organization · Reporting owner

NOVARTIS AG

Disclosed activity across 17 companies

Tapewire entity: 2817
SEC CIK: 0001114448

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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 rows Row 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 row Row 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 rows Row 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 row Row 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 row Row 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 row Row 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 rows Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 rows Row 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 row Row 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 row Row 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 row Row 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 row Row 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 rows Row 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 rows Row 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 row Row 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 rows Row 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.

Transaction history

JSON API

Purchases/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
April 23, 2018 Filed Apr 23, 2018 20:43 UTC	Surface Oncology, Inc. SURF · Entity 109857	ConversionSeries A Preferred Stock · Derivative	1,571,429	$0.00	$0.00	Disclosure SEC source: 0001104659-18-025864 · a4.xml · derivative · entry 4 Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,272,726 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The 1,571,429 shares of Series A Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 2,272,726 shares of the Issuer's Common Stock without payment or further consideration. F1 · derivative.exercise_date: The 1,571,429 shares of Series A Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 2,272,726 shares of the Issuer's Common Stock without payment or further consideration. F4 · derivative.expiration_date: Not applicable. F3 · ownership.direct: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG. Read SEC document
April 23, 2018 Filed Apr 23, 2018 20:43 UTC	Surface Oncology, Inc. SURF · Entity 109857	PurchaseCommon Stock	766,666	$15.00	$11,499,990.00	Disclosure SEC source: 0001104659-18-025864 · a4.xml · nonDerivative · entry 3 Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,948,482 F3 · ownership.direct: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG. Read SEC document
April 23, 2018 Filed Apr 23, 2018 20:43 UTC	Surface Oncology, Inc. SURF · Entity 109857	ConversionCommon Stock	909,090	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-18-025864 · a4.xml · nonDerivative · entry 2 Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,181,816 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: The 5,214,286 shares of Series A-1 Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 909,090 shares of the Issuer's Common Stock without payment or further consideration. F3 · ownership.direct: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG. Read SEC document
April 23, 2018 Filed Apr 23, 2018 20:43 UTC	Surface Oncology, Inc. SURF · Entity 109857	ConversionCommon Stock	2,272,726	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-18-025864 · a4.xml · nonDerivative · entry 1 Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,272,726 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The 1,571,429 shares of Series A Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 2,272,726 shares of the Issuer's Common Stock without payment or further consideration. F3 · ownership.direct: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG. Read SEC document
April 16, 2018 Filed Apr 18, 2018 20:56 UTC	Altimmune, Inc. ALT · Entity 5349	OtherSeries B Convertible Preferred Stock · Derivative	344.9398	Not disclosed Strike: $2.67	Not disclosed	Disclosure SEC source: 0001012975-18-000356 · edgar.xml · derivative · entry 3 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,034.8083 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 $0.7143 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 $0.7143 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
April 16, 2018 Filed Apr 18, 2018 20:56 UTC	Altimmune, Inc. ALT · Entity 5349	OtherCommon Stock, par value $0.0001	217,159	Not disclosed	Not disclosed	Disclosure SEC source: 0001012975-18-000356 · 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: 3,834,048 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 $0.7143 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 $0.7143 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
