諾華公司 - 存託憑證（普通股）
US ˙ NYSE ˙ US66987V1098

SecurityNVS / Novartis AG - Depositary Receipt (Common Stock)
InstitutionAperio Group, LLC
Latest Disclosed Ownership1,183,853 shares
Latest Disclosed Value $ 111,791,000
Aperio Group, LLC reports 5.54% increase in ownership of NVS / Novartis AG - Depositary Receipt (Common Stock)

On February 5, 2021 - Aperio Group, LLC filed a 13F-HR form disclosing ownership of 1,183,853 shares of Novartis AG - Depositary Receipt (Common Stock) (US:NVS) valued at $111,791,239 USD as of December 31, 2020. The entity filed a previous 13F-HR on November 6, 2020 disclosing 1,121,763 shares of Novartis AG - Depositary Receipt (Common Stock). This represents a change in shares of 5.54% during the quarter. The current value of the position is $176,583,513 USD.

Institutional Ownership: 13F and NPORT Filings

The Security and Class in the table below are shown exactly as filed by the investor. We do our best to track continuity of investments through acquisitions, and this will be reflected in the table as changes in names. In addition to descriptive data, performance of the investment is shown over time. To calculate quarterly performance, we first calculate cost basis of the shares purchased during the quarter, then use that to calculate gross profit. Quarterly return is Gross Profit / Starting Portfolio value.

Note that cost basis is calculated and stored in thousands, so small quarterly changes in shares frequently result in a cost basis of zero.

