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 HCR

16. Specific lobbying issues

HR 938: Bringing Low-Cost Options and Competition while Keeping Incentives for New Generics Act
HR 1520: Purple Book Continuity Act
HR 1503: Orange Book Transparency Act
HR 1499: Protecting Consumer Access to Generic Drugs Act
HR 2113:Speeding Access to Already Approved Pharmaceuticals Act of 2017
HR 5997:Ensuring Patient Access to Critical Breakthrough Products Act of 2018
Senate SPIKE Act
Fast Generics
Cell & Gene Therapy, including reimbursement
340B Drug Discount Program
Drug Importation
REMS
Creates Act
Drug Cost/Pricing
Biosimilars Reimbursement
Outcomes based Contracting
Part D Non-interference
Orphan Drugs
Drug Pricing Transparency
Virtual Clinical Trials
Part D
Biosimilar Pass Through Payments
Value Based Pricing
USMCA
Medicaid Payment Reform
AMP Cap
Labor HHS Appropriations
S 1895 - Lower Health Care Costs Act
HR 987 - Strengthening Health Care and Lowering Prescription Drug Costs Act
H.R.478 - Safe and Affordable Drugs from Canada Act of 2019
H.R.965 - CREATES Act of 2019
H.R.985 - FAST Generics Act of 2019
H.R.1093 - Stop Price Gouging Act
H.R.1332 - Fair Care Act of 2019
H.R.1506 - FAIR Generics Act
H.R.2011 - Protecting Access to Biosimilars Act of 2019
H.R.2069 - SPIKE Act
H.R.2087 - Drug Price Transparency Act
H.R.2113 - Prescription Drug STAR Act
H.R.2296 - FAIR Drug Pricing Act of 2019
H.R.3327 - Drug Price Transparency for Medicare Patients Act of 2019
H.R.3408 - EXEMPT Act
S.61 - Safe and Affordable Drugs from Canada Act of 2019
S.340 - CREATES Act of 2019
S.474 - Stopping the Pharmaceutical Industry from Keeping drugs Expensive (SPIKE) Act of 2019
S.1140 - Protecting Access to Biosimilars Act of 2019
S.1384 - Prescription Drug Rebate Reform Act of 2019
S.1391 - Fair Accountability and Innovative Research Drug Pricing Act of 2019
S.1437 - Drug-price Transparency in Communications (DTC) Act
S.1224 - Stop Significant and Time-wasting Abuse Limiting Legitimate Innovation of New Generics Act (Stop STALLING Act)
S.1227 - Prescription Pricing for the People Act of 2019

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)

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

Free Trade Agreements - Intellectual Property and Transparency Provisions - Free Trade Agreements
Access to Medicines Issues
Global Health Issues
India, China and Canada IP and Market Access Issues
Sub-standards Medicines
Quality of Medicines
International Market Access and Intellectual Property Issues
Biopharmaceutical Innovation Policies
Columbia Intellectual Property
Regulatory Cooperation
The North American Free Trade Agreement - NAFTA Re-negotiation
USTR Special 301 Report/National Trade Estimate
Trade Policy
KORUS
Tariffs
CFIUS
USMCA

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

U.S. SENATE, U.S. HOUSE OF REPRESENTATIVES, U.S. Trade Representative (USTR), 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 BUD

16. Specific lobbying issues

FDA Appropriations funding for Generic Drugs
Certified Importer Program (CIP)
Reconciliation
Gx Drug Labeling
Biosimilars
Importation
Drug Pricing
Value of Medicine
Blocking Act
H.R.21 - Consolidated Appropriations Act, 2019
H.R.265 - Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2019
H.R.648 - Consolidated Appropriations Act, 2019
H.R.2500 - National Defense Authorization Act for Fiscal Year 2020
H.R.2740 - Labor, Health and Human Services, Education, Defense, State, Foreign Operations, and Energy and Water Development Appropriations Act, 2020

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 MMM

16. Specific lobbying issues

H.R. 1046/S.377: Medicare Negotiation and Competitive Licensing Act of 2019
Biosimilars
Medicare Part D
Drug Pricing
Part B
Outcomes Based Contracts
Generics
Innovative Pharmaceuticals
Cell and Gene Therapy
Medicaid
Alternative Payment Models
H.R.275 - Medicare Prescription Drug Price Negotiation Act of 2019
H.R.448 - Medicare Drug Price Negotiation Act
H.R.937 - Right Rebate Act of 2019
Medicare Part A

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
Orphan Drug Tax
Mobile Workforce
Thin Capitalization Rules 163(j)
Base Erosion Surtax
Tax Cuts & Jobs Act Implementation
Innovation Box
Expended FDII
Treasury Proposed BEAT Regulations
Tax Treaties

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

S.659 - Biologic Patent Transparency Act
Data Exclusivity
Intellectual Property
Biopharmaceutical Innovation Policy Issues
Biologics Data Protection issues
Patent Litigation Reform and Issues Related to Post Grant Proceedings at PTO
BPCIA
Hatch-Waxman
Patents
Inter Partes Review at PTO
Biosimilars
S 1416 - Affordable Prescriptions for Patients Act of 2019
H.R.465 - Prescription Drug Price Relief Act of 2019
H.R.938 - BLOCKING Act of 2019
H.R.987 - Strengthening Health Care and Lowering Prescription Drug Costs Act
H.R.990 - Hatch-Waxman Integrity Act of 2019
H.R.1046 - Medicare Negotiation and Competitive Licensing Act of 2019
H.R.2375 - Preserve Access to Affordable Generics and Biosimilars Act
H.R.2700 - Lowering Prescription Drug Costs and Extending Community Health Centers and Other Public Health Priorities Act
S.64 - Preserve Access to Affordable Generics and Biosimilars Act
S.102 - Prescription Drug Price Relief Act of 2019
Bayh-Dole march-in rights policy issues
S.440 - Preserving Access to Cost Effective Drugs Act (PACED Act)(Sovereign immunity issues before the PTAB)
Section 101

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

Foreign Investment Risk Review Modernization Act of 2017 (FIRMMA)
CFIUS Reform
Foreign Agents Registration Act (FARA) Reform
S.1762 - Foreign Agents Disclosure and Registration Enhancement Act of 2019

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.

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