Sec Form 13G Filing - Novartis Bioventures Ltd filing for Eiger BioPharmaceuticals Inc. (EIGR) - 2016-01-07

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

o

Rule 13d-1(b)

x

Rule 13d-1(c)

o

Rule 13d-1(d)

CUSIP No. 15117E 107

13G

1.

Names of Reporting Persons
Novartis Bioventures Ltd.

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)

o

(b)

o

3.

SEC Use Only

4.

Citizenship or Place of Organization
Bermuda

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With:

5.

Sole Voting Power
-0-

6.

Shared Voting Power
-0-

7.

Sole Dispositive Power
-0-

8.

Shared Dispositive Power
-0-

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
-0-

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

11.

Percent of Class Represented by Amount in Row 9
0.0%

12.

Type of Reporting Person (See Instructions)
CO

CUSIP No. 15117E 107

13G

1.

Names of Reporting Persons
Novartis AG

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)

o

(b)

o

3.

SEC Use Only

4.

Citizenship or Place of Organization
Switzerland

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With:

5.

Sole Voting Power
-0-

6.

Shared Voting Power
-0-

7.

Sole Dispositive Power
-0-

8.

Shared Dispositive Power
-0-

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
-0-

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

11.

Percent of Class Represented by Amount in Row 9
0.0%

12.

Type of Reporting Person (See Instructions)
CO

Item 1(a).

Name of Issuer:
Celladon Corporation

Item 1(b).

Address of Issuer’s Principal Executive Offices:
11988 El Camino Real, Suite 650, San Diego, CA 92130.

Item 2(a).

Name of Person Filing:

Novartis Bioventures Ltd.

Novartis AG

Item 2(b).

Address of Principal Business Office or, if none, Residence:
The address of the principal business office of Novartis Bioventures Ltd (“Novartis Bioventures”) is 131 Front Street, Hamilton, Bermuda HM12.

The address of the principal business office of Novartis AG is Lichtstrasse 35, 4056 Basel, Switzerland.

Item 2(c).

Citizenship:
Novartis Bioventures is a corporation organized under the laws of Bermuda and is an indirect wholly-owned subsidiary of Novartis AG.

Novartis AG is a corporation organized under the laws of Switzerland and is the publicly owned parent of Novartis Bioventures.

Item 2(d).

Title of Class of Securities:
Common Stock, par value $0.001 per share (“Common Stock”).

Item 2(e).

CUSIP Number:
15117E 107

Item 3.

If this statement is filed pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a:

(a)

o

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);

(b)

o

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);

(c)

o

Insurance company as defined in section 3(a)19) of the Act (15 U.S.C. 78c);

(d)

o

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);

(e)

o

An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

(f)

o

An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

(g)

o

A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);

(h)

o

A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

(i)

o

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

(j)

o

A non-U.S. institution in accordance with § 240.13d–1(b)(1)(ii)(J);

(k)

o

Group, in accordance with § 240.13d–1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with

§240.13d–1(b)(1)(ii)(J), please specify the type of institution:          

Item 4.

Ownership

(a)

Amount beneficially owned:   

Novartis Bioventures is the record owner of 0 shares of Common Stock of the Issuer.

(b)

Percent of class:   

0.0%

(c)

Number of shares as to which the person has:

(i)

Sole power to vote or to direct the vote:   

-0-

(ii)

Shared power to vote or to direct the vote:    

-0-

(iii)

Sole power to dispose or to direct the disposition of:   

-0-

(iv)

Shared power to dispose or to direct the disposition of:   

-0-

Item 5.

Ownership of 5 Percent or Less of a Class

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following  x.

Item 6.

Ownership of More than 5 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 or Control Person.

Not Applicable

Item 8.

Identification and Classification of Members of the Group

Not Applicable

Item 9.

Notice of Dissolution of a Group

Not Applicable

Item 10.

Certification

Each of the Reporting Persons hereby makes the following certification:

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

NOVARTIS BIOVENTURES LTD.

/s/ Simon Zivi

Name: Simon Zivi

Title: Chairman

/s/ Laurieann Chaikowsky

Name: Laurieann Chaikowsky

Title: Authorized Signatory

NOVARTIS AG

/s/ Simon Zivi

Name: Simon Zivi

Title: Authorized Signatory

  ;

/s/ David Middleton

Name: David Middleton

Title: Authorized Signatory

Exhibit Number

Exhibit Description

99.1

Evidence of Signature Authority

99.2

Power of Attorney

99.3

Joint Filing Agreement