Lobbying Disclosure Act of 1995 (Section 5) - All Filers Are Required to Complete This Page

9. Check if this filing amends a previously filed version of this report

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code BUD

16. Specific lobbying issues

Biosimilars
Drug Pricing
Fiscal year 2022 Appropriations
Importation
Value of Medicine
H.R.133, Consolidated Appropriations Act for FY 2021
H.R.1319, American Rescue Plan Act of 2021
Funding for Biodefense/Biomedical/Emergency Preparedness Research, Development and Procurement
Prescription Drug User Fee Act (PDUFA) VII Priorities
Advanced Research Projects Agency for Health (ARPA-H)

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES

18. Name of each individual who acted as a lobbyist in this issue area

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​Novartis AG to the degree that public policies, either laws or regulations, commercially benefit Novartis Corporation, so too Novartis AG, as its parent, will benefit.

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code CPT

16. Specific lobbying issues

Bayh-Dole Act
Biopharmaceutical Intellectual Property
Biosimilars
BPCIA
Data Exclusivity
Intellectual Property Issues in Response to coronavirus
Patents
Section 101
Compulsory licenses
Antitrust Legislation
S.225, Competition and Antitrust Law Enforcement Reform Act
H.R. 2873, Affordable Prescriptions for Patients Through Promoting Competition Act of 2021
S.1435, Affordable Prescriptions for Patients Act of 2021

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES

18. Name of each individual who acted as a lobbyist in this issue area

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​Novartis AG to the degree that public policies, either laws or regulations, commercially benefit Novartis Corporation, so too Novartis AG, as its parent, will benefit.

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code FOR

16. Specific lobbying issues

CFIUS Reform
Foreign Agents Registration Act (FARA) Reform

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES

18. Name of each individual who acted as a lobbyist in this issue area

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​Novartis AG to the degree that public policies, either laws or regulations, commercially benefit Novartis Corporation, so too Novartis AG, as its parent, will benefit.

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code HCR

16. Specific lobbying issues

340B Drug Discount Program
AMP Cap
Biosimilar approval and reimbursement policy issues
Bipartisan Budget Act of 2018 (Public Law 115-123) - Part D provisions
BLOCKING Act
Buy American and other associated issues related to procurement and sourcing of finished product and active pharmaceutical ingredients
Cell, gene and radioligand therapies
COVID-19
21st Century Cures Act 2.0 Diversity in Clinical Trials
Drug cost and pricing policy issues
Drug Importation and counterfeiting policy issues
Drug shortages policy issues
Drug vial size policy issues
FDA modernization policy issues
Foreign manufacturing policy issues
FY 2022 Labor-HHS Appropriations
Medicaid Generics Penalty Fix
Medicaid Payment Reform
Notice of Benefit Payment Parameters (NBPP)
Orphan Drugs
Outcomes based contracting/value based arrangements
Part B Home Infusion
Patient assistance program policy issues
PDUFA, BSUFA, GDUFA
Pharmaceutical quality
Pharmaceutical supply chain
Priority Review Voucher (PRV)
Regulatory efficiencies policy issues
Transparency policy issues
Vaccines
H.R.3, Elijah E. Cummings Lower Drug Costs Now Act
H.R.133, Consolidated Appropriations Act for FY 2021
H.R.1319, American Rescue Plan Act of 2021
Defense Production Act
Advanced Research Projects Agency for Health (ARPA-H)
Implementation of the Coronavirus Aid, Relief, and Economic Security (CARES) Act of 2020
Comprehensive Immunosuppressant Drug Coverage for Kidney Transplant Patients Act of 2020
S.1427, HR 2869 - Increasing Access to Biosimilars Act of 2021
H.R.2815, The BIOSIM Act
H.R.2855, Star Rating for Biosimilars Act
S.164, Advancing Education on Biosimilars Act of 2021
Funding for Biodefense/Biomedical/Emergency Preparedness Research, Development and Procurement
White House National Biodefense Strategy

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Food & Drug Administration (FDA), White House Office, Centers For Medicare and Medicaid Services (CMS), Office of Management & Budget (OMB), Health & Human Services - Dept of (HHS)

18. Name of each individual who acted as a lobbyist in this issue area

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​Novartis AG to the degree that public policies, either laws or regulations, commercially benefit Novartis Corporation, so too Novartis AG, as its parent, will benefit.

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code MMM

16. Specific lobbying issues

AMP Cap
Anti-Kickback Statute policy issues
ASP reporting policy issues
Center for Medicare and Medicaid Innovation (CMMI) policy issues
Department of Health and Human Services (HHS) drug policy issues and regulatory policy issues
Drug Pricing
Drug wastage rebates policy issues
Innovative Pharmaceuticals (including cell, gene and radioligand therapies), Biosimilars and Generics
Medicaid
Medicaid rebates and waiver policy issues
Medicare Part A, B and D
Non-covered drugs policy issues
Outcomes based Contracting/value based arrangements
Patient Cost-Sharing and Smoothing
Reimbursement for cell therapy products
Removal of Safe Harbor Protection for Rebates to Plans or PBMs Involving Prescription Pharmaceuticals
Transparency policy issues
Medicare Negotiations

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES

18. Name of each individual who acted as a lobbyist in this issue area

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​Novartis AG to the degree that public policies, either laws or regulations, commercially benefit Novartis Corporation, so too Novartis AG, as its parent, will benefit.

