Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AveXis, Inc.AVXS · Entity 166664 | 10% owner | May 15, 2018 | May 15, 2018 |
| Cellular Biomedicine Group, Inc.CBMG · Entity 142413 | 10% owner | August 11, 2020 | August 14, 2020 |
| Forma Therapeutics Holdings, Inc.FMTX · Entity 123059 | 10% owner | June 18, 2020 | June 19, 2020 |
| Intellia Therapeutics, Inc.NTLA · Entity 4585 | 10% owner | December 31, 2018 | February 14, 2019 |
| PRECISION BIOSCIENCES INCDTIL · Entity 6284 | 10% owner | June 15, 2022 | June 27, 2022 |
| Surface Oncology, Inc.SURF · Entity 109857 | 10% owner | April 23, 2018 | April 23, 2018 |
| Tourmaline Bio, Inc.TRML · Entity 15643 | 10% owner | October 28, 2025 | October 28, 2025 |
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.
AveXis, Inc.
Report date May 15, 2018 · Filed May 15, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001SEC Table I · non-derivative | IndirectSee Footnote | 36,816,476 |
Reported balance
Holding disclosure · report date 2018-05-15 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 36,816,476 F1: These shares are owned directly by Novartis AM Merger Corporation, an indirect wholly-owned subsidiary of Novartis AG. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are owned directly by Novartis AM Merger Corporation, an indirect wholly-owned subsidiary of Novartis AG.
Cellular Biomedicine Group, Inc.
Report date August 11, 2020 · Filed August 14, 2020
Jointly reported with NOVARTIS PHARMA AG
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,458,257 |
Reported balance
Holding disclosure · report date 2020-08-11 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 1,458,257 F1: Novartis Pharma AG is the record holder of the securities reported herein. As the parent of Novartis Pharma AG, Novartis AG may be deemed to share beneficial ownership of these securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Novartis Pharma AG is the record holder of the securities reported herein. As the parent of Novartis Pharma AG, Novartis AG may be deemed to share beneficial ownership of these securities.
Forma Therapeutics Holdings, Inc.
Report date June 18, 2020 · Filed June 19, 2020
Jointly reported with Novartis Bioventures Ltd
| 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.
Intellia Therapeutics, Inc.
Report date December 31, 2018 · Filed February 14, 2019
Jointly reported with Novartis Institutes for BioMedical Research, Inc.
| 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.
PRECISION BIOSCIENCES INC
Report date June 15, 2022 · Filed June 27, 2022
Jointly reported with NOVARTIS PHARMA AG
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 12,407,440 |
Reported balance
Holding disclosure · report date 2022-06-15 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 12,407,440 F1: Novartis Pharma AG is the record holder of the securities reported herein. As the parent of Novartis Pharma AG, Novartis AG is the beneficial ownership of these securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Novartis Pharma AG is the record holder of the securities reported herein. As the parent of Novartis Pharma AG, Novartis AG is the beneficial ownership of these securities.
Surface Oncology, Inc.
Report date April 23, 2018 · Filed April 23, 2018
Jointly reported with Novartis Institutes for BioMedical Research, Inc.
| 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.
Tourmaline Bio, Inc.
Report date October 28, 2025 · Filed October 28, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001SEC Table I · non-derivative | IndirectSee Footnote | 24,030,382 |
Reported balance
Holding disclosure · report date 2025-10-28 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 24,030,382 F1: These shares are owned directly by Torino Merger Sub Inc., an indirect wholly-owned subsidiary of Novartis AG. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are owned directly by Torino Merger Sub Inc., an indirect wholly-owned subsidiary of Novartis AG.
Past disclosures · reporting ended (10)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Akouos, Inc.
Report date June 30, 2020 · Filed July 02, 2020
Jointly reported with Novartis Bioventures Ltd
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 Bioventures Ltd
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 Bioventures Ltd
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 Bioventures Ltd
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.
Poseida Therapeutics, Inc.
