Filing Details
- Accession Number:
- 0000925421-19-000141
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-04-02 20:09:59
- Reporting Period:
- 2019-03-29
- Accepted Time:
- 2019-04-02 20:09:59
- 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 | 2019-03-29 | 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.
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