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code SCI

16. Specific lobbying issues

Artificial intelligence
Data and digital technologies

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES

18. Name of each individual who acted as a lobbyist in this issue area

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​Novartis AG to the degree that public policies, either laws or regulations, commercially benefit Novartis Corporation, so too Novartis AG, as its parent, will benefit.

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code TAX

16. Specific lobbying issues

ACA Pharmaceutical Industry Fee Exclusions
Base Erosion Anti-Abuse Tax (BEAT)
OECD Digital Tax
Orphan Drug Tax
Pharmaceutical supply chain incentives
Tax Treaties
Thin Capitalization Rules 163(j)
R&D Amortization
U.S. Corporate Tax
Administration's FY 2022 Revenue Proposals
Restrict deductions of excessive interest of members of financial reporting groups for disproportionate borrowing in the United States (Sec. 163(n))
Stopping Harmful Inversions and Ending Low-Tax Developments (SHIELD)

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES

18. Name of each individual who acted as a lobbyist in this issue area

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​Novartis AG to the degree that public policies, either laws or regulations, commercially benefit Novartis Corporation, so too Novartis AG, as its parent, will benefit.

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code TRD

16. Specific lobbying issues

Access to Medicines Issues
Biopharmaceutical Innovation Policies
CFIUS
China Agreement
Free Trade Agreements - Intellectual Property and Transparency Provisions
Global Health Issues
India, China and Canada IP and Market Access Issues
Intellectual property
International Market Access and Intellectual Property Issues
Pharmaceutical Supply Chain
Pricing and reimbursement policy issues
Quality of Medicines
Regulatory Cooperation
Sub-standards Medicines
Supply chain and China Task Force policy issues
Tariffs
Trade Policy
UK Agreement
US Swiss Trade Agreement
USMCA
USTR Special 301 Report/National Trade Estimate
WTO IP Waiver

17. House(s) of Congress and Federal agencies Check if None

U.S. Trade Representative (USTR), U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Commerce - Dept of (DOC), State - Dept of (DOS), U.S. Agency for International Development (USAID), Health & Human Services - Dept of (HHS)

18. Name of each individual who acted as a lobbyist in this issue area

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​Novartis AG to the degree that public policies, either laws or regulations, commercially benefit Novartis Corporation, so too Novartis AG, as its parent, will benefit.

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code VET

16. Specific lobbying issues

Health care collaboration opportunities

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Veterans Affairs - Dept of (VA)

18. Name of each individual who acted as a lobbyist in this issue area

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​Novartis AG to the degree that public policies, either laws or regulations, commercially benefit Novartis Corporation, so too Novartis AG, as its parent, will benefit.

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code LBR

16. Specific lobbying issues

The Competition and Antitrust Law Enforcement Reform Act (S.225):
Anti-Trust Reform

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES

18. Name of each individual who acted as a lobbyist in this issue area

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​Novartis AG to the degree that public policies, either laws or regulations, commercially benefit Novartis Corporation, so too Novartis AG, as its parent, will benefit.

LOBBYING ACTIVITY. Select as many codes as necessary to reflect the general issue areas in which the registrant engaged in lobbying on behalf of the client during the reporting period. Using a separate page for each code, provide information as requested. Add additional page(s) as needed.

15. General issue area code ENG

16. Specific lobbying issues

Increasing domestic supply of Actinium 225

17. House(s) of Congress and Federal agencies Check if None

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, Energy - Dept of

18. Name of each individual who acted as a lobbyist in this issue area

19. Interest of each foreign entity in the specific issues listed on line 16 above Check if None

​Novartis AG to the degree that public policies, either laws or regulations, commercially benefit Novartis Corporation, so too Novartis AG, as its parent, will benefit.

Information Update Page - Complete ONLY where registration information has changed.

20. Client new address

21. Client new principal place of business (if different than line 20)

22. New General description of client’s business or activities

LOBBYIST UPDATE

23. Name of each previously reported individual who is no longer expected to act as a lobbyist for the client

ISSUE UPDATE

24. General lobbying issue that no longer pertains

AFFILIATED ORGANIZATIONS

25. Add the following affiliated organization(s)

Internet Address:

26. Name of each previously reported organization that is no longer affiliated with the registrant or client

FOREIGN ENTITIES

27. Add the following foreign entities:

28. Name of each previously reported foreign entity that no longer owns, or controls, or is affiliated with the registrant, client or affiliated organization

CONVICTIONS DISCLOSURE

29. Have any of the lobbyists listed on this report been convicted in a Federal or State Court of an offense involving bribery, extortion, embezzlement, an illegal kickback, tax evasion, fraud, a conflict of interest, making a false statement, perjury, or money laundering?
No Yes