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