Novartis AG — Director's Dealing 2019

Nov 12, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Galera Therapeutics, Inc. (GRTX)
CIK: 0001563577
Period of Report: 2019-11-12

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
2019-11-12	Common Stock	C	3293067	—	Acquired	3293067	Indirect
2019-11-12	Common Stock	P	250000	$12.00	Acquired	3543067	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-11-12	Series A Preferred Stock	$	C	9000000	Disposed		Common Stock (1779864)	Indirect
2019-11-12	Series B Preferred Stock	$	C	7200000	Disposed		Common Stock (1423891)	Indirect
2019-11-12	Series C Preferred Stock	$	C	451609	Disposed		Common Stock (89311)	Indirect

Footnotes

F1: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis.

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.