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SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940 		 
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1. Name and Address of Reporting Person*
Novartis Bioventures Ltd
(Last) (First) (Middle)
C/O NOVARTIS INTERNATIONAL
AG WSJ-200.220
(Street)
BASEL V8 CH-4002
(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
03/15/2017 		3. Issuer Name and Ticker or Trading Symbol
Aerpio Pharmaceuticals, Inc. [ NONE ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. 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 Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 5,245,550(1) I See Footnote(2)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
Novartis Bioventures Ltd
(Last) (First) (Middle)
C/O NOVARTIS INTERNATIONAL
AG WSJ-200.220
(Street)
BASEL V8 CH-4002
(City) (State) (Zip)
1. Name and Address of Reporting Person*
NOVARTIS AG
(Last) (First) (Middle)
LICHTSTRASSE 35
(Street)
BASEL V8 CH 4056
(City) (State) (Zip)
Explanation of Responses:
1. These shares were acquired pursuant to an Agreement and Plan of Merger, dated as of March 7, 2017 (the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Company merged with and into Aerpio Therapeutics, Inc. ("Aerpio"). Pursuant to the Merger Agreement, the then outstanding shares of Aerpio's common stock and outstanding shares of each series of Aerpio's preferred stock were cancelled and were automatically converted into the right to received shares of the Company's common stock on 2.3336572-1 basis upon closing of the merger.
2. 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.
Remarks:
Exhibit 24.1: Limited Power of Attorney
/s/ Simon Zivi, Chairman /s/ Laurieann Chaikowsky, Authorized signatory 03/17/2017
/s/ Simon Zivi, Authorized signatory /s/ Laurieann Chaikowsky, Authorized signatory 03/17/2017
** Signature of Reporting Person Date
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 5 (b)(v).
** 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 is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.



                               POWER OF ATTORNEY

            We, the undersigned, under the authority granted to each of us to
sign jointly on behalf of Novartis AG, hereby grant powers to Simon Zivi,
Laurieann Chaikowsky, Michael Jones, David Middleton, Bartosz Dzikowski,
Reinhard Ambros and Campbell Murray and constitute and appoint any two of them
jointly as our true and lawful attorneys and representatives and to act on our
behalf and to sign filings to be made with the U.S. Securities and Exchange
Commission (the "SEC") relating to the shares of Aerpio Therapeutics, Inc. held
by Novartis Bioventures Ltd, an indirect subsidiary of Novartis AG, as required
by the SEC (the "SEC Filings"), and to undertake and carry out all tasks and
formalities on our behalf which may be required in connection with giving effect
to the SEC Filings.

            We, the undersigned, undertake to ratify and confirm whatever our
true and lawful attorneys do or purport to do in good faith in the exercise of
any power conferred by this Power of Attorney.

            We, the undersigned, declare that a person who deals with our true
and lawful attorneys in good faith may accept a written statement signed by such
attorneys to the effect that this Power of Attorney has not been revoked as
conclusive evidence of that fact.

            The authority granted by this Power of Attorney shall expire
immediately after the date on which the SEC Filings are no longer required.

            IN WITNESS WHEREOF, this Power of Attorney is duly signed on this 17
day of March 2017.

                                            Novartis AG


                                            By:   /s/ Christian Rehm
                                               --------------------------------
                                            Name: Christian Rehm
                                            Title: Authorized Signatory


                                            By:   /s/ Katja Roth Pellanda
                                               --------------------------------
                                            Name: Katja Roth Pellanda
                                            Title: Authorized Signatory