April 16, 2018 Filed Apr 18, 2018 20:56 UTC	Altimmune, Inc. ALT · Entity 5349	OtherCommon Stock, par value $0.0001	482,907	Not disclosed	Not disclosed	Disclosure SEC source: 0001012975-18-000356 · 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: 3,616,889 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 $0.7143 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 $0.7143 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
April 02, 2018 Filed Apr 4, 2018 20:24 UTC	Q32 Bio Inc. FIXX · Entity 5594	ConversionSeries B Preferred Stock · Derivative	1,979,226	$0.00	$0.00	Disclosure SEC source: 0000899243-18-009444 · doc4.xml · derivative · entry 2 Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,979,226 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Upon closing of the Issuer's initial public offering, each share of preferred stock was automatically converted into one share of the Issuer's common stock. F2 · derivative.exercise_date: Upon closing of the Issuer's initial public offering, each share of preferred stock was automatically converted into one share of the Issuer's common stock. F2 · derivative.expiration_date: Upon closing of the Issuer's initial public offering, each share of preferred stock was automatically converted into one share of the Issuer's common stock. Read SEC document
April 02, 2018 Filed Apr 4, 2018 20:24 UTC	Q32 Bio Inc. FIXX · Entity 5594	ConversionCommon Stock	1,979,226	$0.00	$0.00	Disclosure SEC source: 0000899243-18-009444 · doc4.xml · nonDerivative · entry 1 Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,979,226 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.direct: The securities reported herein are held of record by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of Novartis AG. Novartis AG may therefore be deemed to have or share beneficial ownership of the Common Stock held directly by NIBRI. Read SEC document
March 15, 2018 Filed Mar 19, 2018 20:06 UTC	Altimmune, Inc. ALT · Entity 5349	OtherSeries B Convertible Preferred Stock · Derivative	344.9398	Not disclosed Strike: $2.67	Not disclosed	Disclosure SEC source: 0001012975-18-000292 · 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: 1,379.7481 Underlying: Common Stock, par value $0.0001 · 129,188 shares Expires 2018-08-15 F3 · derivative.exercise_price: The Issuer's Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock, subject to certain restrictions, at an initial conversion price of $2.67 per share and a stated amount of $1,000 per share. F1 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.2980 per share of Common Stock. F1 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.2980 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
March 15, 2018 Filed Mar 19, 2018 20:06 UTC	Altimmune, Inc. ALT · Entity 5349	OtherCommon Stock, par value $0.0001	261,969	Not disclosed	Not disclosed	Disclosure SEC source: 0001012975-18-000292 · 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: Indirect · See Footnote Disclosed balance after: 3,133,982 F1 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.2980 per share of Common Stock. F1 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.2980 per share of Common Stock. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document
February 15, 2018 Filed Feb 15, 2018 21:34 UTC	Altimmune, Inc. ALT · Entity 5349	OtherCommon Stock, par value $0.0001	67,925	Not disclosed	Not disclosed	Disclosure SEC source: 0001012975-18-000201 · edgar.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,872,013 F3 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.2408 per share of Common Stock. F3 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.2408 per share of Common Stock. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document
February 13, 2018 Filed Feb 15, 2018 21:34 UTC	Altimmune, Inc. ALT · Entity 5349	OtherSeries B Convertible Preferred Stock · Derivative	344.9398	Not disclosed Strike: $2.67	Not disclosed	Disclosure SEC source: 0001012975-18-000201 · edgar.xml · derivative · entry 3 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,724.6878 Underlying: Common Stock, par value $0.0001 · 129,188 shares Expires 2018-08-15 F4 · derivative.exercise_price: The Issuer's Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock, subject to certain restrictions, at an initial conversion price of $2.67 per share and a stated amount of $1,000 per share. F1 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.2798 per share of Common Stock. F1 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.2798 per share of Common Stock. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document
