SecurityNVS / Novartis AG
InstitutionVident Investment Advisory, LLC
Shares33,164
Value $ 2,505,000
Related 66989HAB4 / Novartis Capital Corp 1.9% 04/24/13
66989HAE8 / Novartis Capital Corp 2.4% 09/21/2022
66989HAC2 / Novartis Capital Corp. 2.9% 04/24/15
66989HAF5 / Novartis Capital Corp 3.7% 09/21/2042
66989HAA6 / Novartis Capital Corp. 4.125% 02/10/14
66989HAD0 / Novartis Capital Corp 4.4% 04/24/2020
66989GAA8 / Novartis Securities Investment Guaranteed Notes 5.125% 02/10/19

Vident Investment Advisory, LLC reports 58.67% increase in ownership of NVS / Novartis AG

August 14, 2018 - Vident Investment Advisory, LLC has filed a 13F-HR form disclosing ownership of 33,164 shares of Novartis AG (NYSE:NVS) with total holdings valued at $2,505,000 USD as of June 30, 2018. Vident Investment Advisory, LLC had filed a previous 13F-HR on May 14, 2018 disclosing 20,901 shares of Novartis AG at a value of $1,699,000 USD. This represents a change in shares of 58.67 percent and a change in value of 47.44 percent during the quarter.

Other investors with positions similar to Vident Investment Advisory, LLC include HPM Partners LLC, Banco Santander, S.A., Raymond James Trust N.a., MUFG Americas Holdings Corp, Woodmont Investment Counsel Llc, and Bokf, Na.

13F Filings

The Security, Class, and CUSIP columns 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 and cusips.

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.

Effective
Date
Form Security Class CUSIP Share
Price
Shares Change
(%)
Value
(x1000)
Change
(%)
Cost
(x1000)
Profit
(x1000)
Return
(%)
2018-06-30 13F-HR NOVARTIS A G SPONSORED ADR 66987V109 78.41 33,164 58.67 2,505 47.44 962 -156 -9.16
2018-03-31 13F-HR NOVARTIS A G SPONSORED ADR 66987V109 82.62 20,901 41.40 1,699 36.91 506 -48 -3.84
2017-12-31 13F-HR NOVARTIS A G SPONSORED ADR 66987V109 84.91 14,781 2.59 1,241 0.32 32 -28 -2.24
2017-09-30 13F-HR NOVARTIS A G SPONSORED ADR 66987V109 84.65 14,408 3.12 1,237 6.09 37 34 2.92
2017-06-30 13F-HR NOVARTIS A G SPONSORED ADR 66987V109 78.85 13,972 12.16 1,166 26.05 119 122 13.14
2017-03-31 13F-HR NOVARTIS A G SPONSORED ADR 66987V109 73.53 12,457 19.03 925 21.39 146 17 2.17
2016-12-31 13F-HR/A-1 NOVARTIS A G SPONSORED ADR 66987V109 75.91 10,465 18.80 762 9.48 126 -60 -8.58
2016-12-31 13F-HR NOVARTIS A G SPONSORED ADR 66987V109 10,465 762
2016-09-30 13F-HR NOVARTIS A G SPONSORED ADR 66987V109 80.73 8,809 -0.50 696 -4.66 -4 -30 -4.17
2016-06-30 13F-HR NOVARTIS A G SPONSORED ADR 66987V109 77.44 8,853 -53.06 730 -46.56 -775 139 10.17
2016-03-31 13F-HR/A-1 NOVARTIS A G SPONSORED ADR 66987V109 79.24 18,860 109.39 1,366 76.26 781 -190 -24.48
2016-03-31 13F-HR NOVARTIS A G SPONSORED ADR 66987V109 1,366,218 18
2015-12-31 13F-HR NOVARTIS A G SPONSORED ADR 66987V109 9,007 0.00 775 775 0
2015-09-30 13F-HR NOVARTIS A G SPONSORED ADR 66987V109 0 -100.00 0 -100.00 0 0
2015-06-30 13F-HR NOVARTIS A G SPONSORED ADR 66987V109 98.46 18,190 31.55 1,789 31.25 430 -4 -0.26
2015-03-31 13F-HR NOVARTIS A G SPONSORED ADR 66987V109 13,827 1,363


CUSIP: 66987V109