-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, P5V/DkW4T2hz4+tJdnrsb7rnh9MVjd08h46cp4H/toP8EsPqr+N5q97N8xoVzK2c VG+fkL9T3h7cMbRPSmZWOg== 0000950157-01-000038.txt : 20010123 0000950157-01-000038.hdr.sgml : 20010123 ACCESSION NUMBER: 0000950157-01-000038 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010112 GROUP MEMBERS: NOVARTIS AG GROUP MEMBERS: NOVARTIS BIOTECH PARTNERSHIP, INC. GROUP MEMBERS: NOVARTIS CORPORATION GROUP MEMBERS: NOVARTIS INC GROUP MEMBERS: NOVARTIS PHARMA AG SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CHIRON CORP CENTRAL INDEX KEY: 0000706539 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 942754624 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-35798 FILM NUMBER: 1507999 BUSINESS ADDRESS: STREET 1: 4560 HORTON ST CITY: EMERYVILLE STATE: CA ZIP: 94608 BUSINESS PHONE: 5106558730 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NOVARTIS INC CENTRAL INDEX KEY: 0001030617 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: SCHWARZWALDALLEE 215 STREET 2: 4002 BASEL CITY: SWITZERLAND BUSINESS PHONE: 2128302413 MAIL ADDRESS: STREET 1: SCHWARZWALDALLEE 215 STREET 2: 4002 BASEL CITY: SWITZERLAND STATE: V8 SC 13D/A 1 0001.txt AMENDMENT NO. 10 TO SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 10)* Chiron Corporation .............................................................................. (Name of Issuer) Common Stock, Par Value $0.01 Per Share .............................................................................. (Title of Class of Securities) 170040109 .............................................................................. (CUSIP Number) Dr. Herbert Gut Philip A. Gelston, Esq. Novartis Pharma AG Cravath, Swaine & Moore Lichtstrasse 35 Worldwide Plaza CH-4002, Basel 825 Eighth Avenue Switzerland New York, New York 10019 41-61-324-1111 (212) 474-1000 .............................................................................. (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) October 6, 2000 .............................................................................. (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of ss.ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. [ ] NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 240.13d-7 for other parties to whom copies are to be sent. *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 15 CUSIP No. 170040109 - ------------------------------------------------------------------------------ 1) Names of Reporting Persons I.R.S. Identification Nos. of Above Persons (entities only) Novartis Biotech Partnership, Inc. 06-1415318 - ------------------------------------------------------------------------------ 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) (b) - ------------------------------------------------------------------------------ 3) SEC Use Only - ------------------------------------------------------------------------------ 4) Source of Funds (See Instructions) AF - ------------------------------------------------------------------------------ 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) - ------------------------------------------------------------------------------ 6) Citizenship or Place of Organization Delaware - ------------------------------------------------------------------------------ Numbers of (7) Sole Voting Power 0 Shares ------------------------------------------------------------ Beneficially (8) Shared Voting Power 131,645,894 Owned by ------------------------------------------------------------ Each Reporting (9) Sole Dispositive Power 0 Person With ------------------------------------------------------------ (10) Shared Dispositive Power 131,645,894 - ------------------------------------------------------------------------------ 11) Aggregate Amount Beneficially Owned by Each Reporting Person 131,645,894 - ------------------------------------------------------------------------------ 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) - ------------------------------------------------------------------------------ 13) Percent of Class Represented by Amount in Row (11) 53% - ------------------------------------------------------------------------------ 14) Type of Reporting Person (See Instructions) CO Page 2 of 15 CUSIP No. 170040109 - ------------------------------------------------------------------------------ 1) Names of Reporting Persons I.R.S. Identification Nos. of Above Persons (entities only) Novartis Corporation 13-1834433 - ------------------------------------------------------------------------------ 