0000899243-19-027115.txt : 20191112 0000899243-19-027115.hdr.sgml : 20191112 20191112161533 ACCESSION NUMBER: 0000899243-19-027115 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191112 FILED AS OF DATE: 20191112 DATE AS OF CHANGE: 20191112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Novartis Bioventures Ltd CENTRAL INDEX KEY: 0001297709 STATE OF INCORPORATION: D0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39114 FILM NUMBER: 191209596 BUSINESS ADDRESS: STREET 1: C/O NOVARTIS INTERNATIONAL AG STREET 2: WSJ-200.220 CITY: CH-4002 BASEL STATE: V8 ZIP: 0000000000 BUSINESS PHONE: 41-61-324-6210 MAIL ADDRESS: STREET 1: C/O NOVARTIS INTERNATIONAL AG STREET 2: WSJ-200.220 CITY: CH-4002 BASEL STATE: V8 ZIP: 0000000000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NOVARTIS AG CENTRAL INDEX KEY: 0001114448 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] STATE OF INCORPORATION: V8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39114 FILM NUMBER: 191209597 BUSINESS ADDRESS: STREET 1: LICHTSTRASSE 35 CITY: BASEL STATE: V8 ZIP: CH 4056 BUSINESS PHONE: 01141613241111 MAIL ADDRESS: STREET 1: LICHTSTRASSE 35 CITY: BASEL STATE: V8 ZIP: CH 4056 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Galera Therapeutics, Inc. CENTRAL INDEX KEY: 0001563577 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 461454898 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 101 LINDENWOOD DRIVE STREET 2: SUITE 405 CITY: MALVERN STATE: PA ZIP: 19355 BUSINESS PHONE: 610-725-1500 MAIL ADDRESS: STREET 1: 101 LINDENWOOD DRIVE STREET 2: SUITE 405 CITY: MALVERN STATE: PA ZIP: 19355 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-11-12 0 0001563577 Galera Therapeutics, Inc. GRTX 0001297709 Novartis Bioventures Ltd C/O NOVARTIS VENTURE FUND FORUM 1 - 1.32, LICHTSTRASSE 35, CH-4056 BASEL V8 CH-4056 SWITZERLAND 0 0 1 0 0001114448 NOVARTIS AG LICHTSTRASSE 35, CH-4056 BASEL V8 CH-4056 SWITZERLAND 0 0 1 0 Common Stock 2019-11-12 4 C 0 3293067 A 3293067 I See footnote Common Stock 2019-11-12 4 P 0 250000 12.00 A 3543067 I See footnote Series A Preferred Stock 2019-11-12 4 C 0 9000000 D Common Stock 1779864 0 I See footnote Series B Preferred Stock 2019-11-12 4 C 0 7200000 D Common Stock 1423891 0 I See footnote Series C Preferred Stock 2019-11-12 4 C 0 451609 D Common Stock 89311 0 I See footnote Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into shares of the Issuer's common stock on a 0.197763-for-one basis. Novartis Bioventures Ltd. Is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities. Novartis Bioventures Ltd., By: /s/ Bart Dzikowski, Name: Bart Dzikowski, Title: Secretary of the Board, By: /s/ Stephan Sandmeier, Name: Stephan Sandmeier, Title: Authorized Signatory 2019-11-12 Novartis AG, By: /s/ Bart Dzikowski, Name: Bart Dzikowski, Title: Attorney-in-Fact, By: /s/ Stephan Sandmeier, Name: Stephan Sandmeier, Title: Attorney-in-Fact 2019-11-12