Sec Form 13G Filing - Novartis Bioventures Ltd filing for Altimmune Inc. (ALT) - 2019-02-05

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

o

Rule 13d-1(b)

x

Rule 13d-1(c)

o

Rule 13d-1(d)

CUSIP No. 02155H200

13G

1.

Names of Reporting Persons
Novartis Bioventures Ltd.

2.

Check the Appropriate Box if a Member of a Group

(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
309,216

7.

Sole Dispositive Power
0

8.

Shared Dispositive Power
309,216

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
309,216

10.

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

11.

Percent of Class Represented by Amount in Row 9
3.5%

12.

Type of Reporting Person
CO

CUSIP No. 02155H200

13G

1.

Names of Reporting Persons
Novartis AG

2.

Check the Appropriate Box if a Member of a Group

(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
309,216

7.

Sole Dispositive Power
0

8.

Shared Dispositive Power
309,216

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
309,216

10.

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

11.

Percent of Class Represented by Amount in Row 9
3.5%

12.

Type of Reporting Person
CO

Item 1(a).

Name of Issuer:
Altimmune, Inc. (the “Issuer”)

Item 1(b).

Address of Issuer’s Principal Executive Offices:
910 Clopper Road, Suite 201S

Gaithersburg, MD 20878

Item 2(a).

Name of Persons Filing:

This statement is filed on behalf of the following persons with respect to shares of Common Stock of the Issuer

(i)           Novartis Bioventures Ltd. a Swiss corporation, with respect to shares held by it; and

(ii)          Novartis AG, a Swiss corporation, as the publicly owned parent of Novartis Bioventures Ltd., with respect to the shares held by Novartis Bioventures Ltd.

The foregoing persons are hereinafter referred to collectively as the “Reporting Persons.”

Item 2(b).

Address of Principal Business Office or, if none, Residence:
The address of the principle business offices of Novartis Bioventures Ltd. and Novartis AG is Lichtstrasse 35, 4056 Basel, Switzerland.

Item 2(c).

Citizenship:
Novartis Bioventures Ltd. is a corporation organized under the laws of Switzerland 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 Ltd.

Item 2(d).

Title of Class of Securities:
Common Stock, par value $0.0001 per share (“Common Stock”).

Item 2(e).

CUSIP Number:
02155H200

Item 3.

If this statement is filed pursuant to Rule §§240.13d-1(b), or 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 association 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 Ltd. is the record owner of 309,216 shares of Common Stock of the Issuer, As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to beneficially own these securities.

(b)

Percent of class:   

3.5% based on 8,755,260 shares of the Issuer’s Common Stock outstanding as of November 13, 2018, as reported in the Issuer’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 13, 2018.

(c)

Number of shares as to which such person has:

(i)

Sole power to vote or to direct the vote:   

Not applicable

(ii)

Shared power to vote or to direct the vote:    

309,216

(iii)

Sole power to dispose or to direct the disposition:   

Not applicable

(iv)

Shared power to dispose or to direct the disposition:   

309,216

Item 5.

Ownership of Five 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 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 or Control Person.

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.

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.

Date: February 5, 2019

NOVARTIS BIOVENTURES LTD.

/s/ Bart Dzikowski

Name: Bart Dzikowski

Title: Secretary of the Board

/s/ Stephan Sandmeier

Name: Stephan Sandmeier

Title: Authorized Signatory

NOVARTIS AG

/s/ Bart Dzikowski

Name: Bart Dzikowski

Title: Authorized Signatory

/s/ Stephan Sandmeier

Name: Stephan Sandmeier

Title: Authorized Signatory

Exhibit

Exhibit Description

99

Joint Filing Agreement