-----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, HAv5QTJD6/pj8gEgbKXZvkT5lHcEHLGRGprGUXu5nOeecjTHu53ji4uuu1RtxSRj I5pF3IaeBImP5o0b+wrHPQ== /in/edgar/work/0000950157-00-000613/0000950157-00-000613.txt : 20001114 0000950157-00-000613.hdr.sgml : 20001114 ACCESSION NUMBER: 0000950157-00-000613 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20001031 FILED AS OF DATE: 20001113 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CHIRON CORP CENTRAL INDEX KEY: 0000706539 STANDARD INDUSTRIAL CLASSIFICATION: [2834 ] IRS NUMBER: 942754624 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-12798 FILM NUMBER: 760945 BUSINESS ADDRESS: STREET 1: 4560 HORTON ST CITY: EMERYVILLE STATE: CA ZIP: 94608 BUSINESS PHONE: 5106558730 COMPANY DATA: COMPANY CONFORMED NAME: NOVARTIS INC CENTRAL INDEX KEY: 0001030617 STANDARD INDUSTRIAL CLASSIFICATION: [ ]OWNER FILING VALUES: FORM TYPE: 4 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 4 1 0001.txt STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [ ] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). _______________________________________________________________________________ 1. Name and Address of Reporting Person* Novartis AG - ------------------------------------------------------------------------------- (Last) (First) (Middle) Schwarzwaldalle 215 - ------------------------------------------------------------------------------- (Street) CH-4002, Basel Switzerland - ------------------------------------------------------------------------------- (City) (State) (Zip) _______________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol Chiron Corporation/CHIR _______________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) _______________________________________________________________________________ 4. Statement for Month/Year 10/00 _______________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) _______________________________________________________________________________ 6. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [x] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) _______________________________________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [ ] Form filed by one Reporting Person [x] Form filed by more than one Reporting Person _______________________________________________________________________________ =============================================================================== Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ===============================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 10/6/00 C 348,310 A $47 348,310 D - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 5,121,460 I Through Novartis Pharma AG - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 73,842,852 I Through Novartis Biotech - ----------------------------------------------------------------------------------------------------------------------------------- Common Stock 7,456 I Through Novartis Corporation - ----------------------------------------------------------------------------------------------------------------------------------- ===================================================================================================================================
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ===============================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ----------------------------------------------------------------------------------------------------------------------------------- 7-1/4% Con- $47 10/6/00 C $10,069,000 Anytime 7/01/15 Common 348,310 0 D vertible Sub- ordinated Debentures due 2015 - ----------------------------------------------------------------------------------------------------------------------------------- ===================================================================================================================================
Explanation of Responses: On October 6, 2000, Novartis AG converted $10,069,000 fact amount of Chiron 7-1/4% Convertible Subordinated Debentures due 2015 into 348,310 shares of Chiron common stock. Novartis AG is the beneficial owner of a total of 79,320,078 Common Shares of Chiron Corporation. Of such shares, 5,121,460 shares are owned by Novartis Pharma AG (a wholly owned subsidiary of Novartis AG) 73,842,852 shares are owned by Novartis Biotech Partnership, Inc. (an indirect wholly owned subsidiary of Novartis AG) 7,456 shares are owned by Novartis Corporation (an indirect wholly owned subsidiary of Novartis AG) and 348,310 shares were obtained by the conversion of the 7-1/4% Convertible Subordinated Debentures. /s/ Robert L. Thompson, Jr. November 13, 2000 - -------------------------------------------- ----------------------- **Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number. Page 2 Additional Reporting Novartis Pharma AG (a wholly owned Person: subsidiary of Novartis AG) Address: Schwarzwaldallee 215; CH-4002 Basel, Switzerland Designated Filer: Novartis AG Issuer & Ticker Symbol: Chiron Corporation/CHIR Statement for Month/Year: 10/00 /s/ Wayne P. Merkelson 11/13/00 ------------------------- ---------- Signature of Date Reporting Person Additional Reporting Novartis Biotech Partnership, Inc. (an Person: indirect wholly owned subsidiary of Novartis AG) Address: 564 Morris Avenue; Summit, NJ 07901 Designated Filer: Novartis AG Issuer & Ticker Symbol: Chiron Corporation/CHIR Statement for Month/Year: 10/00 /s/ Jeff Benjamin 11/13/00 ------------------------- ---------- Signature of Date Reporting Person Additional Reporting Novartis Corporation (an indirect Person: wholly owned subsidiary of Novartis AG) Address: 564 Morris Avenue; Summit, NJ 07901 Designated Filer: Novartis AG Issuer & Ticker Symbol: Chiron Corporation/CHIR Statement for Month/Year: 10/00 /s/ Wayne P. Merkelson 11/13/00 ------------------------- ---------- Signature of Date Reporting Person -----END PRIVACY-ENHANCED MESSAGE-----