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.: +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, 2023.
¨ Rule 13q-1 under the Securities Exchange Act (17 CFR 240.13q-1) for the fiscal year ended __________.
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 | ||
| By: | /s/ Karen L. Hale | |
| Name: Karen L. Hale | ||
| Title: Chief Legal Officer | ||
Date: May 31, 2024