Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AveXis, Inc.AVXS · Entity 166664 | 10% owner | May 15, 2018 | May 15, 2018 |
| Cellular Biomedicine Group, Inc.CBMG · Entity 142413 | 10% owner | August 11, 2020 | August 14, 2020 |
| Forma Therapeutics Holdings, Inc.FMTX · Entity 123059 | 10% owner | June 18, 2020 | June 19, 2020 |
| Intellia Therapeutics, Inc.NTLA · Entity 4585 | 10% owner | December 31, 2018 | February 14, 2019 |
| PRECISION BIOSCIENCES INCDTIL · Entity 6284 | 10% owner | June 15, 2022 | June 27, 2022 |
| Surface Oncology, Inc.SURF · Entity 109857 | 10% owner | April 23, 2018 | April 23, 2018 |
| Tourmaline Bio, Inc.TRML · Entity 15643 | 10% owner | October 28, 2025 | October 28, 2025 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AveXis, Inc.
Report date May 15, 2018 · Filed May 15, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001SEC Table I · non-derivative | IndirectSee Footnote | 36,816,476 |
Reported balance
Holding disclosure · report date 2018-05-15 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 36,816,476 F1: These shares are owned directly by Novartis AM Merger Corporation, an indirect wholly-owned subsidiary of Novartis AG. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are owned directly by Novartis AM Merger Corporation, an indirect wholly-owned subsidiary of Novartis AG.
Cellular Biomedicine Group, Inc.
Report date August 11, 2020 · Filed August 14, 2020
Jointly reported with NOVARTIS PHARMA AG
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,458,257 |
Reported balance
Holding disclosure · report date 2020-08-11 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 1,458,257 F1: Novartis Pharma AG is the record holder of the securities reported herein. As the parent of Novartis Pharma AG, Novartis AG may be deemed to share beneficial ownership of these securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Novartis Pharma AG is the record holder of the securities reported herein. As the parent of Novartis Pharma AG, Novartis AG may be deemed to share beneficial ownership of these securities.
Forma Therapeutics Holdings, Inc.
Report date June 18, 2020 · Filed June 19, 2020
Jointly reported with Novartis Bioventures Ltd
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 331,221 |
Reported balance
Holding disclosure · report date 2020-06-18 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 331,221 F1: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-06-18 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance Not disclosed F2: Each share of Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock is convertible into common stock on a one-for-4.2775 basis into the number of share of common stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock have no expiration date. F1: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. |
| Series B Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-06-18 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance Not disclosed F2: Each share of Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock is convertible into common stock on a one-for-4.2775 basis into the number of share of common stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock have no expiration date. F1: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnote | Not disclosed |
Reported balance
Holding disclosure · report date 2020-06-18 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance Not disclosed F2: Each share of Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock is convertible into common stock on a one-for-4.2775 basis into the number of share of common stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock have no expiration date. F1: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities.
F2: Each share of Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock is convertible into common stock on a one-for-4.2775 basis into the number of share of common stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock have no expiration date.
Intellia Therapeutics, Inc.
Report date December 31, 2018 · Filed February 14, 2019
Jointly reported with Novartis Institutes for BioMedical Research, Inc.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 4,352,295 |
Last balance in matching sequence
After 2018-07-16 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2018-05-16 · Other · Acquired 25,074 · Balance 4,302,147 F1: Pro rata distribution from Atlas Venture Fund IX, L.P., of which Novartis Institutes for BioMedical Research, Inc. ("NIBRI") is a limited partner. F2: The shares are held directly by NIBRI. NIBRI is an indirect wholly-owned subsidiary of Novartis AG. Row 2 · 2018-06-18 · Other · Acquired 25,074 · Balance 4,327,221 F1: Pro rata distribution from Atlas Venture Fund IX, L.P., of which Novartis Institutes for BioMedical Research, Inc. ("NIBRI") is a limited partner. F2: The shares are held directly by NIBRI. NIBRI is an indirect wholly-owned subsidiary of Novartis AG. Row 3 · 2018-07-16 · Other · Acquired 25,074 · Balance 4,352,295 F1: Pro rata distribution from Atlas Venture Fund IX, L.P., of which Novartis Institutes for BioMedical Research, Inc. ("NIBRI") is a limited partner. F2: The shares are held directly by NIBRI. NIBRI is an indirect wholly-owned subsidiary of Novartis AG. |
Filing footnotes · ownership attribution and instrument terms
F1: Pro rata distribution from Atlas Venture Fund IX, L.P., of which Novartis Institutes for BioMedical Research, Inc. ("NIBRI") is a limited partner.
F2: The shares are held directly by NIBRI. NIBRI is an indirect wholly-owned subsidiary of Novartis AG.
PRECISION BIOSCIENCES INC
Report date June 15, 2022 · Filed June 27, 2022
Jointly reported with NOVARTIS PHARMA AG
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 12,407,440 |
Reported balance
Holding disclosure · report date 2022-06-15 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 12,407,440 F1: Novartis Pharma AG is the record holder of the securities reported herein. As the parent of Novartis Pharma AG, Novartis AG is the beneficial ownership of these securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Novartis Pharma AG is the record holder of the securities reported herein. As the parent of Novartis Pharma AG, Novartis AG is the beneficial ownership of these securities.
Surface Oncology, Inc.
Report date April 23, 2018 · Filed April 23, 2018
Jointly reported with Novartis Institutes for BioMedical Research, Inc.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,948,482 |
Last balance in matching sequence
After 2018-04-23 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2018-04-23 · Conversion · Acquired 2,272,726 · Balance 2,272,726 F1: The 1,571,429 shares of Series A Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 2,272,726 shares of the Issuer's Common Stock without payment or further consideration. F3: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG. Row 2 · 2018-04-23 · Conversion · Acquired 909,090 · Balance 3,181,816 F2: The 5,214,286 shares of Series A-1 Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 909,090 shares of the Issuer's Common Stock without payment or further consideration. F3: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG. Row 3 · 2018-04-23 · Purchase · Acquired 766,666 · Balance 3,948,482 F3: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG. |
| Series A Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-04-23 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-04-23 · Conversion · Disposed 1,571,429 · Balance 0 F1: The 1,571,429 shares of Series A Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 2,272,726 shares of the Issuer's Common Stock without payment or further consideration. F4: Not applicable. F3: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG. |
| Series A-1 Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-04-23 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-04-23 · Conversion · Disposed 5,214,286 · Balance 0 F2: The 5,214,286 shares of Series A-1 Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 909,090 shares of the Issuer's Common Stock without payment or further consideration. F4: Not applicable. F3: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG. |
Filing footnotes · ownership attribution and instrument terms
F1: The 1,571,429 shares of Series A Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 2,272,726 shares of the Issuer's Common Stock without payment or further consideration.
F2: The 5,214,286 shares of Series A-1 Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 909,090 shares of the Issuer's Common Stock without payment or further consideration.
F3: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG.
F4: Not applicable.
Tourmaline Bio, Inc.
Report date October 28, 2025 · Filed October 28, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001SEC Table I · non-derivative | IndirectSee Footnote | 24,030,382 |
Reported balance
Holding disclosure · report date 2025-10-28 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 24,030,382 F1: These shares are owned directly by Torino Merger Sub Inc., an indirect wholly-owned subsidiary of Novartis AG. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares are owned directly by Torino Merger Sub Inc., an indirect wholly-owned subsidiary of Novartis AG.
Past disclosures · reporting ended (10)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Akouos, Inc.
