Registration No. 333-207004

 

 

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, D.C.  20549

 

 

Post-Effective Amendment No. 1

to

 

Form F-3

 

REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933

 

Novartis AG

(Exact name of Registrant as specified in its charter)

 

Novartis Inc.

(Translation of Registrant’s name into English)

 

Switzerland

(State or other jurisdiction of incorporation or organization)

 

Not Applicable

(I.R.S. Employer Identification No.)

 

Lichtstrasse 35

4056 Basel, Switzerland

+41 61 324 1111

(Address and telephone number of Registrant’s principal executive offices)

 

Novartis Capital Corporation

 

Novartis Securities Investment Ltd.

(Exact name of Registrant as

 

(Exact name of Registrant

specified in its charter)

 

as specified in its charter)

 

 

 

Not Applicable

 

Not Applicable

(Translation of Registrant’s name into English)

 

(Translation of Registrant’s name into English)

 

 

 

Delaware

 

Bermuda

(State or other jurisdiction of

 

(State or other jurisdiction of

incorporation or organization)

 

incorporation or organization)

 

 

 

26-3086456

 

Not Applicable

(I.R.S. Employer Identification No.)

 

(I.R.S. Employer Identification No.)

 

 

 

230 Park Avenue, 21st Floor

 

131 Front Street

New York, New York 10169

 

Hamilton, HM12, Bermuda

+ 1 212 307 1122

 

+1 441 296 8025

(Address and telephone number of

 

(Address and telephone number of

Registrant’s principal executive offices)

 

Registrant’s principal executive offices)

 

Dr. Felix R. Ehrat

Dr. Christian Rehm

Novartis AG

Lichtstrasse 35

CH-4056 Basel

Switzerland

+41 61 324 1111

(Name, address and telephone number of agent for service)

 

Copies of all communications to:

Bernd Bohr

 

Stuart K. Fleischmann

Mayer Brown International LLP

 

Shearman & Sterling LLP

201 Bishopsgate

 

599 Lexington Ave

London EC2M 3AF

 

New York, NY 10022

+44 20 3130 3640

 

+1 212 848 7527

 

Approximate date of commencement of proposed sale to the public: From time to time after this Registration Statement becomes effective.

 

If the only securities being registered on this Form are being offered pursuant to dividend or interest reinvestment plans, please check the following box.  o

 

If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, check the following box.  x

 

If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering.  o

 

If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering.  o

 

If this Form is a registration statement pursuant to General Instruction I.C. or a post-effective amendment thereto that shall become effective upon filing with the Commission pursuant to Rule 462(e) under the Securities Act, check the following box.  x

 

If this Form is a post-effective amendment to a registration statement filed pursuant to General Instruction I.C. filed to register additional securities or additional classes of securities pursuant to Rule 413(b) under the Securities Act, check the following box.  o

 

 

 


 

Explanatory Note

 

The purpose of this Post-Effective Amendment No. 1 to the registration statement is to file certain exhibits to the registration statement.

 

2


 

PART II

 

INFORMATION NOT REQUIRED IN PROSPECTUS

 

Item 9.         Exhibits

 

Exhibit
Number

 

Description

1.1

 

Form of Underwriting Agreement (1)

4.1

 

Indenture, dated February 10, 2009 among Novartis Capital Corporation, Novartis Securities Investment Ltd. and Novartis Finance S.A., as issuers, Novartis AG, as guarantor, and HSBC Bank USA, National Association, as trustee (2)

4.2

 

Form of Guaranteed Debt Security (3)

4.3

 

Form of Guaranteed Debt Security for 3.000% Notes due 2025

4.4

 

Form of Guaranteed Debt Security for 4.000% Notes due 2045

4.5

 

Officer’s Certificate of Novartis Capital Corporation

5.1

 

Opinion of Mayer Brown International LLP, special U.S. counsel to Novartis AG, Novartis Capital Corporation and Novartis Securities Investment Ltd. (4)

5.2

 

Opinion of Bär & Karrer AG, special Swiss counsel to Novartis AG (5)

5.3

 

Opinion of Appleby, special Bermuda counsel to Novartis Securities Investment Ltd. (6)

5.4

 

Opinion of Mayer Brown International LLP, special U.S. counsel to Novartis AG and Novartis Capital Corporation

