Filing Details
- Accession Number:
- 0000925421-19-000139
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-03-28 17:16:20
- Reporting Period:
- 2019-03-26
- Accepted Time:
- 2019-03-28 17:16:20
- 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 | 2019-03-26 | 177,762 | $1.01 | 5,622,488 | No | 4 | S | Indirect | See Footnote |
| Common Stock | Disposition | 2019-03-27 | 50,749 | $0.99 | 5,571,739 | No | 4 | S | Indirect | See Footnote |
| Common Stock | Disposition | 2019-03-28 | 88,835 | $0.94 | 5,482,904 | 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
- Reflects sales of common stock executed in multiple transactions at prices ranging from $1.00 to $1.06. 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.
- Reflects sales of common stock executed in multiple transactions at prices ranging from $0.99 to $1.02. 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.
- Reflects sales of common stock executed in multiple transactions at prices ranging from $0.92 to $1.00. 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.
- 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.
Billionaire Hedge Funds