Report date June 30, 2020 · Filed July 02, 2020
Jointly reported with Novartis Bioventures Ltd
Section 16 reporting ended · disclosed 2020-07-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 1,181,258 |
Last balance in matching sequence
After 2020-06-30 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2020-06-30 · Conversion · Acquired 856,262 · Balance 856,262 F1: On June 30, 2020, the Series A Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. Row 2 · 2020-06-30 · Conversion · Acquired 199,996 · Balance 1,056,258 F3: On June 30, 2020, the Series B Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. Row 3 · 2020-06-30 · Purchase · Acquired 125,000 · Balance 1,181,258 F2: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. |
| Series A Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2020-06-30 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-06-30 · Conversion · Disposed 856,262 · Balance 0 F1: On June 30, 2020, the Series A Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. |
| Series B Preferred StockSEC Table II · derivative / convertible security | IndirectSee Footnote | 0 |
Reported balance
After 2020-06-30 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-06-30 · Conversion · Disposed 199,996 · Balance 0 F3: On June 30, 2020, the Series B Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. |
Filing footnotes · ownership attribution and instrument terms
F1: On June 30, 2020, the Series A Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
F2: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities.
F3: On June 30, 2020, the Series B Preferred Stock converted into Common Stock on a 21.073-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
Altimmune, Inc.
Report date October 02, 2018 · Filed October 04, 2018
Jointly reported with Novartis Bioventures Ltd
Section 16 reporting ended · disclosed 2018-10-04. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
BICYCLE THERAPEUTICS PLC
Report date May 28, 2019 · Filed May 31, 2019
Jointly reported with Novartis Bioventures Ltd
Section 16 reporting ended · disclosed 2019-05-31. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 893,195 |
Reported balance
After 2019-05-28 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-05-28 · Conversion · Acquired 893,195 · Balance 893,195 F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. |
| Ordinary SharesSEC Table I · non-derivative | Direct | 964,645 |
Reported balance
After 2019-05-28 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-05-28 · Other · Acquired 71,450 · Balance 964,645 F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. |
| Ordinary SharesSEC Table I · non-derivative | Direct | 1,601,011 |
Reported balance
After 2019-05-28 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2019-05-28 · Conversion · Acquired 636,366 · Balance 1,601,011 F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. |
| Ordinary SharesSEC Table I · non-derivative | Direct | 1,769,641 |
Reported balance
After 2019-05-28 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2019-05-28 · Purchase · Acquired 168,630 · Balance 1,769,641 |
| Series A Preferred SharesSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-05-28 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-05-28 · Conversion · Disposed 893,195 · Balance 0 F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. |
| Series A Preferred Shares WarrantsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-05-28 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-05-28 · Other · Disposed 71,450 · Balance 0 F2: Upon conversion of all of the Series B1 Preferred Shares into Ordinary Shares in connection with the Issuer's initial public offering, the Warrants became exercisable for Ordinary Shares. The Warrants had an exercise price of a nominal value per share and were exercised immediately prior to completion of the Issuer's initial public offering. F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. |
| Series B1 Preferred SharesSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-05-28 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2019-05-28 · Conversion · Disposed 636,366 · Balance 0 F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Series A and B1 Preferred Share automatically converted into Ordinary Shares on a one-for-1.429 basis upon the closing of the Issuer's initial public offering and had no expiration date.
F2: Upon conversion of all of the Series B1 Preferred Shares into Ordinary Shares in connection with the Issuer's initial public offering, the Warrants became exercisable for Ordinary Shares. The Warrants had an exercise price of a nominal value per share and were exercised immediately prior to completion of the Issuer's initial public offering.
Galera Therapeutics, Inc.
Report date June 18, 2020 · Filed June 22, 2020
Jointly reported with Novartis Bioventures Ltd
Section 16 reporting ended · disclosed 2020-06-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,467,961 |
Last balance in matching sequence
After 2020-06-19 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2020-06-18 · Sale · Disposed 900 · Balance 3,469,273 F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $9.00 to $9.37. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2: Novartis Bioventures Ltd is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. Row 2 · 2020-06-19 · Sale · Disposed 1,001,312 · Balance 2,467,961 F3: Reflects sales of common stock executed in multiple transactions at prices ranging from $8.25 to $9.17. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2: Novartis Bioventures Ltd is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $9.00 to $9.37. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.
F2: Novartis Bioventures Ltd is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities.
F3: Reflects sales of common stock executed in multiple transactions at prices ranging from $8.25 to $9.17. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.
