Stock Transactions — NOVARTIS AG

Total Bought
7,925,213
587 transactions
Total Sold
13,612,544
548 transactions
Net
-5,687,331
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
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Change in Shares
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Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
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Change in Weight (%)
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Type
MORGAN STANLEY7,055,9117,559,488+503,5770.060.06+0.00buy
Optiver Holding B.V.41,665515,173+473,5080.181.68+1.50buy
BANK OF MONTREAL /CAN/95,910564,990+469,0800.010.03+0.03buy
DIMENSIONAL FUND ADVISORS LP8,606,7249,060,895+454,1710.240.25+0.02buy
MILLENNIUM MANAGEMENT LLC423,683840,771+417,0880.050.09+0.05buy
Fisher Asset Management, LLC6,763,1327,121,414+358,2820.330.34+0.02buy
HARDING LOEVNER LP0313,527+313,5270.000.26+0.26buy
BALYASNY ASSET MANAGEMENT L.P.573,403876,956+303,5530.160.24+0.08buy
TWO SIGMA INVESTMENTS, LP80,110334,499+254,3890.020.07+0.05buy
AMERIPRISE FINANCIAL INC387,094631,131+244,0370.010.02+0.01buy
Clark Capital Management Group, Inc.592,245830,970+238,7250.470.70+0.22buy
AMERICAN CENTURY COMPANIES INC356,447588,361+231,9140.020.04+0.01buy
ABC ARBITRAGE SA0208,708+208,7080.002.88+2.88buy
BlackRock, Inc.2,167,8902,321,155+153,2650.010.01+0.00buy
ENVESTNET ASSET MANAGEMENT INC1,608,5891,736,891+128,3020.060.06+0.00buy
Parkwood LLC106,377227,300+120,9231.162.53+1.37buy
Laurel Wealth Advisors LLC974117,864+116,8900.020.00-0.02buy
JONES FINANCIAL COMPANIES LLLP30,004144,529+114,5250.000.01+0.01buy
Kovitz Investment Group Partners, LLC54,162152,066+97,9040.030.08+0.05buy
Janney Montgomery Scott LLC224,038310,389+86,3510.070.10+0.03buy
Point72 Europe (London) LLP102,259186,051+83,7920.791.16+0.37buy
OSAIC HOLDINGS, INC.101,970181,477+79,5070.030.04+0.01buy
LOOMIS SAYLES & CO L P5,503,0935,581,576+78,4830.890.85-0.04buy
VAN ECK ASSOCIATES CORP323,379399,485+76,1060.050.05+0.01buy
FMR LLC1,467,0161,540,963+73,9470.010.01+0.00buy
LOCKHEED MARTIN INVESTMENT MANAGEMENT CO073,700+73,7000.000.33+0.33buy
Callan Family Office, LLC26,09987,048+60,9490.220.33+0.11buy
GQG Partners LLC3,45662,535+59,0790.000.01+0.01buy
ASSETMARK, INC268,940319,908+50,9680.080.09+0.01buy
AQR CAPITAL MANAGEMENT LLC22,57373,512+50,9390.000.01+0.00buy
Empowered Funds, LLC15,82564,835+49,0100.030.09+0.06buy
COOKSON PEIRCE & CO INC222,127267,535+45,4081.251.42+0.18buy
Fiera Capital Corp043,671+43,6710.000.02+0.02buy
OLD MISSION CAPITAL LLC041,649+41,6490.000.13+0.13buy
Quantinno Capital Management LP159,647198,749+39,1020.120.10-0.01buy
Capital Wealth Planning, LLC51,46090,385+38,9250.050.09+0.04buy
Auto-Owners Insurance Co6,39345,143+38,7500.020.12+0.11buy
