SD 1 a21-16841_1sd.htm SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM SD

 

SPECIALIZED DISCLOSURE REPORT

 

NOVARTIS AG

(Exact name of the registrant as specified in its charter)

 

Switzerland

 

1-15024

 

98-0363351

(State or other jurisdiction of

 

(Commission

 

(IRS Employer

incorporation or organization)

 

File Number)

 

Identification No.)

 

Lichtstrasse 35

4056 Basel, Switzerland

(Address of principal executive offices)

 

Karen L. Hale

Chief Legal Officer

Tel.: 011-41-61-324-1111

(Name and telephone number, including area code, of the

person to contact in connection with this report.)

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

x  Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2020.

 

 

 


 

Section 1. Conflict Minerals Disclosure

 

Item 1.01 Conflict Minerals Disclosure and Report

 

In accordance with Rule 13p-1 under the Securities Exchange Act of 1934 Novartis has filed this Specialized Disclosure Report (Form SD) and the associated Conflict Minerals Report.  Both reports are posted and publicly available at the Novartis corporate website: www.novartis.com.

 

Item 1.02 Exhibit

 

The Conflict Minerals Report is attached as Exhibit 1.01.

 

Section 2. Exhibits

 

Item 2.01 Exhibits

 

Exhibit No.

 

Description

 

 

 

1.01

 

Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form.

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.

 

 

NOVARTIS AG

 

 

 

 

By:

/s/ Harry Kirsch

 

 

Name: Harry Kirsch

 

 

Title: Chief Financial Officer, Novartis Group

 

 

 

 

By:

/s/ Karen L. Hale

 

 

Name: Karen L. Hale

 

 

Title: Chief Legal Officer, Novartis Group

 

Date: June 1, 2021

 

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