Report date July 14, 2020 · Filed July 16, 2020
Jointly reported with NOVARTIS PHARMA AG
Section 16 reporting ended · disclosed 2020-07-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 5,908,089 |
Reported balance
After 2020-07-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-07-14 · Conversion · Acquired 5,908,089 · Balance 5,908,089 F1: Each share of the Issuer's Series C Preferred Stock automatically converted into 0.8019246 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering. The Series C Preferred Stock had no expiration date. F2: These securities are owned directly by Novartis Pharma AG, a direct, wholly-owned subsidiary of Novartis AG. Novartis AG is an indirect beneficial owner of these securities. |
| Series C Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-07-14 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-07-14 · Conversion · Disposed 7,367,387 · Balance 0 F1: Each share of the Issuer's Series C Preferred Stock automatically converted into 0.8019246 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering. The Series C Preferred Stock had no expiration date. F2: These securities are owned directly by Novartis Pharma AG, a direct, wholly-owned subsidiary of Novartis AG. Novartis AG is an indirect beneficial owner of these securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of the Issuer's Series C Preferred Stock automatically converted into 0.8019246 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering. The Series C Preferred Stock had no expiration date.
F2: These securities are owned directly by Novartis Pharma AG, a direct, wholly-owned subsidiary of Novartis AG. Novartis AG is an indirect beneficial owner of these securities.
Q32 Bio Inc.
Report date April 02, 2018 · Filed April 04, 2018
Jointly reported with Novartis Institutes for BioMedical Research, Inc.
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.
Ra Pharmaceuticals, Inc.
Report date June 16, 2017 · Filed June 20, 2017
Jointly reported with Novartis Bioventures Ltd
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 Bioventures Ltd
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 Bioventures Ltd
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 Bioventures Ltd
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 |
|---|---|---|---|---|---|---|
| March 29, 2019 Filed Apr 3, 2019 00:23 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 106,540 | $1.85 | $197,099.00 |
DisclosureSEC source: 0000925421-19-000143 · 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: Direct Disclosed balance after: 2,100,004 F1 · price: 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 · 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 |
| March 29, 2019 Filed Apr 3, 2019 00:09 UTC | Whitehawk Therapeutics, Inc. ARPO · Entity 6074 | SaleCommon Stock | 63,100 | $0.91 | $57,421.00 |
DisclosureSEC source: 0000925421-19-000141 · 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: 5,419,804 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $0.88 to $0.96. 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. F4 · ownership.nature: 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 |
| March 28, 2019 Filed Mar 28, 2019 21:16 UTC | Whitehawk Therapeutics, Inc. ARPO · Entity 6074 | SaleCommon Stock | 88,835 | $0.94 | $83,504.90 |
DisclosureSEC source: 0000925421-19-000139 · edgar.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: Indirect · See Footnote Disclosed balance after: 5,482,904 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $0.92 to $1.00. 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. F4 · 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 27, 2019 Filed Mar 28, 2019 21:16 UTC | Whitehawk Therapeutics, Inc. ARPO · Entity 6074 | SaleCommon Stock | 50,749 | $0.99 | $50,241.51 |
DisclosureSEC source: 0000925421-19-000139 · 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: 5,571,739 F2 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $0.99 to $1.02. 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. F4 · 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 26, 2019 Filed Mar 28, 2019 21:16 UTC | Whitehawk Therapeutics, Inc. ARPO · Entity 6074 | SaleCommon Stock | 177,762 | $1.01 | $179,539.62 |
DisclosureSEC source: 0000925421-19-000139 · 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: 5,622,488 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.00 to $1.06. 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. F4 · 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 15, 2019 Filed Mar 15, 2019 21:25 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 43,800 | $1.92 | $84,096.00 |
DisclosureSEC source: 0000925421-19-000114 · edgar.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: 2,206,544 F4 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.85 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. 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 |
| March 14, 2019 Filed Mar 15, 2019 21:25 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 13,800 | $1.88 | $25,944.00 |
DisclosureSEC source: 0000925421-19-000114 · 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: Direct Disclosed balance after: 2,250,344 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.85 to $1.915. 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 · 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 |
| March 13, 2019 Filed Mar 15, 2019 21:25 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 132,738 | $2.12 | $281,404.56 |
DisclosureSEC source: 0000925421-19-000114 · 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: Direct Disclosed balance after: 2,264,144 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.00 to $2.42. 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 · 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 |
| September 12, 2018 Filed Sep 14, 2018 13:14 UTC | Altimmune, Inc. ALT · Entity 5349 | OtherWarrants · Derivative | 465,086 | Not disclosed Strike: $2.67 | Not disclosed |