5.5

 

Opinion of Bär & Karrer AG, special Swiss counsel to Novartis AG

12.1

 

Computation of Ratio of Earnings to Fixed Charges (7)

12.2

 

Computation of Ratio of Earnings to Fixed Charges (8)

23.1

 

Consent of Mayer Brown International LLP (included in Exhibits 5.1 and 5.4)

23.2

 

Consent of Bär & Karrer AG (included in Exhibits 5.2 and 5.5)

23.3

 

Consent of Appleby (included in Exhibit 5.3)

23.4

 

Consent of PricewaterhouseCoopers AG (9)

24.1

 

Powers of Attorney (10)

25.1

 

Statement of Eligibility under the Trust Indenture Act of 1939, as amended, of HSBC Bank USA, National Association (11)

 

(1)

 

Incorporated by reference to Exhibit 1.1 to Form F-3 (file no. 333-207004) filed with the SEC on September 18, 2015

 

 

 

(2)

 

Incorporated by reference to Exhibit 4.1 to Form F-3 (file no. 333-207004) filed with the SEC on September 18, 2015

 

 

 

(3)

 

Incorporated by reference to Exhibit 4.2 to Form F-3 (file no. 333-207004) filed with the SEC on September 18, 2015

 

 

 

(4)

 

Incorporated by reference to Exhibit 5.1 to Form F-3 (file no. 333-207004) filed with the SEC on September 18, 2015

 

II-1


 

(5)

 

Incorporated by reference to Exhibit 5.2 to Form F-3 (file no. 333-207004) filed with the SEC on September 18, 2015

 

 

 

(6)

 

Incorporated by reference to Exhibit 5.3 to Form F-3 (file no. 333-207004) filed with the SEC on September 18, 2015

 

 

 

(7)

 

Incorporated by reference to Exhibit 12.1 to Form F-3 (file no. 333-207004) filed with the SEC on September 18, 2015

 

 

 

(8)

 

Incorporated by reference to Exhibit 12.2 of the Report on Form 6-K furnished to the SEC on November [17], 2015 with a statement of computation of the ratio of earnings to fixed charges

 

 

 

(9)

 

Incorporated by reference to Exhibit 23.4 to Form F-3 (file no. 333-207004) filed with the SEC on September 18, 2015

 

 

 

(10)

 

Incorporated by reference to the signature pages of Form F-3 (file no. 333-207004) filed with the SEC on September 18, 2015

 

 

 

(11)

 

Incorporated by reference to Exhibit 25.1 to Form F-3 (file no. 333-207004) filed with the SEC on September 18, 2015

 

II-2


 

SIGNATURES

 

Pursuant to the requirements of the Securities Act of 1933, the registrant, Novartis AG, certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form F-3 and has duly caused this Post-Effective Amendment No. 1 to the registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in Basel, on the 20th day of November, 2015.

 

 

Novartis AG

 

 

 

 

 

 

 

By:

 

 

 

/s/ DANIEL WEISS

 

Name:

Daniel Weiss

 

Title:

Authorized Signatory

 

 

 

 

By:

 

 

 

/s/ DR. CHRISTIAN REHM

 

Name:

Dr. Christian Rehm

 

Title:

Authorized Signatory

 

Pursuant to the requirements of the Securities Act of 1933, this Post-Effective Amendment No. 1 to the registration statement has been signed by the following persons in the capacities and on the dates indicated.

 

Signature

 

Title

 

Date

 

 

 

 

 

*

 

Chief Executive Officer (principal executive officer)

 

November 20, 2015

Joseph Jimenez

 

 

 

 

 

 

 

 

 

*

 

Chief Financial Officer (principal financial and accounting officer)

 

November 20, 2015

Harry Kirsch

 

 

 

 

 

 

 

 

 

*

 

Chairman of the Board of Directors

 

November 20, 2015

Dr. Joerg Reinhardt

 

 

 

 

 

 

 

 

 

*

 

Vice Chairman of the Board of Directors

 

November 20, 2015

Dr. Enrico Vanni

 

 

 

 

 

 

 

 

 

*

 

Director

 

November 20, 2015

Dr. Nancy C. Andrews

 

 

 

 

 

 

