Filing Details

Accession Number:
0000925421-19-000149
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-04-10 18:26:02
Reporting Period:
2019-04-08
Accepted Time:
2019-04-10 18:26:02
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 2019-04-08 27,525 $1.02 5,093,022 No 4 S Indirect See Footnote
Common Stock Disposition 2019-04-09 32,991 $1.01 5,060,031 No 4 S Indirect See Footnote
Common Stock Disposition 2019-04-10 140,230 $1.09 4,919,801 No 4 S Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See Footnote
No 4 S Indirect See Footnote
No 4 S Indirect See Footnote
Footnotes
  1. Reflects sales of common stock executed in multiple transactions at prices ranging from $1.00 to $1.08. 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. Reflects sales of common stock executed in multiple transactions at prices ranging from $0.98 to $1.03. 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.
  3. Reflects sales of common stock executed in multiple transactions at prices ranging from $1.02 to $1.15. 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.
  4. The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities.