<SEC-DOCUMENT>0000925421-18-000298.txt : 20180822
<SEC-HEADER>0000925421-18-000298.hdr.sgml : 20180822
<ACCEPTANCE-DATETIME>20180822160737
ACCESSION NUMBER:		0000925421-18-000298
CONFORMED SUBMISSION TYPE:	4
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20180820
FILED AS OF DATE:		20180822
DATE AS OF CHANGE:		20180822

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:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-38560
		FILM NUMBER:		181032586

	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

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:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-38560
		FILM NUMBER:		181032587

	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

ISSUER:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			Aerpio Pharmaceuticals, Inc.
		CENTRAL INDEX KEY:			0001422142
		STANDARD INDUSTRIAL CLASSIFICATION:	PHARMACEUTICAL PREPARATIONS [2834]
		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
</SEC-HEADER>
<DOCUMENT>
<TYPE>4
<SEQUENCE>1
<FILENAME>edgar.xml
<DESCRIPTION>PRIMARY DOCUMENT
<TEXT>
<XML>
<?xml version="1.0"?>
<ownershipDocument>

    <schemaVersion>X0306</schemaVersion>

    <documentType>4</documentType>

    <periodOfReport>2018-08-20</periodOfReport>

    <issuer>
        <issuerCik>0001422142</issuerCik>
        <issuerName>Aerpio Pharmaceuticals, Inc.</issuerName>
        <issuerTradingSymbol>ARPO</issuerTradingSymbol>
    </issuer>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001297709</rptOwnerCik>
            <rptOwnerName>Novartis Bioventures Ltd</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>C/O NOVARTIS INTERNATIONAL AG</rptOwnerStreet1>
            <rptOwnerStreet2>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>
        <nonDerivativeTransaction>
            <securityTitle>
                <value>Common Stock</value>
            </securityTitle>
            <transactionDate>
                <value>2018-08-20</value>
            </transactionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>S</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
            </transactionCoding>
            <transactionAmounts>
                <transactionShares>
                    <value>5300</value>
                </transactionShares>
                <transactionPricePerShare>
                    <value>3.90</value>
                    <footnoteId id="F1"/>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>D</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>5800250</value>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
                </directOrIndirectOwnership>
                <natureOfOwnership>
                    <value>See Footnote</value>
                    <footnoteId id="F2"/>
                </natureOfOwnership>
            </ownershipNature>
        </nonDerivativeTransaction>
    </nonDerivativeTable>

    <footnotes>
        <footnote id="F1">Reflects sales of common stock executed in multiple transactions at prices ranging from $3.90 to $3.91. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.</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 List - Exhibit 24 - Power of Attorney</remarks>

    <ownerSignature>
        <signatureName>/s/ Bartosz Dzikowski, Secretary of the Board of Novartis Bioventures Ltd</signatureName>
        <signatureDate>2018-08-22</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>/s/ Florian Muellershausen, Authorized Signatory on behalf of Novartis Bioventures Ltd</signatureName>
        <signatureDate>2018-08-22</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>/s/ Bartosz Dzikowski, Authorized Signatory on behalf of Novartis AG</signatureName>
        <signatureDate>2018-08-22</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>/s/ Florian Muellershausen, Authorized Signatory on behalf of Novartis AG</signatureName>
        <signatureDate>2018-08-22</signatureDate>
    </ownerSignature>
</ownershipDocument>
</XML>
</TEXT>
</DOCUMENT>
<DOCUMENT>
<TYPE>EX-24
<SEQUENCE>2
<FILENAME>arpo-poa.htm
<DESCRIPTION>POWER OF ATTORNEY
<TEXT>
<HTML><BODY><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 Bartosz Dzikowski, Stephan Sandmeier, Marc

Ceulemans, Anja Konig, Florian Muellershausen, Beat Steffen, and Florent Gros 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 12th

day of July 2018.



      Novartis AG



      By: /s/ Jean-Baptiste Emery

      Name: Jean-Baptiste Emery

      Title: Authorized Signatory



      By: /s/ Felix Eichhorn

      Name: Felix Eichhorn

      Title: Authorized Signatory

</PRE></BODY></HTML>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