 

 

 

*

 

Director

 

November 20, 2015

Dr. Dimitri Azar

 

 

 

 

 

 

 

 

 

*

 

Director

 

November 20, 2015

Dr. Verena A. Briner

 

 

 

 

 

Post-Effective Amendment No.1 to Registration Statement

 

II-3


 

Signature

 

Title

 

Date

 

 

 

 

 

*

 

Director

 

November 20, 2015

Dr. Srikant Datar

 

 

 

 

 

 

 

 

 

*

 

Director

 

November 20, 2015

Ann Fudge

 

 

 

 

 

 

 

 

 

*

 

Director

 

November 20, 2015

Dr. Pierre Landolt

 

 

 

 

 

 

 

 

 

*

 

Director

 

November 20, 2015

Dr. Andreas von Planta

 

 

 

 

 

 

 

 

 

*

 

Director

 

November 20, 2015

Dr. Charles L. Sawyers

 

 

 

 

 

 

 

 

 

*

 

Director

 

November 20, 2015

William T. Winters

 

 

 

 

 

 

 

 

 

*

 

Authorized U.S. Representative

 

November 20, 2015

Barry Rosenfeld

 

 

 

 

 

Post-Effective Amendment No.1 to Registration Statement

 

II-4


 

Pursuant to the requirements of the Securities Act of 1933, the registrant, Novartis Capital Corporation, certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form F-3 and has duly caused this Post-Effective Amendment No. 1 to the registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in Basel, on the 20th day of November, 2015.

 

 

Novartis Capital Corporation

 

 

 

 

 

 

By:

 

 

 

*

 

Name:

Craig Osten

 

Title:

Director and President (principal executive officer and principal financial and accounting officer)

 

Pursuant to the requirements of the Securities Act of 1933, this Post-Effective Amendment No. 1 to the registration statement has been signed by the following persons in the capacities and on the dates indicated.

 

Signature

 

Title

 

Date

 

 

 

 

 

*

 

Chairman of the Board of Directors

 

November 20, 2015

Felix Senn

 

 

 

 

 

 

 

 

 

*

 

Director and President (principal executive officer and principal financial and accounting officer)

 

November 20, 2015

Craig Osten

 

 

 

 

Post-Effective Amendment No.1 to Registration Statement

 

II-5


 

Pursuant to the requirements of the Securities Act of 1933, the registrant, Novartis Securities Investment Ltd., certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form F-3 and has duly caused this Post-Effective Amendment No. 1 to the registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in Basel, on the 20th day of November, 2015.

 

 

Novartis Securities Investment Ltd.

 

 

 

 

 

 

 

By:

 

 

 

*

 

Name:

Simon Zivi

 

Title:

Chairman of the Board of Directors (principal executive officer and principal financial and accounting officer)

 

 

 

 

By:

 

 

 

*

 

Name:

Michael L. Jones

 

Title:

Deputy Chairman of the Board of Directors and Secretary

 

Pursuant to the requirements of the Securities Act of 1933, this Post-Effective Amendment No. 1 to the registration statement has been signed by the following persons in the capacities and on the dates indicated.

 

Signature

 

Title

 

Date

 

 

 

 

 

*

 

Chairman of the Board of Directors (principal executive officer and principal financial and accounting officer)

 

November 20, 2015

Simon Zivi

 

 

 

 

 

 

 

 

*

 

Deputy Chairman of the Board of Directors and Secretary

 

November 20, 2015

Michael L. Jones

 

 

 

 

 

 

 

 

 

*

 

Director

 

November 20, 2015

Felix Eichhorn

 

 

 

 

 

 

 

 

 

*

 

Director

 

November 20, 2015

Timothy Faries

 

 

 

 

 

 

 

 

 

*

 

Alternate Director

 

November 20, 2015

Alison Dyer-Fagundo

 

 

 

 

 

 

 

 

 

*

 

Alternate Director

 

November 20, 2015

Tonesan Amissah

 

 

 

 

 

 

 

 

 

*

 

Authorized U.S. Representative

 

November 20, 2015

Barry Rosenfeld

 

 

 

 

 

Post-Effective Amendment No.1 to Registration Statement

 

II-6


 

*By his signature below, each of the undersigned, pursuant to a duly authorized power of attorney filed with the Securities and Exchange Commission, have signed this Post-Effective Amendment No. 1 to the registration statement on behalf of the person indicated.

