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Filing Details

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	2019-03-29	63,100	$0.91	5,419,804	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2019-04-01	116,909	$0.95	5,302,895	No	4	S	Indirect	See Footnote
Common Stock	Disposition	2019-04-02	51,754	$0.97	5,251,141	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 $0.88 to $0.96. 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 $0.90 to $0.99. 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 $0.93 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 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.