February 13, 2018 Filed Feb 15, 2018 21:34 UTC	Altimmune, Inc. ALT · Entity 5349	OtherCommon Stock, par value $0.0001	269,527	Not disclosed	Not disclosed	Disclosure SEC source: 0001012975-18-000201 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,804,088 F1 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.2798 per share of Common Stock. F1 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.2798 per share of Common Stock. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document
January 17, 2018 Filed Jan 19, 2018 22:04 UTC	Altimmune, Inc. ALT · Entity 5349	OtherSeries B Convertible Preferred Stock · Derivative	344.9398	Not disclosed Strike: $2.67	Not disclosed	Disclosure SEC source: 0001012975-18-000085 · edgar.xml · derivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,069.6276 Underlying: Common Stock, par value $0.0001 · 129,188 shares Expires 2018-08-15 F3 · derivative.exercise_price: The Issuer's Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock, subject to certain restrictions, at an initial conversion price of $2.67 per share and a stated amount of $1,000 per share. F1 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.6420 per share of Common Stock. F1 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.6420 per share of Common Stock. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document
January 17, 2018 Filed Jan 19, 2018 22:04 UTC	Altimmune, Inc. ALT · Entity 5349	OtherCommon Stock, par value $0.0001	176,586	Not disclosed	Not disclosed	Disclosure SEC source: 0001012975-18-000085 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,534,561 F1 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.6420 per share of Common Stock. F1 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.6420 per share of Common Stock. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document
December 15, 2017 Filed Dec 15, 2017 22:44 UTC	Altimmune, Inc. ALT · Entity 5349	OtherCommon Stock, par value $0.0001	65,718	Not disclosed	Not disclosed	Disclosure SEC source: 0001012975-17-000932 · edgar.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,357,975 F3 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.3910 per share of Common Stock. F3 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.3910 per share of Common Stock. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document
December 13, 2017 Filed Dec 15, 2017 22:44 UTC	Altimmune, Inc. ALT · Entity 5349	OtherSeries B Convertible Preferred Stock · Derivative	344.9398	Not disclosed Strike: $2.67	Not disclosed	Disclosure SEC source: 0001012975-17-000932 · edgar.xml · derivative · entry 3 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,414.5674 Underlying: Common Stock, par value $0.0001 · 129,188 shares Expires 2018-08-15 F4 · derivative.exercise_price: The Issuer's Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock, subject to certain restrictions, at an initial conversion price of $2.67 per share and a stated amount of $1,000 per share. F1 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.4213 per share of Common Stock. F1 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.4213 per share of Common Stock. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document
December 13, 2017 Filed Dec 15, 2017 22:44 UTC	Altimmune, Inc. ALT · Entity 5349	OtherCommon Stock, par value $0.0001	242,694	Not disclosed	Not disclosed	Disclosure SEC source: 0001012975-17-000932 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,292,257 F1 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.4213 per share of Common Stock. F1 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.4213 per share of Common Stock. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document
December 12, 2017 Filed Dec 14, 2017 17:19 UTC	Intellia Therapeutics, Inc. NTLA · Entity 4585	SaleCommon Stock	1,523,000	$18.30	$27,870,900.00	Disclosure SEC source: 0001104659-17-073312 · a4.xml · nonDerivative · entry 1 Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,129,903 F1 · price: The price reported in Column 4 is exclusive of any fees, commissions or other expenses. F2 · ownership.direct: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of Novartis AG. Read SEC document