 

 

 

/s/ DANIEL WEISS

 

Daniel Weiss

 

 

 

 

 

/s/ DR. CHRISTIAN REHM

 

Dr. Christian Rehm

 

 

Post-Effective Amendment No.1 to Registration Statement

 

II-7


 

EXHIBIT INDEX

 

Exhibit
Number

 

Description

1.1

 

Form of Underwriting Agreement (1)

4.1

 

Indenture, dated February 10, 2009 among Novartis Capital Corporation, Novartis Securities Investment Ltd. and Novartis Finance S.A., as issuers, Novartis AG, as guarantor, and HSBC Bank USA, National Association, as trustee (2)

4.2

 

Form of Guaranteed Debt Security (3)

4.3

 

Form of Guaranteed Debt Security for 3.000% Notes due 2025

4.4

 

Form of Guaranteed Debt Security for 4.000% Notes due 2045

4.5

 

Officer’s Certificate of Novartis Capital Corporation

5.1

 

Opinion of Mayer Brown International LLP, special U.S. counsel to Novartis AG, Novartis Capital Corporation and Novartis Securities Investment Ltd. (4)

5.2

 

Opinion of Bär & Karrer AG, special Swiss counsel to Novartis AG (5)

5.3

 

Opinion of Appleby, special Bermuda counsel to Novartis Securities Investment Ltd. (6)

5.4

 

Opinion of Mayer Brown International LLP, special U.S. counsel to Novartis AG and Novartis Capital Corporation

5.5

 

Opinion of Bär & Karrer AG, special Swiss counsel to Novartis AG

12.1

 

Computation of Ratio of Earnings to Fixed Charges (7)

12.2

 

Computation of Ratio of Earnings to Fixed Charges (8)

23.1

 

Consent of Mayer Brown International LLP (included in Exhibits 5.1 and 5.4)

23.2

 

Consent of Bär & Karrer AG (included in Exhibits 5.2 and 5.5)

23.3

 

Consent of Appleby (included in Exhibit 5.3)

23.4

 

Consent of PricewaterhouseCoopers AG (9)

24.1

 

Powers of Attorney (10)

25.1

 

Statement of Eligibility under the Trust Indenture Act of 1939, as amended, of HSBC Bank USA, National Association (11)

 

(1)

 

Incorporated by reference to Exhibit 1.1 to Form F-3 (file no. 333-207004) filed with the SEC on September 18, 2015

 

 

 

(2)

 

Incorporated by reference to Exhibit 4.1 to Form F-3 (file no. 333-207004) filed with the SEC on September 18, 2015

 

 

 

(3)

 

Incorporated by reference to Exhibit 4.2 to Form F-3 (file no. 333-207004) filed with the SEC on September 18, 2015

 

 

 

(4)

 

Incorporated by reference to Exhibit 5.1 to Form F-3 (file no. 333-207004) filed with the SEC on September 18, 2015

 

 

 

(5)

 

Incorporated by reference to Exhibit 5.2 to Form F-3 (file no. 333-207004) filed with the SEC on September 18, 2015

 

II-8


 

(6)

 

Incorporated by reference to Exhibit 5.3 to Form F-3 (file no. 333-207004) filed with the SEC on September 18, 2015

 

 

 

(7)

 

Incorporated by reference to Exhibit 12.1 to Form F-3 (file no. 333-207004) filed with the SEC on September 18, 2015

 

 

 

(8)

 

Incorporated by reference to Exhibit 12.2 of the Report on Form 6-K furnished to the SEC on November [17], 2015 with a statement of computation of the ratio of earnings to fixed charges

 

 

 

(9)

 

Incorporated by reference to Exhibit 23.4 to Form F-3 (file no. 333-207004) filed with the SEC on September 18, 2015

 

 

 

(10)

 

Incorporated by reference to the signature pages of Form F-3 (file no. 333-207004) filed with the SEC on September 18, 2015

 

 

 

(11)

 

Incorporated by reference to Exhibit 25.1 to Form F-3 (file no. 333-207004) filed with the SEC on September 18, 2015

 

II-9