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Novartis AG — Director's Dealing 2019
Apr 16, 2019
940_dirs_2019-04-15_a385ad17-e851-41b5-ad43-1c04d2a827ed.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Aerpio Pharmaceuticals, Inc. (ARPO)
CIK: 0001422142
Period of Report: 2019-04-11
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 |
|---|---|---|---|---|---|---|---|
| 2019-04-11 | Common Stock | S | 57438 | $1.08 | Disposed | 4862363 | Indirect |
| 2019-04-12 | Common Stock | S | 30908 | $1.04 | Disposed | 4831455 | Indirect |
| 2019-04-15 | Common Stock | S | 28794 | $.99 | Disposed | 4802661 | Indirect |
Footnotes
F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.03 to $1.15. 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: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.02 to $1.08. 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.
F3: Reflects sales of common stock executed in multiple transactions at prices ranging from $0.97 to $1.03. 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.
F4: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities.