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Novartis AG — Director's Dealing 2016
Apr 12, 2016
940_dirs_2016-04-12_4c6a1211-5f38-45b5-9540-fe47fd1b907b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Aeglea BioTherapeutics, Inc. (AGLE)
CIK: 0001636282
Period of Report: 2016-04-12
Reporting Person: Novartis Bioventures Ltd (10% Owner)
Reporting Person: NOVARTIS AG (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-04-12 | Common Stock | C | 2010924 | — | Acquired | 2010924 | Direct |
| 2016-04-12 | Common Stock | P | 300000 | $10.00 | Acquired | 2310924 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-04-12 | Series A Preferred Stock | $0 | C | 890476 | Disposed | Common Stock (890476) | Direct | |
| 2016-04-12 | Series B Preferred Stock | $0 | C | 1120448 | Disposed | Common Stock (1120448) | Direct |
Footnotes
F1: In connection with the consummation of the Issuer's initial public offering on April 12, 2016, each share of Series A Preferred Stock and Series B Preferred Stock automatically converted into one (1) share of Common Stock for no additional consideration, and had no expiration date. All shares of Common Stock issued upon conversion were aggregated.
F2: These securities are held directly by Novartis Bioventures Ltd. ("Novartis Bioventures"). Novartis Bioventures is a corporation organized under the laws of Bermuda and is an indirect wholly-owned subsidiary of Novartis AG. Novartis AG is a corporation organized under the laws of Switzerland and is the publicly owned parent of Novartis Bioventures Ltd.