Novartis AG — Director's Dealing 2017

Mar 18, 2017

SEC Form 3 — Initial Statement of 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)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	5245550	Indirect

Footnotes

F1: These shares were acquired pursuant to an Agreement and Plan of Merger, dated as of March 7, 2017 (the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Company merged with and into Aerpio Therapeutics, Inc. ("Aerpio"). Pursuant to the Merger Agreement, the then outstanding shares of Aerpio's common stock and outstanding shares of each series of Aerpio's preferred stock were cancelled and were automatically converted into the right to received shares of the Company's common stock on 2.3336572-1 basis upon closing of the merger.

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.