DisclosureSEC source: 0001012975-18-001065 · 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: 0 Underlying: Common Stock, par value $0.0001 · 465,086 shares Expires 2022-08-21 F1 · kind: Pursuant to the terms of the Exchange Agreement between the Issuer and the Reporting Persons dated July 11, 2018, the remaining warrants to purchase the Issuer's common stock (the "Warrants") were exchanged for shares of the Issuer's common stock, par value $0.0001 per share. 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 |
| September 12, 2018 Filed Sep 14, 2018 13:14 UTC | Altimmune, Inc. ALT · Entity 5349 | OtherCommon Stock, par value $0.0001 | 2,069,993 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001012975-18-001065 · 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: 8,345,145 F1 · kind: Pursuant to the terms of the Exchange Agreement between the Issuer and the Reporting Persons dated July 11, 2018, the remaining warrants to purchase the Issuer's common stock (the "Warrants") were exchanged for shares of the Issuer's common stock, par value $0.0001 per share. F1 · price: Pursuant to the terms of the Exchange Agreement between the Issuer and the Reporting Persons dated July 11, 2018, the remaining warrants to purchase the Issuer's common stock (the "Warrants") were exchanged for shares of the Issuer's common stock, par value $0.0001 per share. 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 20, 2018 Filed Aug 22, 2018 20:34 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 20,388 | $2.30 | $46,892.40 |
DisclosureSEC source: 0000925421-18-000300 · 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: Direct Disclosed balance after: 2,396,882 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.06 to $2.53. 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 · 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 |
| August 20, 2018 Filed Aug 22, 2018 20:07 UTC | Whitehawk Therapeutics, Inc. ARPO · Entity 6074 | SaleCommon Stock | 5,300 | $3.90 | $20,670.00 |
DisclosureSEC source: 0000925421-18-000298 · 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: 5,800,250 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $3.90 to $3.91. 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 · 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 17, 2018 Filed Aug 20, 2018 21:12 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 8,700 | $2.10 | $18,270.00 |
DisclosureSEC source: 0000925421-18-000294 · 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: Direct Disclosed balance after: 2,417,270 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.02 to $2.18. 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 · 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 |
| August 16, 2018 Filed Aug 20, 2018 21:12 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 8,808 | $2.10 | $18,496.80 |
DisclosureSEC source: 0000925421-18-000294 · 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: Direct Disclosed balance after: 2,425,970 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.02 to $2.20. 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 · 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 |
| August 15, 2018 Filed Aug 16, 2018 20:18 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 2,635 | $2.15 | $5,665.25 |
DisclosureSEC source: 0000925421-18-000292 · 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: Direct Disclosed balance after: 2,434,778 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.13 to $2.25. 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 · 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 |
| August 14, 2018 Filed Aug 16, 2018 20:18 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 3,300 | $2.26 | $7,458.00 |
DisclosureSEC source: 0000925421-18-000292 · 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: Direct Disclosed balance after: 2,437,413 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.17 to $2.33. 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 · 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 |
| August 13, 2018 Filed Aug 14, 2018 21:05 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 1,600 | $2.36 | $3,776.00 |
DisclosureSEC source: 0000925421-18-000290 · 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: Direct Disclosed balance after: 2,440,713 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.32 to $2.40. 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 · 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 |
| August 10, 2018 Filed Aug 14, 2018 21:05 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 5,615 | $2.44 | $13,700.60 |
DisclosureSEC source: 0000925421-18-000290 · 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: Direct Disclosed balance after: 2,442,313 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.40 to $2.48. 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 · 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 |
| August 09, 2018 Filed Aug 10, 2018 20:29 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 235 | $2.48 | $582.80 |
DisclosureSEC source: 0000925421-18-000284 · 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: Direct Disclosed balance after: 2,447,928 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.47 to $2.50. 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 · 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 |
| August 08, 2018 Filed Aug 10, 2018 20:29 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 1,000 | $2.78 | $2,780.00 |
DisclosureSEC source: 0000925421-18-000284 · 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: Direct Disclosed balance after: 2,448,163 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.77 to $2.81. 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 · 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 |
| August 07, 2018 Filed Aug 8, 2018 20:21 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 1,739 | $2.97 | $5,164.83 |
