-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Njd5XrQ0rjARqdQ55qYDP4CfVuiOrt17sYzcpB8ZZ+EqTYbMAu2O4urFj02YGg/k Oqr/HmZkj3bkZ34Jd38r4A== 0000947871-98-000047.txt : 19980218 0000947871-98-000047.hdr.sgml : 19980218 ACCESSION NUMBER: 0000947871-98-000047 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971231 FILED AS OF DATE: 19980213 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: COCENSYS INC CENTRAL INDEX KEY: 0000895034 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 330538836 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 000-20954 FILM NUMBER: 98539084 BUSINESS ADDRESS: STREET 1: 213 TECHNOLOGY DR CITY: IRVINE STATE: CA ZIP: 92718 BUSINESS PHONE: 7147536100 MAIL ADDRESS: STREET 2: 213 TECHNOLOGY DRIVE CITY: IRVINE STATE: CA ZIP: 92718 COMPANY DATA: COMPANY CONFORMED NAME: NOVARTIS INC CENTRAL INDEX KEY: 0001030617 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: SCHWARZWALDALLEE 215 STREET 2: 4002 BASEL CITY: SWITZERLAND BUSINESS PHONE: 2128302413 MAIL ADDRESS: STREET 1: SCHWARZWALDALLEE 215 STREET 2: 4002 BASEL CITY: SWITZERLAND STATE: V8 5 1 FORM 5 FORM 5 OMB APPROVAL --------------------------------- OMB Number 3235-0362 Expires: September 30, 1998 Estimated average burden hours per response........... 1.0 U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |_|Check box if no longer subject to Section 16. Form 4 or Form 5 obli- gations may continue. See Instruc- tion 1(b). |_|Form 3 Holdings Reported |_|Form 4 Transactions Reported 1. Name and Address of Reporting Person* Novartis AG Schwarzwaldallee 215 CH-4002 Basel, Switzerland 2. Issuer Name and Ticker or Trading Symbol CoCensys, Inc. (COCN) 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year December 31, 1997 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ___ Director _X_ 10% Owner ___ Officer (give title below) ___ Other (specify below) _______________________________ 7. Individual or Joint/Group Reporting (check applicable line) _X_ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person Table I--Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security 2. Trans- 3. Transac- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature of (Instr. 3) action tion or Disposed of (D) Securities Bene- ship Indirect Date Code (Instr. 3, 4 and 5) ficially Owned Form: Beneficial (Month/ (Instr. at end of Direct Ownership Day/ 8) Issuer's (D) or (Instr. 4) Year) Fiscal Year Indirect (A) (Instr. 3 and 4) (I) or (Instr. 4) Amount (D) Price Common Stock 2,378,192 I I(1) (1) The shares are held by Novartis Produkte AG, a wholly-owned subsidiary of Novartis AG.
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) TABLE II--Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative 2. Conver- 3. Trans- 4.Trans- 5. Number of 6. Date Exer- 7. Title and Amount of Security sion or action action Derivative cisable and Underlying Securities (Instr. 3) Exercise Date Code Securities Ac- Expiration (Instr. 3 and 4) Price of (Month/ (Instr. 8) quired (A) or Date Deriv- Day/ Disposed of (D) (Month/Day/ ative Year) (Instr. 3, 4 Year) Security and 5) Date Expira- Amount or Exer- tion Number of (A) (D) cisable Date Title Shares
TABLE II--Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) (continued)
8. Price of 9. Number of 10. Ownership 11. Nature of Derivative Derivative of Derivative Indirect Security Securities Security: Beneficial (Instr. 5) Beneficially Direct (D) Ownership Owned or Indirect (I) (Instr. 4) at End of Year (Instr. 4) (Instr. 4)
Explanation of Responses: ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number. NOVARTIS AG /s/ Dr. Urs Barlocher 2/13/98 ---------------------------------------- ------------------------ General Counsel Date /s/ Christoph Mader 2/13/98 ---------------------------------------- ------------------------ Senior Corporate Counsel Date Joint Filer Information Name: Novartis Produkte AG Address: Schwarzwaldallee 215 CH-4002 Basel, Switzerland Designated Filer: Novartis AG Issuer & Ticker Symbol: CoSensys, Inc. (COCN) Signature: NOVARTIS PRODUKTE AG /s/ Dr. Urs Barlocher ---------------------- Authorized Signatory /s/ Anita Buchli ---------------------- Authorized Signatory -----END PRIVACY-ENHANCED MESSAGE-----