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) (b) - ------------------------------------------------------------------------------ 3) SEC Use Only - ------------------------------------------------------------------------------ 4) Source of Funds (See Instructions) AF - ------------------------------------------------------------------------------ 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------ 6) Citizenship or Place of Organization New York - ------------------------------------------------------------------------------ Numbers of (7) Sole Voting Power 0 Shares ------------------------------------------------------------ Beneficially (8) Shared Voting Power 131,653,350 Owned by ------------------------------------------------------------ Each Reporting (9) Sole Dispositive Power 0 Person With ------------------------------------------------------------ (10) Shared Dispositive Power 131,653,350 - ------------------------------------------------------------------------------ 11) Aggregate Amount Beneficially Owned by Each Reporting Person 131,653,350 - ------------------------------------------------------------------------------ 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) - ------------------------------------------------------------------------------ 13) Percent of Class Represented by Amount in Row (11) 53% - ------------------------------------------------------------------------------ 14) Type of Reporting Person (See Instructions) CO Page 3 of 15 CUSIP No. 170040109 - ------------------------------------------------------------------------------ 1) Names of Reporting Persons I.R.S. Identification Nos. of Above Persons (entities only) Novartis Pharma AG - ------------------------------------------------------------------------------ 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) (b) - ------------------------------------------------------------------------------ 3) SEC Use Only - ------------------------------------------------------------------------------ 4) Source of Funds (See Instructions) WC - ------------------------------------------------------------------------------ 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) - ------------------------------------------------------------------------------ 6) Citizenship or Place of Organization Switzerland - ------------------------------------------------------------------------------ Numbers of (7) Sole Voting Power 0 Shares ------------------------------------------------------------ Beneficially (8) Shared Voting Power 5,469,770 Owned by ------------------------------------------------------------ Each Reporting (9) Sole Dispositive Power 0 Person With ------------------------------------------------------------ (10) Shared Dispositive Power 5,469,770 - ------------------------------------------------------------------------------ 11) Aggregate Amount Beneficially Owned by Each Reporting Person 5,469,770 - ------------------------------------------------------------------------------ 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) - ------------------------------------------------------------------------------ 13) Percent of Class Represented by Amount in Row (11) 2% - ------------------------------------------------------------------------------ 14) Type of Reporting Person (See Instructions) CO Page 4 of 15 CUSIP No. 170040109 - ------------------------------------------------------------------------------ 1) Names of Reporting Persons I.R.S. Identification Nos. of Above Persons (entities only) Novartis AG - ------------------------------------------------------------------------------ 2) Check the Appropriate Box if a Member of a Group (See Instructions) (a) (b) - ------------------------------------------------------------------------------ 3) SEC Use Only - ------------------------------------------------------------------------------ 4) Source of Funds (See Instructions) WC - ------------------------------------------------------------------------------ 5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) - ------------------------------------------------------------------------------ 6) Citizenship or Place of Organization Switzerland - ------------------------------------------------------------------------------ Numbers of (7) Sole Voting Power 0 Shares ------------------------------------------------------------ Beneficially (8) Shared Voting Power 137,123,120 Owned by ------------------------------------------------------------ Each Reporting (9) Sole Dispositive Power 0 Person With ------------------------------------------------------------ (10) Shared Dispositive Power 137,123,120 - ------------------------------------------------------------------------------ 11) Aggregate Amount Beneficially Owned by Each Reporting Person 137,123,120 - ------------------------------------------------------------------------------ 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) - ------------------------------------------------------------------------------ 13) Percent of Class Represented by Amount in Row (11) 55% - ------------------------------------------------------------------------------ 14) Type of Reporting Person (See Instructions) CO Page 5 of 15 Item 1. Security and Issuer. This amendment to Schedule 13D relates to Common Stock, par value $0.01 per share (the "Common Stock"), of Chiron Corporation, a Delaware corporation (the "Company"). Novartis AG (which under Swiss law may be referred to as AG, SA or Inc.), the successor by consolidation to Ciba-Geigy Limited ("Novartis"), Novartis Corporation, formerly Ciba-Geigy Corporation ("Novartis Corp"), Novartis Biotech Partnership, Inc., formerly Ciba Biotech Partnership, Inc. ("Biotech"), and Novartis Pharma AG (which under Swiss law may be referred to as AG, SA or Inc.) ("Novartis Pharma" and, together with Novartis, Novartis Corp and Biotech the "Reporting Persons") hereby amend the Schedule 13D. Item 2. Identity and Background. (a), (b), (c) and (f) The name, business address, present principal occupation or employment and citizenship of the executive officers and members of the Board of Directors of each of the Reporting Persons is set forth on Schedule I hereto and is incorporated herein by reference. (d) and (e) None of the Reporting Persons nor, to the best knowledge of each of them, any of the persons listed on Schedule I hereto with respect to each such Reporting Person during the last five years, (i) has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (ii) was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. Item 5. Interest in Securities of the Issuer. (a) and (b) As of the date of this Amendment, Biotech is the record holder of 73,842,852 shares of Common Stock. In addition, pursuant to the Market Price Option Agreement, Biotech or its designee, which must be Novartis or a subsidiary thereof, has the right to purchase from the Company under certain circumstances such number of shares of Common Stock as are necessary for the Reporting Persons to maintain collectively up to a 55% ownership interest in the Company, which as of October 31, 2000, constituted the right to purchase an additional 57,803,042 shares, based on 191,511,721 shares of Common Stock outstanding at October 31, 2000, as reported in the Company's Quarterly Report on Form 10-Q for the period ended September 30, 2000. Biotech is the beneficial owner of 131,645,894 shares of Common Stock, or 53% of the Common Stock, assuming Biotech exercises its right to purchase the additional shares of Common Stock pursuant to Market Price Option Agreement. Biotech has shared power to vote or to direct the vote and shared power to dispose or to direct the disposition with respect to all the shares of Common Stock beneficially owned by it. Novartis Corp is the record holder of 7,456 shares of Common Stock. After adjusting the total number of shares beneficially owned by Novartis Corp to include the 131,645,894 shares beneficially owned by Biotech, Novartis Corp is the beneficial owner of 131,653,350 shares of Common Stock or 53% of the Common Stock, assuming Biotech exercises its right to purchase the additional shares of Common Stock pursuant to Market Price Option Agreement. Novartis Corp has shared power to vote or to direct the vote and shared power to dispose or to direct the disposition with respect to all the shares of Common Stock beneficially owned by it. Novartis Pharma is the record holder of 5,469,770 shares of Common Stock, or 2% of the Common Stock, assuming Biotech exercises its right to purchase the additional shares of Common Stock pursuant to Market Price Option Agreement. Novartis Pharma has shared power to vote or to direct the vote and Page 6 of 15 shared power to dispose or to direct the disposition with respect to all the shares of Common Stock beneficially owned by it. Novartis is the beneficial owner of the shares of Common Stock beneficially owned by Novartis Pharma, Novartis Corp and Biotech. Novartis beneficially owns 137,123,120 shares of Common Stock, giving it a 55% beneficial interest in the Company, assuming Biotech exercises its right to purchase the additional shares of Common Stock pursuant to Market