DisclosureSEC source: 0000925421-18-000282 · 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: Direct Disclosed balance after: 2,449,163 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.95 to $2.98. 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 · 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 |
| August 06, 2018 Filed Aug 8, 2018 20:21 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 2,942 | $3.02 | $8,884.84 |
DisclosureSEC source: 0000925421-18-000282 · 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: Direct Disclosed balance after: 2,450,902 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $3.00 to $3.03. 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 · 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 |
| August 02, 2018 Filed Aug 6, 2018 20:22 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 4,702 | $3.33 | $15,657.66 |
DisclosureSEC source: 0000925421-18-000278 · 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: Direct Disclosed balance after: 2,453,844 F1 · 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 |
| August 01, 2018 Filed Aug 2, 2018 20:33 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 8,181 | $3.22 | $26,342.82 |
DisclosureSEC source: 0000925421-18-000274 · 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: Direct Disclosed balance after: 2,458,546 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $3.10 to $3.25. 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 · 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 31, 2018 Filed Aug 2, 2018 20:33 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 4,500 | $3.07 | $13,815.00 |
DisclosureSEC source: 0000925421-18-000274 · 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: Direct Disclosed balance after: 2,466,727 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $3.08 to $3.14. 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 · 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 30, 2018 Filed Jul 31, 2018 20:16 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 2,000 | $3.27 | $6,540.00 |
DisclosureSEC source: 0000925421-18-000265 · 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: Direct Disclosed balance after: 2,471,227 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $3.14 to $3.30. 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 · 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 27, 2018 Filed Jul 31, 2018 20:16 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 6,458 | $3.38 | $21,828.04 |
DisclosureSEC source: 0000925421-18-000265 · 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: Direct Disclosed balance after: 2,473,227 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $3.36 to $3.50. 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 · 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 26, 2018 Filed Jul 27, 2018 20:21 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 7,937 | $3.63 | $28,811.31 |
DisclosureSEC source: 0000925421-18-000263 · 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: Direct Disclosed balance after: 2,479,685 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $3.52 to $3.81. 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 · 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 25, 2018 Filed Jul 27, 2018 20:21 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 12,460 | $3.84 | $47,846.40 |
DisclosureSEC source: 0000925421-18-000263 · 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: Direct Disclosed balance after: 2,487,622 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $3.75 to $3.92. 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 · 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 24, 2018 Filed Jul 25, 2018 20:35 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 700 | $4.11 | $2,877.00 |
DisclosureSEC source: 0000925421-18-000261 · 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: Direct Disclosed balance after: 2,500,082 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $4.04 to $4.22. 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 · 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 23, 2018 Filed Jul 25, 2018 20:35 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 30,600 | $4.25 | $130,050.00 |
DisclosureSEC source: 0000925421-18-000261 · 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: Direct Disclosed balance after: 2,500,782 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $4.23 to $4.33. 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 · 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 17, 2018 Filed Jul 18, 2018 20:17 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 12,500 | $4.71 | $58,875.00 |
DisclosureSEC source: 0000925421-18-000259 · 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: Direct Disclosed balance after: 2,531,382 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 16, 2018 Filed Jul 18, 2018 20:17 UTC | Rein Therapeutics, Inc. ALRN · Entity 7071 | SaleCommon Stock | 300 | $5.15 | $1,545.00 |
DisclosureSEC source: 0000925421-18-000259 · 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: Direct Disclosed balance after: 2,543,882 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $5.14 to $5.16. 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 · 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 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 |
| July 11, 2018 Filed Jul 13, 2018 20:02 UTC | Altimmune, Inc. ALT · Entity 5349 | OtherSeries B Convertible Preferred Stock · Derivative | 344.9287 | $940.00 Strike: $2.67 | $324,232.98 |
