0001012975-17-000932.txt : 20171215 0001012975-17-000932.hdr.sgml : 20171215 20171215174454 ACCESSION NUMBER: 0001012975-17-000932 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171213 FILED AS OF DATE: 20171215 DATE AS OF CHANGE: 20171215 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: 001-32587 FILM NUMBER: 171259984 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: 001-32587 FILM NUMBER: 171259985 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: Altimmune, Inc. CENTRAL INDEX KEY: 0001326190 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 202726770 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 19 FIRSTFIELD ROAD CITY: GAITHERSBURG STATE: MD ZIP: 20878 BUSINESS PHONE: 2406541450 MAIL ADDRESS: STREET 1: 19 FIRSTFIELD ROAD CITY: GAITHERSBURG STATE: MD ZIP: 20878 FORMER COMPANY: FORMER CONFORMED NAME: PHARMATHENE, INC DATE OF NAME CHANGE: 20071016 FORMER COMPANY: FORMER CONFORMED NAME: HEALTHCARE ACQUISITION CORP DATE OF NAME CHANGE: 20050505 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-12-13 0001326190 Altimmune, Inc. ALT 0001297709 Novartis Bioventures Ltd C/O NOVARTIS INTERNATIONAL AG LICHTSTRASSE 35 BASEL V8 CH-4056 SWITZERLAND 0 0 1 0 0001114448 NOVARTIS AG C/O NOVARTIS INTERNATIONAL AG LICHTSTRASSE 35 BASEL V8 CH-4056 SWITZERLAND 0 0 1 0 Common Stock, par value $0.0001 2017-12-13 4 J 0 242694 A 2292257 I See Footnote Common Stock, par value $0.0001 2017-12-15 4 J 0 65718 A 2357975 I See Footnote Series B Convertible Preferred Stock 2.67 2017-12-13 4 J 0 344.9398 D 2017-08-21 2018-08-15 Common Stock, par value $0.0001 129188 2414.5674 I See Footnote Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.4213 per share of Common Stock. 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. Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.3910 per share of Common Stock. The Issuer's Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock, subject to certain restrictions, at an initial conversion price of $2.67 per share and a stated amount of $1,000 per share. /s/ Bart Dzikowski, Secretary of the Board of Novartis Bioventures Ltd 2017-12-15 /s/ Stephan Sandmeier, Authorized Signatory for Novartis Bioventures Ltd 2017-12-15 /s/ Bart Dzikowski, Authorized Signatory for Novartis AG 2017-12-15 /s/ Stephan Sandmeier, Authorized Signatory for Novartis AG 2017-12-15