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Novartis AG — Director's Dealing 2019
Apr 11, 2019
940_dirs_2019-04-10_f848aff7-3821-4b18-80ae-409d010f0ee8.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: 2019-04-08
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 |
|---|---|---|---|---|---|---|---|
| 2019-04-08 | Common Stock | S | 27525 | $1.02 | Disposed | 5093022 | Indirect |
| 2019-04-09 | Common Stock | S | 32991 | $1.01 | Disposed | 5060031 | Indirect |
| 2019-04-10 | Common Stock | S | 140230 | $1.09 | Disposed | 4919801 | Indirect |
Footnotes
F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.00 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.
F2: Reflects sales of common stock executed in multiple transactions at prices ranging from $0.98 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.
F3: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.02 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.
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.