Novartis AG — Director's Dealing 2017

Mar 18, 2017

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Aerpio Pharmaceuticals, Inc. (NONE)
CIK: 0001422142
Period of Report: 2017-03-15

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
2017-03-15	Common Stock	P	560000	$5.00	Acquired	5805550	Indirect

Footnotes

F1: 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.