DisclosureSEC source: 0001012975-18-000911 · 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: 0 Underlying: Common Stock, par value $0.0001 · 129,188 shares Expires 2018-08-15 F1 · kind: Pursuant to the terms of the Exchange Agreement between the Issuer and the Reporting Persons dated July 11, 2018, the remaining shares of the Issuer's Series B Convertible Preferred Stock (the "Preferred Stock") were exchanged for shares of the Issuer's common stock, par value $0.0001 per share. 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 11, 2018 Filed Jul 13, 2018 20:02 UTC | Altimmune, Inc. ALT · Entity 5349 | OtherCommon Stock, par value $0.0001 | 663,346 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001012975-18-000911 · 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: 6,275,152 F1 · kind: Pursuant to the terms of the Exchange Agreement between the Issuer and the Reporting Persons dated July 11, 2018, the remaining shares of the Issuer's Series B Convertible Preferred Stock (the "Preferred Stock") were exchanged for shares of the Issuer's common stock, par value $0.0001 per share. F1 · price: Pursuant to the terms of the Exchange Agreement between the Issuer and the Reporting Persons dated July 11, 2018, the remaining shares of the Issuer's Series B Convertible Preferred Stock (the "Preferred Stock") were exchanged for shares of the Issuer's common stock, par value $0.0001 per share. 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 |
| 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 |
| June 15, 2018 Filed Jun 19, 2018 21:03 UTC | Altimmune, Inc. ALT · Entity 5349 | OtherCommon Stock, par value $0.0001 | 14,449 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001012975-18-000853 · 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: 5,611,806 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 $0.4410 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 $0.4410 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 |
| June 13, 2018 Filed Jun 15, 2018 21:11 UTC | Altimmune, Inc. ALT · Entity 5349 | OtherSeries B Convertible Preferred Stock · Derivative | 344.9398 | Not disclosed Strike: $2.67 | Not disclosed |
DisclosureSEC source: 0001012975-18-000851 · 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: 344.9287 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 $0.4785 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 $0.4785 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 |
| June 13, 2018 Filed Jun 15, 2018 21:11 UTC | Altimmune, Inc. ALT · Entity 5349 | OtherCommon Stock, par value $0.0001 | 720,878 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001012975-18-000851 · 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: 5,597,357 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 $0.4785 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 $0.4785 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 |
| May 16, 2018 Filed May 17, 2018 20:07 UTC | Altimmune, Inc. ALT · Entity 5349 | OtherSeries B Convertible Preferred Stock · Derivative | 344.9398 | Not disclosed Strike: $2.67 | Not disclosed |
DisclosureSEC source: 0001012975-18-000444 · 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: 689.8685 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. 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 $0.4493 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 $0.4493 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 |
| May 16, 2018 Filed May 17, 2018 20:07 UTC | Altimmune, Inc. ALT · Entity 5349 | OtherCommon Stock, par value $0.0001 | 767,728 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001012975-18-000444 · 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: 4,876,479 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 $0.4493 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 $0.4493 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 |
| 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 |
| May 15, 2018 Filed May 17, 2018 20:07 UTC | Altimmune, Inc. ALT · Entity 5349 | OtherCommon Stock, par value $0.0001 | 274,703 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001012975-18-000444 · 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: 4,108,751 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 $0.4553 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 $0.4553 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 |
| May 11, 2018 Filed May 14, 2018 20:01 UTC | Spyre Therapeutics, Inc. AGLE · Entity 2649 | SaleCommon Stock | 19,550 | $10.06 | $196,673.00 |
DisclosureSEC source: 0001140361-18-023310 · form4.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: 2,175,314 F1 · price: 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 · 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 |
| May 10, 2018 Filed May 11, 2018 20:28 UTC | Spyre Therapeutics, Inc. AGLE · Entity 2649 | SaleCommon Stock | 22,725 | $10.13 | $230,204.25 |
DisclosureSEC source: 0001140361-18-023060 · form4.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: 2,194,864 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $10.00 to $10.34. 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 · 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 |
| May 09, 2018 Filed May 11, 2018 20:28 UTC | Spyre Therapeutics, Inc. AGLE · Entity 2649 | SaleCommon Stock | 51,230 | $10.11 | $517,935.30 |
DisclosureSEC source: 0001140361-18-023060 · form4.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: 2,217,589 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $10.00 to $10.48. 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 · 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 |
| May 08, 2018 Filed May 9, 2018 20:01 UTC | Spyre Therapeutics, Inc. AGLE · Entity 2649 | SaleCommon Stock | 26,557 | $10.03 | $266,366.71 |
DisclosureSEC source: 0001140361-18-022477 · form4.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: 2,268,819 F3 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $10.00 to $10.12. 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 · 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 |
| May 07, 2018 Filed May 9, 2018 20:01 UTC | Spyre Therapeutics, Inc. AGLE · Entity 2649 | SaleCommon Stock | 15,548 | $10.11 | $157,190.28 |
DisclosureSEC source: 0001140361-18-022477 · form4.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: 2,295,376 F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $10.00 to $10.33. 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 · 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 |
| 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.