Price Option Agreement. Novartis has shared power to vote or to direct the vote and shared power to dispose or to direct the disposition of the shares of Common Stock beneficially owned by Biotech, Novartis Corp and Novartis Pharma. To the best knowledge of each of the Reporting Persons, none of the persons listed on Schedule I hereto with respect to such Reporting Person is the beneficial owner of any shares of Common Stock. (c) Neither the Reporting Persons nor, to the best knowledge of each of the Reporting Persons, any of the persons listed on Schedule I with respect to each such Reporting Person has engaged in any transaction in the Common Stock in the past 60 days. (d) Not applicable. (e) Not applicable. Page 7 of 15 SCHEDULE I DIRECTORS AND EXECUTIVE OFFICERS OF NOVARTIS, NOVARTIS PHARMA, NOVARTIS CORP AND BIOTECH Directors and Executive Officers of Novartis The name, address, citizenship and present principal occupation or employment of each of the directors and executive officers of Novartis are set forth below. Unless otherwise indicated below, each occupation set forth opposite an individual's name refers to employment with Novartis. Name, Function and Business Address Citizenship Principal Occupation - ----------------------------------- ----------- -------------------- Daniel Vasella Switzerland Chairman of the Board of Chairman of the Board of Directors, Directors, Chief Executive Officer Chief Executive Officer c/o Novartis AG Lichtstrasse 35 CH-4002 Basel, Switzerland Hans-Jorg Rudloff Germany Head of Investment Vice Chairman of the Board Banking of the Barclays c/o Novartis AG Group Lichtstrasse 35 CH-4002 Basel, Switzerland Prof. Dr. Helmut Sihler Austria Retired Vice Chairman of the Board c/o Novartis AG Lichtstrasse 35 CH-4002 Basel, Switzerland Heini Lippuner Switzerland Retired c/o Novartis AG Lichtstrasse 35 CH-4002 Basel, Switzerland Birgit Breuel Germany General Commissioner c/o Novartis AG Executive Board for the Lichtstrasse 35 World Exposition EXPO 2000 CH-4002 Basel, Switzerland Prof. Dr. Peter Burckhardt Switzerland Head of Medical Service at c/o Novartis AG the University Hospital of Lichtstrasse 35 Lausanne CH-4002 Basel, Switzerland Page 8 of 15 Name, Function and Business Address Citizenship Principal Occupation - ----------------------------------- ------------ ----------------------- Dr. Hans-Ulrich Doerig Switzerland Chief Executive Officer of c/o Novartis AG Credit Suisse First Boston Lichtstrasse 35 in Zurich CH-4002 Basel, Switzerland Walter G. Frehner Switzerland Retired Inzlingerstrasse 276 CH-4125 Riehen, Switzerland William W. George USA Chairman and Chief c/o Novartis AG Executive Officer of Lichtstrasse 35 Medtronic, Inc., CH-4002 Basel, Switzerland Minneapolis Alexandre F. Jetzer Switzerland Consultant c/o Novartis AG Lichtstrasse 35 CH-4002 Basel, Switzerland Pierre Landoldt Switzerland President of the Sandoz c/o Novartis AG family foundation Lichtstrasse 35 CH-4002 Basel, Switzerland Prof. Dr. Rolf M. Zinkernagel Switzerland Professor and Director of c/o Novartis AG the Institute of Lichtstrasse 35 Experimental Immunology at CH-4002 Basel, Switzerland the University of Zurich Dr. Raymund Breu Switzerland Chief Financial Officer c/o Novartis AG Lichstrasse 35 CH-4002 Basel, Switzerland Thomas Ebeling Germany Chief Executive Officer of c/o Novartis AG Novartis Pharma Lichstrasse 35 CH-4002 Basel, Switzerland Al Piergallini USA Chief Executive Officer of c/o Novartis Consumer Health, Inc. Novartis Consumer Health 560 Morris Avenue Summit, NJ 07901-1312, USA Dr. Urs Barlocher Switzerland Head of International c/o Novartis AG Coordination, Legal and Lichstrasse 35 Taxes and Corporate CH-4002 Basel, Switzerland Security Page 9 of 15 Name, Function and Business Address Citizenship Principal Occupation - ----------------------------------- ----------- -------------------- Norman C. Walker Great Britain Head of Human Resources c/o Novartis AG Lichstrasse 35 CH-4002 Basel, Switzerland Dr. Glen Bradley USA Chief Executive Officer of c/o CIBA Vision Corporation Ciba Vision 11460 Johns Creek Parkway Duluth/Atlanta, GA 30155, USA Hans-Beat Gurtler Switzerland Chief Executive Officer c/o Novartis AG of Novartis Animal Health Lichstrasse 35 CH-4002 Basel, Switzerland Dr. Oswald Sellemond Austria Chief Executive Officer of c/o Novartis AG Novartis Generics Lichstrasse 35 CH-4002 Basel, Switzerland Dr. Gilbert Wenzel Germany Head Strategic Planning c/o Novartis AG Lichstrasse 35 CH-4002 Basel, Switzerland Page 10 of 15 Directors and Executive Officers of Novartis Pharma The name, address, citizenship