0000925421-19-000141.txt : 20190402
0000925421-19-000141.hdr.sgml : 20190402
20190402200959
ACCESSION NUMBER: 0000925421-19-000141
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190329
FILED AS OF DATE: 20190402
DATE AS OF CHANGE: 20190402
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: 19727185
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: 19727186
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
2019-03-29
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
2019-03-29
4
S
0
63100
.91
D
5419804
I
See Footnote
Common Stock
2019-04-01
4
S
0
116909
.95
D
5302895
I
See Footnote
Common Stock
2019-04-02
4
S
0
51754
.97
D
5251141
I
See Footnote
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.
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.
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.
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.
/s/ Bartosz Dzikowski, Secretary of the Board of Novartis Bioventures Ltd
2019-04-02
/s/ Florian Muellershausen, Authorized Signatory on behalf of Novartis Bioventures Ltd
2019-04-02
/s/ Bartosz Dzikowski, Authorized Signatory on behalf of Novartis AG
2019-04-02
/s/ Florian Muellershausen, Authorized Signatory on behalf of Novartis AG
2019-04-02