Filing Details

Accession Number:
0000925421-18-000298
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-08-22 16:07:37
Reporting Period:
2018-08-20
Accepted Time:
2018-08-22 16:07:37
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1422142 Aerpio Pharmaceuticals Inc. ARPO Pharmaceutical Preparations (2834) V8
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1114448 Ag Novartis Lichtstrasse 35
Basel V8 CH 4056
No No Yes No
1297709 Ltd Bioventures Novartis C/O Novartis International Ag
Wsj-200.220
Basel V8 CH-4002
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2018-08-20 5,300 $3.90 5,800,250 No 4 S Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See Footnote
Footnotes
  1. Reflects sales of common stock executed in multiple transactions at prices ranging from $3.90 to $3.91. 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.
  2. 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.