-----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, NDvEK9UwPoQw00EdlEqCA/o6VrSfFr8PQLG5GWjyj2qCGvAC9WOLc6X5vtlU2+58 kdQFg65YPPen/hR3gDfN2g== 0000950123-97-001428.txt : 19970222 0000950123-97-001428.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950123-97-001428 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19970214 SROS: NONE GROUP MEMBERS: NOVARTIS INC GROUP MEMBERS: NOVARTIS PRODUKTE AG SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SIBIA NEUROSCIENCES INC CENTRAL INDEX KEY: 0001011065 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 953616229 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-48087 FILM NUMBER: 97535595 BUSINESS ADDRESS: STREET 1: 505 COAST BLVD SOUTH STREET 2: STE 300 CITY: LA JOLLA STATE: CA ZIP: 92037 BUSINESS PHONE: 6194525892 MAIL ADDRESS: STREET 1: 505 COAST BLVD SOUTH STREET 2: SUITE 300 CITY: LA JOLLA STATE: CA ZIP: 92037 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NOVARTIS INC CENTRAL INDEX KEY: 0001030617 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G 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 13G 1 SCHEDULE 13G 1 OMB APPROVAL --------------------------- OMB Number: 3235-0145 --------------------------- Expires: December 31, 1997 Estimated average burden hours per response....14.90 --------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. _________)* SIBIA Neurosciences, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.001 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 825 732 10 0 - -------------------------------------------------------------------------------- (CUSIP Number) *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 the disclosures provided in a prior cover page. The information required in 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 7 pages 2 CUSIP NO. 825 732 10 0 13G PAGE 2 OF 7 PAGES - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Novartis AG - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / 2 (b) / / - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 Switzerland - -------------------------------------------------------------------------------- NUMBER OF SOLE VOTING POWER SHARES 5 BENEFICIALLY Novartis AG disclaims beneficial ownership OWNED BY of 1,035,324 shares of Common Stock of SIBIA EACH Neurosciences, Inc. currently owned by Novartis REPORTING Produkte AG, a wholly-owned subsidiary of Novartis PERSON AG. WITH -------------------------------------------------------- SHARED VOTING POWER 6 0 -------------------------------------------------------- SOLE DISPOSITIVE POWER 7 Novartis AG disclaims beneficial ownership of 1,035,324 shares of Common Stock of SIBIA Neurosciences, Inc. currently owned by Novartis Produkte AG, a wholly-owned subsidiary of Novartis AG. -------------------------------------------------------- SHARED DISPOSITIVE POWER 8 0 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 9 PERSON Novartis AG disclaims beneficial ownership of 1,035,324 shares of Common Stock of SIBIA Neurosciences, Inc. currently owned by Novartis Produkte AG, a wholly-owned subsidiary of Novartis AG. - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES 10 CERTAIN SHARES* - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11 Novartis AG disclaims beneficial ownership of 1,035,324 shares of Common Stock of SIBIA Neurosciences, Inc. which represents 11.3% of that class of Common Stock. - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 CO - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 3 CUSIP NO. 825 732 10 0 13G PAGE 3 OF 7 PAGES - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Novartis Produkte AG - -------------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / 2 (b) / / - -------------------------------------------------------------------------------- SEC USE ONLY 3 - -------------------------------------------------------------------------------- CITIZENSHIP OR PLACE OF ORGANIZATION 4 Switzerland - -------------------------------------------------------------------------------- NUMBER OF SOLE VOTING POWER SHARES 5 1,035,324 BENEFICIALLY -------------------------------------------------------- OWNED BY SHARED VOTING POWER EACH 6 0 REPORTING -------------------------------------------------------- PERSON SOLE DISPOSITIVE POWER WITH 7 1,035,324 -------------------------------------------------------- SHARED DISPOSITIVE POWER 8 0 - -------------------------------------------------------------------------------- AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 9 PERSON Novartis Produkte AG which beneficially owns 1,035,324 shares of Common Stock of SLBLA Neurosciences Inc., is a wholly-owned subsidiary of Novartis AG. Novartis AG disclaims beneficial ownership of said 1,035,324 shares of Common Stock of SIBIA Neurosciences, Inc. - -------------------------------------------------------------------------------- CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES 10 CERTAIN SHARES* - -------------------------------------------------------------------------------- PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11 11.3% - -------------------------------------------------------------------------------- TYPE OF REPORTING PERSON* 12 CO - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 4 ITEM 1. (a) Name of Issuer: SIBIA Neurosciences, Inc. (b) Address of Issuer's Principal Executive Offices: 505 Coast Boulevard South, Suite 300 La Jolla, CA 92037 ITEM 2. (a) Name of Person Filing: Novartis AG and Novartis Produkte AG (b) Address of Principal Business Office or, if none, Residence: The principal address of Novartis AG and Novartis Produkte AG is CH-4002 Basel, Switzerland. (c) Citizenship: Novartis AG and Novartis Produkte AG are each Swiss Corporations. (d) Title of Class of Securities: Common Stock, $.001 par value (e) CUSIP Number: 825 732 10 0 ITEM 3. NOT APPLICABLE. ITEM 4. OWNERSHIP. (a) Amount Beneficially Owned: Novartis AG disclaims beneficial ownership of 1,035,324 shares of Common Stock of SIBIA Neurosciences, Inc. currently owned by Novartis Produkte AG, a wholly-owned subsidiary of Novartis AG. (b) Percent of Class: 11.3% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 1,035,324 (ii) shared power to vote or to direct the vote: Not Applicable (iii) sole power to dispose or to direct the disposition of: 1,035,324 (iv) shared power to dispose or to direct the disposition of: Not Applicable
Page 4 of 7 pages 5 Novartis Produkte AG, which beneficially owns 1,035,324 shares of Common Stock of SIBIA Neurosciences, Inc., is a wholly-owned subsidiary of Novartis AG. Novartis AG disclaims beneficial ownership of said 1,035,324 shares of Common Stock of SIBIA Neurosciences, Inc. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS Not Applicable ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON Not Applicable ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY Not Applicable ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP Not Applicable ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not Applicable ITEM 10. CERTIFICATION By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. Page 5 of 7 pages 6 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: February 14, 1997 NOVARTIS AG By: /s/ Ingrid Duplain -------------------------------- Name: Ingrid Duplain Title: Authorized Signatory NOVARTIS PRODUKTE AG By: /s/ Pierre Douaze -------------------------------- Name: Pierre Douaze Title: Authorized Signatory Page 6 of 7 pages EX-99 2 JOINT FILING AGREEMENT 1 AGREEMENT JOINT FILING OF SCHEDULE 13G The undersigned hereby agrees to file jointly the Statement on Schedule 13G (the "Statement") relating to the Common Stock, $.001 par value per share, of SIBIA Neurosciences, Inc., and any further amendments thereto which may be deemed necessary pursuant to Regulation 13D or G promulgated under Section 13 of the Securities Exchange Act of 1934, as amended. It is understood and agreed that a copy of this Agreement shall be attached as an exhibit to the Statement, filed on behalf of each of the parties hereto. This Agreement may be executed in multiple counterparts, each of which shall constitute an original, one and the same instrument. IN WITNESS WHEREOF, each of the undersigned has executed this Agreement as of the 14 day of February, 1997. NOVARTIS AG By: /s/ Ingrid Duplain -------------------------------- Name: Ingrid Duplain Title: Authorized Signatory NOVARTIS PRODUKTE AG By: /s/ Pierre Douaze -------------------------------- Name: Pierre Douaze Title: Authorized Signatory Page 7 of 7 pages -----END PRIVACY-ENHANCED MESSAGE-----