Poseida Therapeutics, Inc.
Report date July 14, 2020 · Filed July 16, 2020
Jointly reported with NOVARTIS PHARMA AG
Section 16 reporting ended · disclosed 2020-07-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 5,908,089 |
Reported balance
After 2020-07-14 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-07-14 · Conversion · Acquired 5,908,089 · Balance 5,908,089 F1: Each share of the Issuer's Series C Preferred Stock automatically converted into 0.8019246 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering. The Series C Preferred Stock had no expiration date. F2: These securities are owned directly by Novartis Pharma AG, a direct, wholly-owned subsidiary of Novartis AG. Novartis AG is an indirect beneficial owner of these securities. |
| Series C Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-07-14 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-07-14 · Conversion · Disposed 7,367,387 · Balance 0 F1: Each share of the Issuer's Series C Preferred Stock automatically converted into 0.8019246 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering. The Series C Preferred Stock had no expiration date. F2: These securities are owned directly by Novartis Pharma AG, a direct, wholly-owned subsidiary of Novartis AG. Novartis AG is an indirect beneficial owner of these securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of the Issuer's Series C Preferred Stock automatically converted into 0.8019246 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering. The Series C Preferred Stock had no expiration date.
F2: These securities are owned directly by Novartis Pharma AG, a direct, wholly-owned subsidiary of Novartis AG. Novartis AG is an indirect beneficial owner of these securities.
Q32 Bio Inc.
Report date April 02, 2018 · Filed April 04, 2018
Jointly reported with Novartis Institutes for BioMedical Research, Inc.
Section 16 reporting ended · disclosed 2018-04-04. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,979,226 |
Reported balance
After 2018-04-02 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-04-02 · Conversion · Acquired 1,979,226 · Balance 1,979,226 F1: The securities reported herein are held of record by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of Novartis AG. Novartis AG may therefore be deemed to have or share beneficial ownership of the Common Stock held directly by NIBRI. |
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-04-02 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-04-02 · Conversion · Disposed 1,979,226 · Balance 0 F2: Upon closing of the Issuer's initial public offering, each share of preferred stock was automatically converted into one share of the Issuer's common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: The securities reported herein are held of record by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of Novartis AG. Novartis AG may therefore be deemed to have or share beneficial ownership of the Common Stock held directly by NIBRI.
F2: Upon closing of the Issuer's initial public offering, each share of preferred stock was automatically converted into one share of the Issuer's common stock.
Ra Pharmaceuticals, Inc.
Report date June 16, 2017 · Filed June 20, 2017
Jointly reported with Novartis Bioventures Ltd
Section 16 reporting ended · disclosed 2017-06-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,251,457 |
Last balance in matching sequence
After 2017-06-19 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2017-06-16 · Sale · Disposed 53,200 · Balance 2,254,677 F1: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $21.00 to $21.67 on June 16, 2017 and $22.00 to $22.04 on June 19, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Row 2 · 2017-06-19 · Sale · Disposed 3,220 · Balance 2,251,457 F1: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $21.00 to $21.67 on June 16, 2017 and $22.00 to $22.04 on June 19, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $21.00 to $21.67 on June 16, 2017 and $22.00 to $22.04 on June 19, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.
F2: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG.
Rein Therapeutics, Inc.
Report date March 29, 2019 · Filed April 03, 2019
Jointly reported with Novartis Bioventures Ltd
Section 16 reporting ended · disclosed 2019-04-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,079,394 |
Last balance in matching sequence
After 2019-04-01 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2019-03-29 · Sale · Disposed 106,540 · Balance 2,100,004 F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.76 to $1.96. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F3: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Row 2 · 2019-04-01 · Sale · Disposed 20,610 · Balance 2,079,394 F2: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.81 to $2.02. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F3: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.76 to $1.96. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.
F2: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.81 to $2.02. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.
F3: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities.
Spyre Therapeutics, Inc.
