership.direct: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 20:24 UTC | Q32 Bio Inc. FIXX · Entity 5594 | ConversionSeries B Preferred Stock · Derivative | 1,979,226 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-009444 · doc4.xml · derivative · entry 2 Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 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 · 1,979,226 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. F2 · derivative.exercise_price: Upon closing of the Issuer's initial public offering, each share of preferred stock was automatically converted into one share of the Issuer's common stock. F2 · derivative.exercise_date: Upon closing of the Issuer's initial public offering, each share of preferred stock was automatically converted into one share of the Issuer's common stock. F2 · derivative.expiration_date: Upon closing of the Issuer's initial public offering, each share of preferred stock was automatically converted into one share of the Issuer's common stock. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 20:24 UTC | Q32 Bio Inc. FIXX · Entity 5594 | ConversionCommon Stock | 1,979,226 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-009444 · doc4.xml · nonDerivative · entry 1 Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 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: 1,979,226 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 · ownership.direct: The securities reported herein are held of record by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of Novartis AG. Novartis AG may therefore be deemed to have or share beneficial ownership of the Common Stock held directly by NIBRI. Read SEC document |
| December 12, 2017 Filed Dec 14, 2017 17:19 UTC | Intellia Therapeutics, Inc. NTLA · Entity 4585 | SaleCommon Stock | 1,523,000 | $18.30 | $27,870,900.00 |
DisclosureSEC source: 0001104659-17-073312 · a4.xml · nonDerivative · entry 1 Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 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: 4,129,903 F1 · price: The price reported in Column 4 is exclusive of any fees, commissions or other expenses. F2 · ownership.direct: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of Novartis AG. Read SEC document |
| March 03, 2017 Filed Mar 7, 2017 20:11 UTC | Intellia Therapeutics, Inc. NTLA · Entity 4585 | OtherCommon Stock | 79,245 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-018679 · doc4.xml · nonDerivative · entry 1 Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 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: 5,652,903 F1 · kind: Pro rata distribution from Atlas Venture Fund IX, L.P., of which Novartis Institutes for BioMedical Research, Inc. ("NIBRI") is a limited partner. F2 · ownership.direct: The shares are held directly by NIBRI. NIBRI is an indirect wholly-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.