November 14, 2017 Filed Nov 16, 2017 23:54 UTC	Altimmune, Inc. ALT · Entity 5349	OtherSeries B Convertible Preferred Stock · Derivative	344.9398	Not disclosed Strike: $2.67	Not disclosed	Disclosure SEC source: 0001012975-17-000852 · edgar.xml · derivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,759.5072 Underlying: Common Stock, par value $0.0001 · 129,188 shares Expires 2018-08-15 F3 · derivative.exercise_price: The Issuer's Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock, subject to certain restrictions, at an initial conversion price of $2.67 per share and a stated amount of $1,000 per share. F1 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.89 per share of Common Stock. F1 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.89 per share of Common Stock. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document
November 14, 2017 Filed Nov 16, 2017 23:54 UTC	Altimmune, Inc. ALT · Entity 5349	OtherCommon Stock, par value $0.0001	182,262	Not disclosed	Not disclosed	Disclosure SEC source: 0001012975-17-000852 · edgar.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,049,563 F1 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.89 per share of Common Stock. F1 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.89 per share of Common Stock. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document
August 21, 2017 Filed Aug 23, 2017 20:14 UTC	Altimmune, Inc. ALT · Entity 5349	PurchaseWarrant · Derivative	465,086	Not disclosed Strike: $2.67	Not disclosed	Disclosure SEC source: 0001012975-17-000650 · edgar.xml · derivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 465,086 Underlying: Common Stock, par value $0.0001 · 465,086 shares Expires 2018-08-15 F3 · price: Warrants to purchase shares of the Issuer's Common Stock were acquired in connection with the acquisition of the Preferred Stock and reported on this Form 4. The Warrants held by Novartis may not be exercised if such exercise would cause Novartis to hold more than 19.99% of the Issuer's Common Stock, regardless of receipt by the Issuer of the Requisite Stockholder Approval. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document
August 21, 2017 Filed Aug 23, 2017 20:14 UTC	Altimmune, Inc. ALT · Entity 5349	PurchaseSeries B Convertible Preferred Stock · Derivative	3,104.447	$940.00 Strike: $2.67	$2,918,180.18	Disclosure SEC source: 0001012975-17-000650 · edgar.xml · derivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,104.447 Underlying: Common Stock, par value $0.0001 · 1,162,714 shares Expires 2018-08-15 F1 · derivative.exercise_price: The Issuer's Series B Convertible Preferred Stock (the "Preferred Stock") is convertible at any time at the option of the holder into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"), subject to certain restrictions, at an initial conversion price of $2.67 per share and a stated amount of $1,000 per share. Prior to the receipt of approval by the Issuer's stockholders for the issuance of shares pursuant to the conversion of the Preferred Stock (the "Requisite Stockholder Approval"), the Preferred Stock may not be converted by the holder if, as a result of such conversion, the holder, together with its affiliates, would hold more than 19.99% of the Issuer's Common Stock. F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Read SEC document
July 05, 2017 Filed Jul 5, 2017 22:05 UTC	Rein Therapeutics, Inc. ALRN · Entity 7071	ConversionSeries F Preferred Stock · Derivative	3,705,882	$0.00	$0.00	Disclosure SEC source: 0000899243-17-017838 · doc4.xml · derivative · entry 8 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 372,937 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document
July 05, 2017 Filed Jul 5, 2017 22:05 UTC	Rein Therapeutics, Inc. ALRN · Entity 7071	ConversionSeries E-3 Preferred Stock · Derivative	2,293,829	$0.00	$0.00	Disclosure SEC source: 0000899243-17-017838 · doc4.xml · derivative · entry 7 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 230,837 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document
July 05, 2017 Filed Jul 5, 2017 22:05 UTC	Rein Therapeutics, Inc. ALRN · Entity 7071	ConversionSeries E-2 Preferred Stock · Derivative	2,644,558	$0.00	$0.00	Disclosure SEC source: 0000899243-17-017838 · doc4.xml · derivative · entry 6 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 266,132 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document
July 05, 2017 Filed Jul 5, 2017 22:05 UTC	Rein Therapeutics, Inc. ALRN · Entity 7071	ConversionSeries D Preferred Stock · Derivative	6,781,770	$0.00	$0.00	Disclosure SEC source: 0000899243-17-017838 · doc4.xml · derivative · entry 5 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 682,476 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document