and present principal occupation or employment of each of the directors and executive officers of Novartis Pharma are set forth below. Unless otherwise indicated below, each occupation set forth opposite an individual's name refers to employment with Novartis Pharma. Name, Function and Business Address Citizenship Principal Occupation - ----------------------------------- ----------- -------------------- Daniel Vasella Switzerland Chairman of the Board of Chairman of the Board of Directors, Directors Chief Executive Officer c/o Novartis AG Lichtstrasse 35 CH-4002 Basel, Switzerland Dr. Raymund Breu Switzerland Member of the Board of c/o Novartis AG Directors Lichstrasse 35 CH-4002 Basel, Switzerland Thomas Ebeling Germany Member of the Board of c/o Novartis AG Directors, Head of Lichstrasse 35 Management CH-4002 Basel, Switzerland Page 11 of 15 Directors and Executive Officers of Novartis Corp The name, address, citizenship and present principal occupation or employment of each of the directors and executive officers of Novartis Corp are set forth below. Unless otherwise indicated below, each occupation set forth opposite an individual's name refers to employment with Novartis Corp. Name, Function and Business Address Citizenship Principal Occupation - ----------------------------------- ----------- -------------------- Daniel Vasella Switzerland Chairman of the Board Chairman of the Board c/o Novartis AG Lichtstrasse 35 CH-4002 Basel, Switzerland Terance Barnett Great Britain Vice Chairman, President Vice Chairman and Chief Executive Officer c/o Novartis Corporation 608 Fifth Avenue New York, NY 10020, USA Raymund Breu Switzerland Chief Financial Officer, Director Novartis AG c/o Novartis AG Lichstrasse 35 CH-4002 Basel, Switzerland Thomas Ebeling Germany Chief Executive Officer of Director Novartis Pharma c/o Novartis AG Lichstrasse 35 CH-4002 Basel, Switzerland Fred Meyer Switzerland Retired Director c/o Omnicom Group, Inc. 437 Madison Avenue New York, NY 10022, USA Alfred Piergallini USA Chief Executive Officer of Director Novartis Consumer Health c/o Novartis Consumer Health, Inc. 560 Morris Avenue Summit, NJ 07901, USA Urs Naegelin Switzerland Executive Vice President c/o Novartis Corporation and Chief Financial Officer 608 Fifth Avenue New York, NY 10020, USA Page 12 of 15 Name, Function and Business Address Citizenship Principal Occupation - ----------------------------------- ----------- -------------------- Robert L. Thompson, Jr. USA Executive Vice President, c/o Novartis Corporation General Counsel and 608 Fifth Avenue Secretary New York, NY 10020, USA Page 13 of 15 Directors and Executive Officers of Biotech The name, address, citizenship and present principal occupation or employment of each of the directors and executive officers of Biotech are set forth below. Unless otherwise indicated below, each occupation set forth opposite an individual's name refers to employment with Biotech. Name, Function and Business Address Citizenship Principal Occupation - ----------------------------------- ----------- -------------------- Urs Naegelin Switzerland Executive Vice President Chairman of the Board and Chief Financial c/o Novartis Corporation Officer of Novartis 608 Fifth Avenue Corporation New York, NY 10020, USA Paulo Costa Brazil Chief Executive Officer of Vice Chairman of the Board and Novartis Pharmaceuticals President Corporation c/o Novartis Pharmaceuticals Corporation 59 Route 10 East Hanover, NJ 07936 Terance Barnett British Vice Chairman, President Director and Chief Executive Officer c/o Novartis Corporation of Novartis Corporation 608 Fifth Avenue New York, NY 10020, USA Robert L. Thompson, Jr. USA Executive Vice President, Vice President and Secretary General Counsel and c/o Novartis Corporation Secretary of Novartis 608 Fifth Avenue Corporation New York, NY 10020, USA Page 14 of 15 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: January 11, 2001 NOVARTIS BIOTECH PARTNERSHIP, INC., by /s/ Jeff Benjamin -------------------------------- Name: Jeff Benjamin Title: Vice President NOVARTIS CORPORATION, by /s/ Wayne P. Merkelson -------------------------------- Name: Wayne P. Merkelson Title: Vice President NOVARTIS PHARMA AG, by /s/ Wayne P. Merkelson -------------------------------- Name: Wayne P. Merkelson Title: Attorney-in-Fact Under Power of Attorney dated January 10, 2001 NOVARTIS AG, by /s/ Robert L. Thompson, Jr. -------------------------------- Name: Robert L. Thompson, Jr. Title: Attorney-in-Fact Under Power of Attorney dated January 10, 2001 Page 15 of 15 -----END PRIVACY-ENHANCED MESSAGE-----