<SEC-DOCUMENT>0000899243-17-008125.txt : 20170317
<SEC-HEADER>0000899243-17-008125.hdr.sgml : 20170317
<ACCEPTANCE-DATETIME>20170317201642
ACCESSION NUMBER:		0000899243-17-008125
CONFORMED SUBMISSION TYPE:	3
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20170315
FILED AS OF DATE:		20170317
DATE AS OF CHANGE:		20170317

ISSUER:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			Aerpio Pharmaceuticals, Inc.
		CENTRAL INDEX KEY:			0001422142
		STANDARD INDUSTRIAL CLASSIFICATION:	BLANK CHECKS [6770]
		IRS NUMBER:				611547850
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	BUSINESS ADDRESS:	
		STREET 1:		9987 CARVER ROAD
		CITY:			CINCINNATI
		STATE:			OH
		ZIP:			45242
		BUSINESS PHONE:		(513) 985-1920

	MAIL ADDRESS:	
		STREET 1:		9987 CARVER ROAD
		CITY:			CINCINNATI
		STATE:			OH
		ZIP:			45242

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	ZETA ACQUISITION CORP II
		DATE OF NAME CHANGE:	20071227

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			NOVARTIS AG
		CENTRAL INDEX KEY:			0001114448
		STANDARD INDUSTRIAL CLASSIFICATION:	PHARMACEUTICAL PREPARATIONS [2834]
		STATE OF INCORPORATION:			V8
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		3
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-53057
		FILM NUMBER:		17699859

	BUSINESS ADDRESS:	
		STREET 1:		LICHTSTRASSE 35
		CITY:			BASEL
		STATE:			V8
		ZIP:			CH 4056
		BUSINESS PHONE:		01141613241111

	MAIL ADDRESS:	
		STREET 1:		LICHTSTRASSE 35
		CITY:			BASEL
		STATE:			V8
		ZIP:			CH 4056

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			Novartis Bioventures Ltd
		CENTRAL INDEX KEY:			0001297709
		STATE OF INCORPORATION:			D0
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		3
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-53057
		FILM NUMBER:		17699860

	BUSINESS ADDRESS:	
		STREET 1:		C/O NOVARTIS INTERNATIONAL AG
		STREET 2:		WSJ-200.220
		CITY:			CH-4002 BASEL
		STATE:			V8
		ZIP:			0000000000
		BUSINESS PHONE:		41-61-324-6210

	MAIL ADDRESS:	
		STREET 1:		C/O NOVARTIS INTERNATIONAL AG
		STREET 2:		WSJ-200.220
		CITY:			CH-4002 BASEL
		STATE:			V8
		ZIP:			0000000000
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<TYPE>3
<SEQUENCE>1
<FILENAME>doc3.xml
<DESCRIPTION>FORM 3 SUBMISSION
<TEXT>
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<?xml version="1.0"?>
<ownershipDocument>

    <schemaVersion>X0206</schemaVersion>

    <documentType>3</documentType>

    <periodOfReport>2017-03-15</periodOfReport>

    <noSecuritiesOwned>0</noSecuritiesOwned>

    <issuer>
        <issuerCik>0001422142</issuerCik>
        <issuerName>Aerpio Pharmaceuticals, Inc.</issuerName>
        <issuerTradingSymbol>NONE</issuerTradingSymbol>
    </issuer>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001297709</rptOwnerCik>
            <rptOwnerName>Novartis Bioventures Ltd</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>C/O NOVARTIS INTERNATIONAL</rptOwnerStreet1>
            <rptOwnerStreet2>AG WSJ-200.220</rptOwnerStreet2>
            <rptOwnerCity>BASEL</rptOwnerCity>
            <rptOwnerState>V8</rptOwnerState>
            <rptOwnerZipCode>CH-4002</rptOwnerZipCode>
            <rptOwnerStateDescription>SWITZERLAND</rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>1</isTenPercentOwner>
            <isOther>0</isOther>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001114448</rptOwnerCik>
            <rptOwnerName>NOVARTIS AG</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>LICHTSTRASSE 35</rptOwnerStreet1>
            <rptOwnerStreet2></rptOwnerStreet2>
            <rptOwnerCity>BASEL</rptOwnerCity>
            <rptOwnerState>V8</rptOwnerState>
            <rptOwnerZipCode>CH 4056</rptOwnerZipCode>
            <rptOwnerStateDescription>SWITZERLAND</rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>1</isTenPercentOwner>
            <isOther>0</isOther>
        </reportingOwnerRelationship>
    </reportingOwner>

    <nonDerivativeTable>
        <nonDerivativeHolding>
            <securityTitle>
                <value>Common Stock</value>
            </securityTitle>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>5245550</value>
                    <footnoteId id="F1"/>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
                </directOrIndirectOwnership>
                <natureOfOwnership>
                    <value>See Footnote</value>
                    <footnoteId id="F2"/>
                </natureOfOwnership>
            </ownershipNature>
        </nonDerivativeHolding>
    </nonDerivativeTable>

    <footnotes>
        <footnote id="F1">These shares were acquired pursuant to an Agreement and Plan of Merger, dated as of March 7, 2017 (the &quot;Merger Agreement&quot;), pursuant to which a wholly-owned subsidiary of the Company merged with and into Aerpio Therapeutics, Inc. (&quot;Aerpio&quot;). 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.</footnote>
        <footnote id="F2">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.</footnote>
    </footnotes>

    <remarks>Exhibit 24.1:  Limited Power of Attorney</remarks>

    <ownerSignature>
        <signatureName>/s/ Simon Zivi, Chairman /s/ Laurieann Chaikowsky, Authorized signatory</signatureName>
        <signatureDate>2017-03-17</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>/s/ Simon Zivi, Authorized signatory /s/ Laurieann Chaikowsky, Authorized signatory</signatureName>
        <signatureDate>2017-03-17</signatureDate>
    </ownerSignature>
</ownershipDocument>
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</TEXT>
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<DOCUMENT>
<TYPE>EX-24
<SEQUENCE>2
<FILENAME>attachment1.htm
<DESCRIPTION>EX-24 DOCUMENT
<TEXT>
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<HEAD>
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<PRE>



                               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

</PRE>
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</SEC-DOCUMENT>
