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

S.2543 - Prescription Drug Pricing Reduction Act of 2019
HR 1520: Purple Book Continuity Act
HR 1503: Orange Book Transparency Act
HR 1499: Protecting Consumer Access to Generic Drugs Act
Fast Generics
Cell & Gene Therapy, including reimbursement
340B Drug Discount Program
Drug Importation
Drug Cost/Pricing
Biosimilars Reimbursement
Outcomes based Contracting
Part D Non-interference
Orphan Drugs
Virtual Clinical Trials
Part D Benefit Redesign
Biosimilar Pass Through Payments
Value Based Pricing
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.985 - FAST Generics Act of 2019
H.R.2011 - Protecting Access to Biosimilars Act of 2019
H.R.2296 - FAIR Drug Pricing Act of 2019
S.61 - Safe and Affordable Drugs from Canada 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.1227 - Prescription Pricing for the People Act of 2019
H.R.447 - Affordable and Safe Prescription Drug Importation Act
H.R.1922 - Restoring Access to Medication Act of 2019
H.R.2064 - To amend title XI of the Social Security Act to require manufacturers of certain drugs, devices, biologicals, and medical supplies to report on product samples provided to certain health care providers, and for other purposes
H.R.5304 - PBM Transparency in Prescription Drug Costs Act
S.97 - Affordable and Safe Prescription Drug Importation Act
S.657 - A bill to amend title XXVII of the Public Health Service Act to establish requirements with respect to prescription drug benefits
Transparency policy issues
Drug cost and pricing policy issues
Drug importation and counterfeiting policy issues
HHS Safe Importation Action Plan
Expanded access policy issues
Generic drug approval process policy issues
PDUFA implementation policy issues
340B drug discount program policy issues
Cancer drug vial size policy issues
Pharmaceutical supply chain
Pharmaceutical quality
H.R 6074 - Coronavirus Preparedness and Response Supplemental Appropriations Act, 2020
H.R. 6201 - Families First Coronavirus Response Act (COVID 2)
H.R. 748 and S. 3548 - Coronavirus Aid, Relief, and Economic Security Act (CARES Act)
H.R. 2740: Labor, Health and Human Services, Education, Defense, State, Foreign Operations, and Energy and Water Development Appropriations Act, 2020 - HHS provisions related to prescription drugs
Making appropriations for the Departments of Labor, Health and Human Services, and Education, and related agencies for the fiscal year ending September 30, 2020, and for other purposes
H.R. 3772, Medicare Diagnostic Radiopharmaceutical Payment Equity Act of 2019
H.R. 748: CARES Act - Provisions related to Part B, Part D, vaccines, transparency, and transportation
H.R. 6074: Coronavirus Preparedness and Response Supplemental Appropriations Act, 2020 - Provisions related to biomedical research and prescription drug pricing
S. 3370: Coronavirus Vaccine Act - Provisions related to NIH funding
S. 3548: CARES Act - Provisions related to supplemental appropriations and federal health programs
H.R. 6080: Preventing Drug Shortages Act - Provisions related to prescription drug shortage reporting requirements
Buy America and other associated issues related to procurement and sourcing of finished product and active pharmaceutical ingredients
Drug shortages policy issues
Proposed Rule; Importation of Prescription Drugs (RIN 0910-AI45)
FDA modernization policy issues
PDUFA implementation policy issues
340B drug discount program policy issues
Bipartisan Budget Act of 2018 (Public Law 115-123) - Part D provisions
Patient assistance program policy issues
Foreign manufacturing policy issues

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
Regulatory Cooperation
USTR Special 301 Report/National Trade Estimate
Trade Policy
Tariffs
CFIUS
USMCA
US Swiss Trade Agreement
Pharmaceutical supply chain

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

Certified Importer Program (CIP)
Biosimilars
Importation
Drug Pricing
Value of Medicine
Blocking Act
Fiscal year 2021 Appropriations

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

AMP Cap
H.R 3
S.2543 - Prescription Drug Pricing Reduction Act of 2019
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
Medicare Part A
H.R.19 - Lower Costs, More Cures Act of 2019
H.R.107 - To amend title XIX of the Social Security Act to sunset the limit on the maximum rebate amount for single source drugs and innovator multiple source drugs
H.R.4455 - BIOSIM Act
H.R.4619 - Pharmaceutical Rebates for Excessive Pricing Above Inflation Act
HR. 3772, the Medicare Diagnostic Radiopharmaceutical Payment Equity Act of 2019
HR. 4597 - Acting to Cancel Copays and Ensure Substantial Savings for Biosimilars Act of 2019
S.3466 - ACCESS for Biosimilars Act of 2020
HR. 6179 - Increasing Access to Biosimilars Act of 2020
HR. 4629 - Star Rating for Biosimilars Act
Part D policy issues including non-interference and rebates policy issues
S. 3129: Lower Costs, More Cures Act of 2019 - Provisions related to prescription drug pricing, transparency, manufacturer rebates and other provisions
S. 3384: Lowering Prescription Drug Prices for America's Seniors and Families Act of 2020 - Provisions related to prescription drug price negotiation, importation, and other issues
S. 3457: Preserving Patient Access to Home Infusion Act - Provisions related to Medicare and prescription drug access
H.R.5741 - Strengthening Innovation in Medicare and Medicaid Act
Department of Health and Human Services (HHS) drug policy issues and regulatory policy issues
Part D policy issues including non-interference and rebates policy issues
Part B reform including MedPAC recommendations and other policy issues and local coverage decisions
Drug cost and pricing policy issues
Transparency policy issues
Alternative payment models policy issues
Value-based purchasing arrangements policy issues
Anti-Kickback Statute policy issues
Center for Medicare and Medicaid Innovation (CMMI) policy issues
ANPRM; Medicare Program; International Pricing Index Model for Medicare Part B Drugs (CMS-5528-ANPRM)
Removal of Safe Harbor Protection for Rebates to Plans or PBMs Involving Prescription Pharmaceuticals and Creation of New Safe Harbor Protection (RIN 0936-AA08)
Proposed Rule; Patient Protection and Affordable Care Act; HHS Notice of Benefit and Payment Parameters for 2021; Notice Requirement for Non-Federal Governmental Plans (CMS-9916-P)
Reimbursement for cell therapy products

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

OECD Digital Tax
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
Treasury Proposed BEAT Regulations
Tax Treaties
Coronavirus Aid, Relief, and Economic Security Act (CARES Act) (HR 748)(S. 3548)

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
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.1046 - Medicare Negotiation and Competitive Licensing Act of 2019
Bayh-Dole march-in rights policy issues
Section 101
H.R.1520 - Purple Book Continuity Act of 2019
H.R.3991 - Affordable Prescriptions for Patients Through Improvements to Patent Litigation Act of 2019
H.R.4398 - Affordable Prescriptions for Patients Through Promoting Competition Act of 2019
S.1617 - Second Look at Drug Patents Act of 2019
HR 4712 - Fairness in Orphan Drug Exclusivity Act
H.R. 4850: Biologic Patent Transparency Act - Provisions related to prescription drug patent disclosures
H.R. 5133: Affordable Prescriptions for Patients Through Promoting Competition Act of 2019 - Provisions related to prescription drug exclusivity periods and manufacturer behavior

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