Clerk of the House of Representatives
Legislative Resource Center
135 Cannon Building
Washington, DC 20515
http://lobbyingdisclosure.house.gov 		Secretary of the Senate
Office of Public Records
232 Hart Building
Washington, DC 20510
http://www.senate.gov/lobby
LOBBYING REPORT

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

1. Registrant Name Organization/Lobbying Firm Self Employed Individual
Novartis

2. Address

Address1
701 PENNSYLVANIA AVENUE, NW, #725
 Address2
​
City
WASHINGTON
 State
DC
 Zip Code
20004
 Country
USA

3. Principal place of business (if different than line 2)

City
​
State
​
Zip Code
​
Country
​
4a. Contact Name b. Telephone Number c. E-mail
​Mr.
​Daniel Casserly
​2026387429
​dan.casserly@novartis.com
5. Senate ID#
​9204-12
7. Client Name Self Check if client is a state or local government or instrumentality
​Novartis
6. House ID#
​335890000
TYPE OF REPORT 8. Year
​2015
 Q1 (1/1 - 3/31) Q2 (4/1 - 6/30) Q3 (7/1 - 9/30) Q4 (10/1 - 12/31)

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

10. Check if this is a Termination Report Termination Date
​
11. No Lobbying Issue Activity
INCOME OR EXPENSES - YOU MUST complete either Line 12 or Line 13
12. Lobbying 13. Organizations
INCOME relating to lobbying activities for this reporting period was: EXPENSE relating to lobbying activities for this reporting period were:
Less than $5,000
Less than $5,000
$5,000 or more $
​
$5,000 or more $
​1,500,000.00
Provide a good faith estimate, rounded to the nearest $10,000, of all lobbying related income for the client (including all payments to the registrant by any other entity for lobbying activities on behalf of the client). 14. REPORTING Check box to indicate expense accounting method. See instructions for description of options.
Method A. Reporting amounts using LDA definitions only

Method B. Reporting amounts under section 6033(b)(8) of the Internal Revenue Code

Method C. Reporting amounts under section 162(e) of the Internal Revenue Code

Signature
Digitally Signed By: Daniel Casserly
 Date
7/20/2015 2:15:47 PM

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

Gene Therapy
Personalized Medicine
Section 9008 of Patient Protection and Affordable Care Act
Dextromethorphan - Age Restrictions - Controlling bulk shipments - PACT Act
FSA/HSA - Support reinstating coverage of OTC products
HR351/S351 - Medicine Decisions Act of 2011 (IPAB)
340B Drug Discount Program
Dual Elibibles Program
DQSA Implementation (Track & Trace)
Certified Importer Program
MDUFA (Medical Device User Fee Act) Implementation
Medical Device Tax Repeal
Drug Importation
Limitations on lawful use of caffeine
Reimbursement for medical devices
GMP related to manufacturing sites
Federal BTC and GMO labeling laws
Biosimilars
21st Century Cures
PDUFA
340B Drug Discount Program
Low-income Subsidy in Part D

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

First Name Last Name Suffix Covered Official Position (if applicable) New
Daniel
Casserly
​
​
Shawn
O'Neail
​
​
Jason
Van Pelt
​
​
Leo
Farber
​
​
Sarah
Haller
​
​

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 and Canada IP and market Access Issues
Trans-Pacific Partnership FTA
Sub-standards Medicines
Quality of Medicines
Global Intellectual Property Issues Including:
- Trade Promotion Authority
- Trans-pacific Partnership
- Trans Atlantic Trade and Investment Partnership
HR3830/S1900 - Bipartisan Congressional Trade Priorities Act of 2014
International Market Access and Intellectual Property Issues
Biopharmaceutical Innovation Policies

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)

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

First Name Last Name Suffix Covered Official Position (if applicable) New
Sarah
Haller
​
​
Leo
Farber
​
​
Jason
Van Pelt
​
​

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

Pandemic Influenza Funding
FDA Appropriations funding for Generic Drugs
Certified Importer Program (CIP)
FY 2015 Labor HHS Appropriations Bill

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

First Name Last Name Suffix Covered Official Position (if applicable) New
Daniel
Casserly
​
​
Shawn
O'Neail
​
​
Jason
Van Pelt
​
​
Leo
Farber
​
​

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

Provide Medicare Part B Coverage for Vaccines Covered under Part D
Medicaid Coverage of Vaccines

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

First Name Last Name Suffix Covered Official Position (if applicable) New
Daniel
Casserly
​
​
Shawn
O'Neail
​
​
Jason
Van Pelt
​
​
Leo
Farber
​
​

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
R&D Tax Credit
Anti-Inversion Tax

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

First Name Last Name Suffix Covered Official Position (if applicable) New
Daniel
Casserly
​
​
Shawn
O'Neail
​
​
Jason
Van Pelt
​
​
Leo
Farber
​
​

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

HR3116 MODDERN Cures Act of 2013
Data Exclusivity
Trade Secrets
Intellectual Property
Biopharmaceutical Innovation Policy Issues
Biologics Data Protection Issues
Draft Legislation on Trade Secret Issues

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

First Name Last Name Suffix Covered Official Position (if applicable) New
Daniel
Casserly
​
​
Shawn
O'Neail
​
​
Jason
Van Pelt
​
​
Leo
Farber
​
​

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

Address
​
City
​
State
​
Zip Code
​
Country
​

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

City
​
State
​
Zip Code
​
Country
​

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

First Name
Last Name
Suffix
First Name
Last Name
Suffix
1
​Brenda
​Luckritz
​
3
​
​
​
2
​
​
​
4
​
​
​

ISSUE UPDATE

24. General lobbying issue that no longer pertains

​
​
​
​
​
​
​
​
​

AFFILIATED ORGANIZATIONS

25. Add the following affiliated organization(s)

Internet Address:

Name Address Principal Place of Business
(city and state or country)
Street Address
City State/Province Zip Country
City
State Country

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

1 2 3

FOREIGN ENTITIES

27. Add the following foreign entities:

Name Address Principal place of business
(city and state or country) 		Amount of contribution for lobbying activities Ownership percentage in client
Street Address
City State/Province Country
City
State Country
%

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

1 3 5
2 4 6