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Disclosed Equity Positions (from 13F/NPORT Filings)
File
Date		 Effective
Date		Form Security Class ID Avg Price
Paid (Est)		 Reported
Shares		 ΔShares ΔShares
(%)		 Reported
Value
(x1000)		 ΔValue
(%)		 Alloc
(%)		 ΔAlloc ΔAlloc (%) Cost Basis
(x1000)		 Unrealized
Gain/Loss
(x1000)
2021-02-05 2020-12-31 13F NOVARTIS SPONSORED ADR 66987V109 1,183,853 62,090 5.54 111,791 14.60 0.3308
2020-11-06 2020-09-30 13F NOVARTIS SPONSORED ADR 66987V109 1,121,763 -84,283 -6.99 97,549 -7.39 0.3295
2020-08-13 2020-06-30 13F NOVARTIS SPONSORED ADR 66987V109 1,206,046 58,049 5.06 105,336 11.29 0.3891
2020-05-05 2020-03-31 13F NOVARTIS A G SPONSORED ADR 66987V109 1,147,997 -34,479 -2.92 94,652 -15.47 0.4182
2020-02-13 2019-12-31 13F NOVARTIS A G SPONSORED ADR 66987V109 1,182,476 -52,814 -4.28 111,969 4.31 0.4023
2019-11-06 2019-09-30 13F NOVARTIS SPONSORED ADR 66987V109 1,235,290 49,902 4.21 107,347 -0.82 0.4243
2019-07-30 2019-06-30 13F NOVARTIS SPONSORED ADR 66987V109 1,185,388 79,557 7.19 108,238 1.81 0.4421
2019-05-13 2019-03-31 13F NOVARTIS A G SPONSORED ADR 66987V109 1,105,831 3,461 0.31 106,315 12.39 0.4588
2019-05-06 2018-12-31 13F/A-1 NOVARTIS A G SPONSORED ADR 66987V109 1,102,370 137,896 14.30 94,594 13.83 0.4773
2019-02-14 2018-12-31 13F NOVARTIS A G SPONSORED ADR 66987V109 1,104,839 140,365 94,806
2019-05-06 2018-09-30 13F/A-1 NOVARTIS A G SPONSORED ADR 66987V109 964,474 106,560 12.42 83,099 28.23 0.3668
2018-10-17 2018-09-30 13F NOVARTIS AG SPONSORED COMMON 66987V109 964,474 106,560 83,099
2019-05-06 2018-06-30 13F/A-1 NOVARTIS A G SPONSORED ADR 66987V109 857,914 -61,958 -6.74 64,807 -12.86 0.3100
2018-07-30 2018-06-30 13F NOVARTIS AG SPONSORED COMMON 66987V109 857,914 -61,958 64,807
2019-05-01 2018-03-31 13F/A-1 NOVARTIS A G SPONSORED ADR 66987V109 919,872 21,091 2.35 74,372 -1.44 0.3701
2018-05-08 2018-03-31 13F NOVARTIS AG SPONSORED COMMON 66987V109 919,872 21,091 74,372
2019-05-01 2017-12-31 13F/A-1 NOVARTIS A G SPONSORED ADR 66987V109 898,781 78,589 9.58 75,462 7.17 0.3896
2018-02-02 2017-12-31 13F NOVARTIS AG SPONSORED COMMON 66987V109 898,781 78,589 75,462
2019-05-01 2017-09-30 13F/A-1 NOVARTIS A G SPONSORED ADR 66987V109 820,192 62,706 8.28 70,414 11.37 0.3978
2017-10-25 2017-09-30 13F NOVARTIS AG SPONSORED COMMON 66987V109 820,192 62,706 70,414
2019-04-22 2017-06-30 13F/A-1 NOVARTIS A G SPONSORED ADR 66987V109 757,486 60,773 8.72 63,227 22.19 0.3874
2017-07-18 2017-06-30 13F NOVARTIS AG SPONSORED COMMON 66987V109 757,486 60,773 63,227
2019-04-22 2017-03-31 13F/A-1 NOVARTIS A G SPONSORED ADR 66987V109 696,713 59,960 9.42 51,745 11.57 0.3539
2017-05-05 2017-03-31 13F NOVARTIS AG SPONSORED COMMON 66987V109 696,713 59,960 51,745
2019-04-22 2016-12-31 13F/A-1 NOVARTIS A G SPONSORED ADR 66987V109 636,753 -386,894 -37.80 46,381 -42.62 0.3549
2017-02-14 2016-12-31 13F NOVARTIS AG SPONSORED COMMON 66987V109 636,753 -386,894 46,381
2019-04-12 2016-09-30 13F/A-1 NOVARTIS A G SPONSORED ADR 66987V109 1,023,647 51,014 5.24 80,827 0.72 0.5851
2016-11-01 2016-09-30 13F NOVARTIS AG SPONSORED COMMON 66987V109 1,023,647 51,014 80,827
2019-04-12 2016-06-30 13F/A-1 NOVARTIS A G SPONSORED ADR 66987V109 972,633 209,470 27.45 80,252 45.16 0.6273
2016-08-12 2016-06-30 13F NOVARTIS AG SPONSORED COMMON 66987V109 972,633 209,470 80,252
2019-04-12 2016-03-31 13F/A-1 NOVARTIS A G SPONSORED ADR 66987V109 763,163 -98,808 -11.46 55,284 -25.46 0.4729
2016-04-28 2016-03-31 13F NOVARTIS AG SPONSORED COMMON 66987V109 763,163 -98,808 55,284
2016-01-21 2015-12-31 13F NOVARTIS AG SPONSORED COMMON 66987V109 861,971 29,818 3.58 74,164 -3.04 0.6793
2015-10-19 2015-09-30 13F NOVARTIS AG SPONSORED COMMON 66987V109 832,153 29,961 3.73 76,492 -3.04 0.7783
2015-07-29 2015-06-30 13F NOVARTIS AG SPONSORED COMMON 66987V109 802,192 33,620 4.37 78,888 4.09 0.8144
2015-04-29 2015-03-31 13F NOVARTIS AG SPONSORED COMMON 66987V109 768,572 768,572 0.00 75,789 0.8488
2015-01-30 2014-12-31 13F NOVARTIS AG SPONSORED COMMON 66987V109 0 -669,901 -100.00 0 -100.00
2014-10-21 2014-09-30 13F NOVARTIS AG SPONSORED COMMON 66987V109 669,901 52,588 8.52 63,058 12.84 0.8522
2014-07-23 2014-06-30 13F NOVARTIS AG SPONSORED COMMON 66987V109 617,313 78,990 14.67 55,885 22.10 0.8114
2014-04-25 2014-03-31 13F NOVARTIS AG SPONSORED COMMON 66987V109 538,323 45,768 24.11 0.6434
2014-01-30 2013-12-31 13F NOVARTIS AG SPONSORED COMMON 66987V109 36,877 24.16 0.5722
2013-10-24 2013-09-30 13F NOVARTIS AG SPONSORED COMMON 66987V109 387,174 68,265 21.41 29,700 31.71 0.5730
2013-07-19 2013-06-30 13F NOVARTIS AG SPONSORED COMMON 66987V109 318,909 22,550
Legend
Shares
The total number of shares held by the institution at the end of the reporting period (the effective date). This is provided in the filing.
Value
The total value of the shares as of the effective date. This is provided in the filing.
Avg. Share Price
The weighted average share price of the shares held by the institution. We use FIFO accounting to determine this price
Class
This is the security class as indicated by the filer. There are a variety of values for this field. Common values include "EC" = equity common, "EP" - equity preferred
Allocation (%)
The percent of the institution's portfolio that this position represents. This is provided in NPORT filings. For 13F filings, we calculate it.
Change in Allocation
The change in allocation from the prior reporting period. This is calculated as current allocation - prior allocation.
Change in Allocation (%)
The percent change in allocation from the prior reporting period. This is calculated as (current allocation - prior allocation) / prior allocation.
Cost Basis
The total cost of the shares held. This is calculated as reported shares * avg. share price
Unrealized Gain/Loss
This is the market value of the position as of the effective date minus the cost basis.