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Novartis AG — Director's Dealing 2019
Apr 3, 2019
940_dirs_2019-04-02_46af845a-2000-443a-91d1-5f8be8e8c33c.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: 2019-03-29
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 |
|---|---|---|---|---|---|---|---|
| 2019-03-29 | Common Stock | S | 63100 | $.91 | Disposed | 5419804 | Indirect |
| 2019-04-01 | Common Stock | S | 116909 | $.95 | Disposed | 5302895 | Indirect |
| 2019-04-02 | Common Stock | S | 51754 | $.97 | Disposed | 5251141 | Indirect |
Footnotes
F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $0.88 to $0.96. 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 $0.90 to $0.99. 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 $0.93 to $1.00. 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.