0000925421-20-000244.txt : 20200609 0000925421-20-000244.hdr.sgml : 20200609 20200609200201 ACCESSION NUMBER: 0000925421-20-000244 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200605 FILED AS OF DATE: 20200609 DATE AS OF CHANGE: 20200609 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: 001-39114 FILM NUMBER: 20953246 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 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: 001-39114 FILM NUMBER: 20953247 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 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Galera Therapeutics, Inc. CENTRAL INDEX KEY: 0001563577 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 461454898 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2 WEST LIBERTY BLVD #100 CITY: MALVERN STATE: PA ZIP: 19355 BUSINESS PHONE: 610-725-1500 MAIL ADDRESS: STREET 1: 2 WEST LIBERTY BLVD #100 CITY: MALVERN STATE: PA ZIP: 19355 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2020-06-05 0001563577 Galera Therapeutics, Inc. GRTX 0001297709 Novartis Bioventures Ltd FORUM 1 - 1.32, LICHTSTRASSE 35, CH-4056 BASEL V8 CH-4056 SWITZERLAND 0 0 1 0 0001114448 NOVARTIS AG LICHTSTRASSE 35, CH-4056 BASEL V8 CH-4056 SWITZERLAND 0 0 1 0 Common Stock 2020-06-05 4 S 0 8652 9.66 D 3519450 D Common Stock 2020-06-08 4 S 0 5659 9.66 D 3513791 D Common Stock 2020-06-09 4 S 0 7000 9.38 D 3506791 D Reflects sales of common stock executed in multiple transactions at prices ranging from $9.35 to $9.89. 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. Novartis Bioventures Ltd is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. Reflects sales of common stock executed in multiple transactions at prices ranging from $9.50 to $9.83. 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 $9.30 to $9.56. 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. /s/ Bartosz Dzikowski, Secretary of the Board of Novartis Bioventures Ltd 2020-06-09 /s/ Beat Steffen, Authorized Signatory on behalf of Novartis Bioventures Ltd 2020-06-09 /s/ Bartosz Dzikowski, Authorized Signatory on behalf of Novartis AG 2020-06-09 /s/ Beat Steffen, Authorized Signatory on behalf of Novartis AG 2020-06-09