Report date May 11, 2018 · Filed May 14, 2018
Jointly reported with Novartis Bioventures Ltd
Section 16 reporting ended · disclosed 2018-05-14. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,175,314 |
Reported balance
After 2018-05-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-05-11 · Sale · Disposed 19,550 · Balance 2,175,314 F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $10.00 to $10.25. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $10.00 to $10.25. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.
F2: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities.
Whitehawk Therapeutics, Inc.
Report date April 25, 2019 · Filed April 29, 2019
Jointly reported with Novartis Bioventures Ltd
Section 16 reporting ended · disclosed 2019-04-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 4,049,804 |
Last balance in matching sequence
After 2019-04-26 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2019-04-25 · Sale · Disposed 563,096 · Balance 4,188,508 F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.00 to $1.04. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F3: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Row 2 · 2019-04-26 · Sale · Disposed 138,704 · Balance 4,049,804 F2: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.02 to $1.05. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F3: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.00 to $1.04. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.
F2: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.02 to $1.05. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.
F3: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 28, 2017 Filed May 2, 2017 21:22 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 7,847 | $20.86 | $163,670.37 |
DisclosureSEC source: 0001209191-17-029277 · doc4.xml · nonDerivative · entry 5 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,468,815 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $21.85 to $21.88 on February 22, 2017; $20.74 to $21.32 on February 23, 2017; $20.85 to $21.01 on February 24, 2017; $20.85 to $21.09 on February 27, 2017; $20.50 to $21.06 on February 28, 2017; and $20.50 to $21.06 on March 1, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| February 27, 2017 Filed May 2, 2017 21:22 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 57,844 | $20.96 | $1,212,306.12 |
DisclosureSEC source: 0001209191-17-029277 · doc4.xml · nonDerivative · entry 4 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,476,662 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $21.85 to $21.88 on February 22, 2017; $20.74 to $21.32 on February 23, 2017; $20.85 to $21.01 on February 24, 2017; $20.85 to $21.09 on February 27, 2017; $20.50 to $21.06 on February 28, 2017; and $20.50 to $21.06 on March 1, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| February 24, 2017 Filed May 2, 2017 21:22 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 5,398 | $20.93 | $112,999.57 |
DisclosureSEC source: 0001209191-17-029277 · doc4.xml · nonDerivative · entry 3 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,534,506 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $21.85 to $21.88 on February 22, 2017; $20.74 to $21.32 on February 23, 2017; $20.85 to $21.01 on February 24, 2017; $20.85 to $21.09 on February 27, 2017; $20.50 to $21.06 on February 28, 2017; and $20.50 to $21.06 on March 1, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| February 23, 2017 Filed May 2, 2017 21:22 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 4,999 | $21.04 | $105,159.96 |
DisclosureSEC source: 0001209191-17-029277 · doc4.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,539,904 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $21.85 to $21.88 on February 22, 2017; $20.74 to $21.32 on February 23, 2017; $20.85 to $21.01 on February 24, 2017; $20.85 to $21.09 on February 27, 2017; $20.50 to $21.06 on February 28, 2017; and $20.50 to $21.06 on March 1, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| February 22, 2017 Filed May 2, 2017 21:22 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 749 | $21.86 | $16,369.62 |
DisclosureSEC source: 0001209191-17-029277 · doc4.xml · nonDerivative · entry 1 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,544,903 F1 · price: Reflects sales of ordinary shares executed in multiple transactions at prices ranging from $21.85 to $21.88 on February 22, 2017; $20.74 to $21.32 on February 23, 2017; $20.85 to $21.01 on February 24, 2017; $20.85 to $21.09 on February 27, 2017; $20.50 to $21.06 on February 28, 2017; and $20.50 to $21.06 on March 1, 2017. The prices reported reflect the weighted average sale prices. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. F2 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| October 31, 2016 Filed Oct 31, 2016 20:50 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | ConversionSeries B-2 Preferred Stock · Derivative | 3,402,729 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-16-153345 · a4.xml · derivative · entry 10 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 486,104 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: Each share of the Series B-2 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F5 · price: Each share of the Series B-2 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F5 · derivative.exercise_date: Each share of the Series B-2 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F5 · derivative.expiration_date: Each share of the Series B-2 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F1 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| October 31, 2016 Filed Oct 31, 2016 20:50 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | ConversionSeries B-1 Preferred Stock · Derivative | 3,657,932 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-16-153345 · a4.xml · derivative · entry 