0001012975-18-001065.txt : 20180914 0001012975-18-001065.hdr.sgml : 20180914 20180914091400 ACCESSION NUMBER: 0001012975-18-001065 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180912 FILED AS OF DATE: 20180914 DATE AS OF CHANGE: 20180914 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: 001-32587 FILM NUMBER: 181070207 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: 001-32587 FILM NUMBER: 181070208 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: Altimmune, Inc. CENTRAL INDEX KEY: 0001326190 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 202726770 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 910 CLOPPER ROAD STREET 2: SUITE 201S CITY: GAITHERSBURG STATE: MD ZIP: 20878 BUSINESS PHONE: 2406541450 MAIL ADDRESS: STREET 1: 910 CLOPPER ROAD STREET 2: SUITE 201S CITY: GAITHERSBURG STATE: MD ZIP: 20878 FORMER COMPANY: FORMER CONFORMED NAME: PHARMATHENE, INC DATE OF NAME CHANGE: 20071016 FORMER COMPANY: FORMER CONFORMED NAME: HEALTHCARE ACQUISITION CORP DATE OF NAME CHANGE: 20050505 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2018-09-12 0001326190 Altimmune, Inc. ALT 0001297709 Novartis Bioventures Ltd C/O NOVARTIS INTERNATIONAL AG LICHTSTRASSE 35 BASEL V8 CH-4056 SWITZERLAND 0 0 1 0 0001114448 NOVARTIS AG C/O NOVARTIS INTERNATIONAL AG LICHTSTRASSE 35 BASEL V8 CH-4056 SWITZERLAND 0 0 1 0 Common Stock, par value $0.0001 2018-09-12 4 J 0 2069993 A 8345145 I See Footnote Warrants 2.67 2018-09-12 4 J 0 465086 D 2017-08-21 2022-08-21 Common Stock, par value $0.0001 465086 0 I See Footnote Pursuant to the terms of the Exchange Agreement between the Issuer and the Reporting Persons dated July 11, 2018, the remaining warrants to purchase the Issuer's common stock (the "Warrants") were exchanged for shares of the Issuer's common stock, par value $0.0001 per share. The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG. Warrants to purchase shares of the Issuer's Common Stock were acquired in connection with the acquisition of the Preferred Stock and reported on this Form 4. The Warrants held by Novartis may not be exercised if such exercise would cause Novartis to hold more than 19.99% of the Issuer's Common Stock, regardless of receipt by the Issuer of the Requisite Stockholder Approval. /s/ Bart Dzikowski, Secretary of the Board of Novartis Bioventures Ltd 2018-09-14 /s/ Stephan Sandmeier, Authorized Signatory of Novartis Bioventures Ltd 2018-09-14 /s/ Bart Dzikowski, Authorized Signatory of Novartis AG 2018-09-14 /s/ Stephan Sandmeier, Authorized Signatory of Novartis AG 2018-09-14