0000925421-18-000298.txt : 20180822 0000925421-18-000298.hdr.sgml : 20180822 20180822160737 ACCESSION NUMBER: 0000925421-18-000298 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180820 FILED AS OF DATE: 20180822 DATE AS OF CHANGE: 20180822 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Novartis Bioventures Ltd CENTRAL INDEX KEY: 0001297709 STATE OF INCORPORATION: D0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38560 FILM NUMBER: 181032586 BUSINESS ADDRESS: STREET 1: C/O NOVARTIS INTERNATIONAL AG STREET 2: WSJ-200.220 CITY: CH-4002 BASEL STATE: V8 ZIP: 0000000000 BUSINESS PHONE: 41-61-324-6210 MAIL ADDRESS: STREET 1: C/O NOVARTIS INTERNATIONAL AG STREET 2: WSJ-200.220 CITY: CH-4002 BASEL STATE: V8 ZIP: 0000000000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NOVARTIS AG CENTRAL INDEX KEY: 0001114448 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] STATE OF INCORPORATION: V8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38560 FILM NUMBER: 181032587 BUSINESS ADDRESS: STREET 1: LICHTSTRASSE 35 CITY: BASEL STATE: V8 ZIP: CH 4056 BUSINESS PHONE: 01141613241111 MAIL ADDRESS: STREET 1: LICHTSTRASSE 35 CITY: BASEL STATE: V8 ZIP: CH 4056 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Aerpio Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001422142 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 611547850 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 9987 CARVER ROAD CITY: CINCINNATI STATE: OH ZIP: 45242 BUSINESS PHONE: (513) 985-1920 MAIL ADDRESS: STREET 1: 9987 CARVER ROAD CITY: CINCINNATI STATE: OH ZIP: 45242 FORMER COMPANY: FORMER CONFORMED NAME: ZETA ACQUISITION CORP II DATE OF NAME CHANGE: 20071227 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2018-08-20 0001422142 Aerpio Pharmaceuticals, Inc. ARPO 0001297709 Novartis Bioventures Ltd C/O NOVARTIS INTERNATIONAL AG WSJ-200.220 BASEL V8 CH-4002 SWITZERLAND 0 0 1 0 0001114448 NOVARTIS AG LICHTSTRASSE 35 BASEL V8 CH 4056 SWITZERLAND 0 0 1 0 Common Stock 2018-08-20 4 S 0 5300 3.90 D 5800250 I See Footnote 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. 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. Exhibit List - Exhibit 24 - Power of Attorney /s/ Bartosz Dzikowski, Secretary of the Board of Novartis Bioventures Ltd 2018-08-22 /s/ Florian Muellershausen, Authorized Signatory on behalf of Novartis Bioventures Ltd 2018-08-22 /s/ Bartosz Dzikowski, Authorized Signatory on behalf of Novartis AG 2018-08-22 /s/ Florian Muellershausen, Authorized Signatory on behalf of Novartis AG 2018-08-22 EX-24 2 arpo-poa.htm POWER OF ATTORNEY

   POWER OF ATTORNEY



  We, the undersigned, under the authority granted to each of us to sign jointly on

behalf of Novartis AG, hereby grant powers to Bartosz Dzikowski, Stephan Sandmeier, Marc

Ceulemans, Anja Konig, Florian Muellershausen, Beat Steffen, and Florent Gros and constitute

and appoint any two of them jointly as our true and lawful attorneys and representatives and to

act on our behalf and to sign filings to be made with the U.S. Securities and Exchange

Commission (the "SEC") relating to the shares of Aerpio Therapeutics, Inc. held by Novartis

Bioventures Ltd, an indirect subsidiary of Novartis AG, as required by the SEC (the "SEC

Filings"), and to undertake and carry out all tasks and formalities on our behalf which may be

required in connection with giving effect to the SEC Filings.



  We, the undersigned, undertake to ratify and confirm whatever our true and

lawful attorneys do or purport to do in good faith in the exercise of any power conferred by this

Power of Attorney.



  We, the undersigned, declare that a person who deals with our true and lawful

attorneys in good faith may accept a written statement signed by such attorneys to the effect that

this Power of Attorney has not been revoked as conclusive evidence of that fact.



  The authority granted by this Power of Attorney shall expire immediately after the

date on which the SEC Filings are no longer required.



  IN WITNESS WHEREOF, this Power of Attorney is duly signed on this 12th

day of July 2018.



      Novartis AG



      By: /s/ Jean-Baptiste Emery

      Name: Jean-Baptiste Emery

      Title: Authorized Signatory



      By: /s/ Felix Eichhorn

      Name: Felix Eichhorn

      Title: Authorized Signatory