9 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 522,561 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each share of the Series B-1 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F4 · price: Each share of the Series B-1 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F4 · derivative.exercise_date: Each share of the Series B-1 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F4 · derivative.expiration_date: Each share of the Series B-1 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F1 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| October 31, 2016 Filed Oct 31, 2016 20:50 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | ConversionSeries A Preferred Stock · Derivative | 9,728,589 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-16-153345 · a4.xml · derivative · entry 8 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,389,797 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Each share of the Series A Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F3 · price: Each share of the Series A Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F3 · derivative.exercise_date: Each share of the Series A Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F3 · derivative.expiration_date: Each share of the Series A Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F1 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| October 31, 2016 Filed Oct 31, 2016 20:50 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | OtherWarrants to Purchase Common Stock · Derivative | 62,914 | Not disclosed Strike: $0.07 | Not disclosed |
DisclosureSEC source: 0001104659-16-153345 · a4.xml · derivative · entry 7 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 62,914 shares Expires 2022-04-01 F2 · derivative.exercise_price: The Warrants automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision, resulting in the Issuer withholding 339 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 62,575 shares, after deducting the aggregate exercise price. F2 · price: The Warrants automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision, resulting in the Issuer withholding 339 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 62,575 shares, after deducting the aggregate exercise price. F2 · derivative.exercise_date: The Warrants automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision, resulting in the Issuer withholding 339 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 62,575 shares, after deducting the aggregate exercise price. F1 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| October 31, 2016 Filed Oct 31, 2016 20:50 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | PurchaseCommon Stock | 84,615 | $13.00 | $1,099,995.00 |
DisclosureSEC source: 0001104659-16-153345 · a4.xml · nonDerivative · entry 6 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,545,652 F1 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| October 31, 2016 Filed Oct 31, 2016 20:50 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | ConversionCommon Stock | 486,104 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-16-153345 · a4.xml · nonDerivative · entry 5 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,461,037 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · price: Each share of the Series B-2 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F1 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| October 31, 2016 Filed Oct 31, 2016 20:50 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | ConversionCommon Stock | 522,561 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-16-153345 · a4.xml · nonDerivative · entry 4 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,974,933 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · price: Each share of the Series B-1 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F1 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| October 31, 2016 Filed Oct 31, 2016 20:50 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | ConversionCommon Stock | 1,389,797 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-16-153345 · a4.xml · nonDerivative · entry 3 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,452,372 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Each share of the Series A Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date. F1 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| October 31, 2016 Filed Oct 31, 2016 20:50 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | SaleCommon Stock | 339 | $13.00 | $4,407.00 |
DisclosureSEC source: 0001104659-16-153345 · a4.xml · nonDerivative · entry 2 Novartis Bioventures Ltd · CIK 0001297709 · 10% owner NOVARTIS AG · CIK 0001114448 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,575 F2 · kind: The Warrants automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision, resulting in the Issuer withholding 339 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 62,575 shares, after deducting the aggregate exercise price. F2 · price: The Warrants automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision, resulting in the Issuer withholding 339 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 62,575 shares, after deducting the aggregate exercise price. F1 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
| October 31, 2016 Filed Oct 31, 2016 20:50 UTC | Ra Pharmaceuticals, Inc. RARX · Entity 150034 | OtherCommon Stock | 62,914 | $0.07 | $4,403.98 |
DisclosureSEC source: 0001104659-16-153345 · a4.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: 62,914 F2 · price: The Warrants automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision, resulting in the Issuer withholding 339 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 62,575 shares, after deducting the aggregate exercise price. F1 · ownership.direct: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.