Novartis AG — Director's Dealing 2018

Aug 22, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Aerpio Pharmaceuticals, Inc. (ARPO)
CIK: 0001422142
Period of Report: 2018-08-20

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
2018-08-20	Common Stock	S	5300	$3.90	Disposed	5800250	Indirect

Footnotes

F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $3.90 to $3.91. 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 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.