July 05, 2017 Filed Jul 5, 2017 22:05 UTC	Rein Therapeutics, Inc. ALRN · Entity 7071	ConversionSeries C-2 Preferred Stock · Derivative	4,238,607	$0.00	$0.00	Disclosure SEC source: 0000899243-17-017838 · doc4.xml · derivative · entry 4 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 426,547 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document
July 05, 2017 Filed Jul 5, 2017 22:05 UTC	Rein Therapeutics, Inc. ALRN · Entity 7071	ConversionSeries C Preferred Stock · Derivative	2,967,025	$0.00	$0.00	Disclosure SEC source: 0000899243-17-017838 · doc4.xml · derivative · entry 3 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 298,583 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.exercise_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F1 · derivative.expiration_date: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document
July 05, 2017 Filed Jul 5, 2017 22:05 UTC	Rein Therapeutics, Inc. ALRN · Entity 7071	PurchaseCommon Stock	266,667	$15.00	$4,000,005.00	Disclosure SEC source: 0000899243-17-017838 · doc4.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,544,182 F3 · shares: Novartis Bioventures Ltd., a wholly-owned indirect subsidiary of Novartis AG, acquired 266,667 shares of Common Stock in the Issuer's initial public offering. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document
July 05, 2017 Filed Jul 5, 2017 22:05 UTC	Rein Therapeutics, Inc. ALRN · Entity 7071	ConversionCommon Stock	2,277,515	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-17-017838 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,277,515 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date. F2 · ownership.direct: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Read SEC document
June 19, 2017 Filed Jun 20, 2017 20:41 UTC	Ra Pharmaceuticals, Inc. RARX · Entity 150034	SaleCommon Stock	3,220	$22.02	$70,898.60	Disclosure SEC source: 0001209191-17-041100 · doc4.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,251,457 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $21.00 to $21.67 on June 16, 2017 and $22.00 to $22.04 on June 19, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document
June 16, 2017 Filed Jun 20, 2017 20:41 UTC	Ra Pharmaceuticals, Inc. RARX · Entity 150034	SaleCommon Stock	53,200	$21.24	$1,130,207.40	Disclosure SEC source: 0001209191-17-041100 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,254,677 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $21.00 to $21.67 on June 16, 2017 and $22.00 to $22.04 on June 19, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document
June 08, 2017 Filed Jun 12, 2017 20:12 UTC	Ra Pharmaceuticals, Inc. RARX · Entity 150034	SaleCommon Stock	700	$22.00	$15,400.00	Disclosure SEC source: 0001209191-17-039137 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,307,877 F1 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document
June 07, 2017 Filed Jun 8, 2017 20:33 UTC	Ra Pharmaceuticals, Inc. RARX · Entity 150034	SaleCommon Stock	4,840	$22.11	$106,999.33	Disclosure SEC source: 0001209191-17-038556 · doc4.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,308,577 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $22.58 to $23.32 on June 6, 2017 and $22.00 to $22.60 on June 7, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document
June 06, 2017 Filed Jun 8, 2017 20:33 UTC	Ra Pharmaceuticals, Inc. RARX · Entity 150034	SaleCommon Stock	7,274	$22.98	$167,160.88	Disclosure SEC source: 0001209191-17-038556 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,313,417 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $22.58 to $23.32 on June 6, 2017 and $22.00 to $22.60 on June 7, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document
June 05, 2017 Filed Jun 6, 2017 20:27 UTC	Ra Pharmaceuticals, Inc. RARX · Entity 150034	SaleCommon Stock	4,780	$23.11	$110,487.79	Disclosure SEC source: 0001209191-17-038124 · doc4.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,320,691 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $23.16 to $23.80 on June 2, 2017 and $22.87 to $23.40 on June 5, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document
June 02, 2017 Filed Jun 6, 2017 20:27 UTC	Ra Pharmaceuticals, Inc. RARX · Entity 150034	SaleCommon Stock	14,867	$23.47	$348,949.30	Disclosure SEC source: 0001209191-17-038124 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,325,471 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $23.16 to $23.80 on June 2, 2017 and $22.87 to $23.40 on June 5, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document
June 01, 2017 Filed Jun 2, 2017 20:25 UTC	Ra Pharmaceuticals, Inc. RARX · Entity 150034	SaleCommon Stock	10,722	$23.89	$256,176.46	Disclosure SEC source: 0001209191-17-037252 · doc4.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,340,338 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $23.51 to $24.21 on May 31, 2017 and $23.69 to $24.51 on June, 1 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document
May 31, 2017 Filed Jun 2, 2017 20:25 UTC	Ra Pharmaceuticals, Inc. RARX · Entity 150034	SaleCommon Stock	35,539	$23.94	$850,896.06	Disclosure SEC source: 0001209191-17-037252 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,351,060 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $23.51 to $24.21 on May 31, 2017 and $23.69 to $24.51 on June, 1 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document
May 26, 2017 Filed May 30, 2017 20:29 UTC	Ra Pharmaceuticals, Inc. RARX · Entity 150034	SaleCommon Stock	5,300	$25.14	$133,267.44	Disclosure SEC source: 0001209191-17-036141 · doc4.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,386,599 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $25.00 on May 25, 2017 to $25.00 to $25.22 on May 26, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document
May 25, 2017 Filed May 30, 2017 20:29 UTC	Ra Pharmaceuticals, Inc. RARX · Entity 150034	SaleCommon Stock	53	$25.00	$1,325.00	Disclosure SEC source: 0001209191-17-036141 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,391,899 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $25.00 on May 25, 2017 to $25.00 to $25.22 on May 26, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document
May 24, 2017 Filed May 25, 2017 20:57 UTC	Ra Pharmaceuticals, Inc. RARX · Entity 150034	SaleCommon Stock	17,451	$25.01	$436,364.00	Disclosure SEC source: 0001209191-17-035464 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,391,952 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $25.00 to $25.05 on May 24, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document
May 18, 2017 Filed May 22, 2017 22:50 UTC	Ra Pharmaceuticals, Inc. RARX · Entity 150034	SaleCommon Stock	9,019	$25.50	$229,963.76	Disclosure SEC source: 0001209191-17-034478 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,409,403 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $25.00 to $26.25 on May 18, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document
May 17, 2017 Filed May 18, 2017 20:36 UTC	Ra Pharmaceuticals, Inc. RARX · Entity 150034	SaleCommon Stock	22,534	$25.51	$574,900.93	Disclosure SEC source: 0001209191-17-033593 · doc4.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,418,422 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $25.45 to $26.73 on May 16, 2017 and $25.00 to $26.73 on May 17, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document
May 16, 2017 Filed May 18, 2017 20:36 UTC	Ra Pharmaceuticals, Inc. RARX · Entity 150034	SaleCommon Stock	20,081	$26.33	$528,724.70	Disclosure SEC source: 0001209191-17-033593 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,440,956 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $25.45 to $26.73 on May 16, 2017 and $25.00 to $26.73 on May 17, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document
March 15, 2017 Filed Mar 18, 2017 00:36 UTC	Whitehawk Therapeutics, Inc. NONE · Entity 6074	PurchaseCommon Stock	560,000	$5.00	$2,800,000.00	Disclosure SEC source: 0000899243-17-008150 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 5,805,550 F1 · ownership.nature: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document
March 03, 2017 Filed Mar 7, 2017 20:11 UTC	Intellia Therapeutics, Inc. NTLA · Entity 4585	OtherCommon Stock	79,245	$0.00	$0.00	Disclosure SEC source: 0001209191-17-018679 · doc4.xml · nonDerivative · entry 1 Novartis Institutes for BioMedical Research, Inc. · CIK 0001673852 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,652,903 F1 · kind: Pro rata distribution from Atlas Venture Fund IX, L.P., of which Novartis Institutes for BioMedical Research, Inc. ("NIBRI") is a limited partner. F2 · ownership.direct: The shares are held directly by NIBRI. NIBRI is an indirect wholly-owned subsidiary of Novartis AG. Read SEC document
March 01, 2017 Filed May 2, 2017 21:22 UTC	Ra Pharmaceuticals, Inc. RARX · Entity 150034	SaleCommon Stock	7,778	$20.91	$162,658.20	Disclosure SEC source: 0001209191-17-029277 · doc4.xml · nonDerivative · entry 6 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,461,037 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $21.85 to $21.88 on February 22, 2017; $20.74 to $21.32 on February 23, 2017; $20.85 to $21.01 on February 24, 2017; $20.85 to $21.09 on February 27, 2017; $20.50 to $21.06 on February 28, 2017; and $20.50 to $21.06 on March 1, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.