GREAT VALLEY ADVISOR GROUP, INC.14,59352,022+37,4290.040.14+0.10buy
CHARLES SCHWAB INVESTMENT MANAGEMENT INC185,603222,630+37,0270.000.00+0.00buy
MASSACHUSETTS FINANCIAL SERVICES CO /MA/39,95174,488+34,5370.000.00+0.00buy
NewEdge Wealth, LLC431,838465,916+34,0780.870.85-0.03buy
Chevy Chase Trust Holdings, LLC1,101,3721,135,326+33,9540.390.40+0.01buy
Aquatic Capital Management LLC033,240+33,2400.000.08+0.08buy
Kingstone Capital Partners Texas, LLC032,292+32,2920.000.00+0.00buy
RAYMOND JAMES FINANCIAL INC896,364927,314+30,9500.040.04+0.00buy
TRUIST FINANCIAL CORP769,741798,467+28,7260.140.14+0.00buy
NBT BANK N A /NY5728,662+28,6050.000.24+0.24buy
First Pacific Financial026,055+26,0550.000.46+0.46buy
CW Advisors, LLC49,33175,340+26,0090.070.09+0.02buy
Northside Capital Management, LLC3,29629,290+25,9940.060.27+0.21buy
EARNEST PARTNERS LLC824,371850,207+25,8360.440.46+0.02buy
DRW Securities, LLC3,10428,619+25,5150.030.24+0.21buy
Spectrum Asset Management, Inc. (NB/CA)024,655+24,6550.001.30+1.30buy
NATIONAL BANK OF CANADA /FI/47,47171,204+23,7330.010.01+0.00buy
SIMPLEX TRADING, LLC023,703+23,7030.000.08+0.08buy
NORTHERN TRUST CORP2,180,2812,202,816+22,5350.040.04+0.00buy
MML INVESTORS SERVICES, LLC169,849191,161+21,3120.060.07+0.00buy
Cetera Investment Advisers126,528147,261+20,7330.030.03+0.00buy
TODD ASSET MANAGEMENT LLC396,510415,901+19,3911.041.08+0.04buy
PRIMECAP MANAGEMENT CO/CA/10,382,87910,401,434+18,5550.961.00+0.04buy
Geneos Wealth Management Inc.33,28250,728+17,4460.120.15+0.03buy
SHELTON CAPITAL MANAGEMENT7,84024,885+17,0450.020.07+0.05buy
Vanguard Personalized Indexing Management, LLC109,549125,612+16,0630.180.17-0.01buy
Marshall Financial Group, LLC015,634+15,6340.000.37+0.37buy
PEAK6 LLC015,516+15,5160.000.06+0.06buy
Brooklyn Investment Group7,02622,090+15,0640.170.35+0.18buy
ADAGE CAPITAL PARTNERS GP, L.L.C.014,481+14,4810.000.00+0.00buy
BRANDES INVESTMENT PARTNERS, LP225,007239,282+14,2750.260.26+0.01buy
Legal & General Group Plc51,08365,156+14,0730.000.00+0.00buy
Lighthouse Investment Partners, LLC014,000+14,0000.000.07+0.07buy
Lido Advisors, LLC16,12030,001+13,8810.010.02+0.01buy
CWM, LLC68,97282,659+13,6870.030.04+0.00buy
Trexquant Investment LP013,023+13,0230.000.02+0.02buy
Squarepoint Ops LLC14,95127,533+12,5820.000.01+0.00buy
STATE STREET CORP1,585,4851,597,830+12,3450.010.01-0.00buy
FRED ALGER MANAGEMENT, LLC27,35739,512+12,1550.020.02+0.00buy
CAPTRUST FINANCIAL ADVISORS139,591151,265+11,6740.040.04+0.00buy
STIFEL FINANCIAL CORP231,857243,345+11,4880.030.03+0.00buy
Mariner, LLC215,996227,371+11,3750.040.04-0.00buy
HANTZ FINANCIAL SERVICES, INC.15,30226,638+11,3360.030.05+0.02buy
Creative Planning386,991398,258+11,2670.040.04+0.00buy
Boston Partners41,48352,730+11,2470.010.01+0.00buy
RENAISSANCE TECHNOLOGIES LLC2,287,2512,298,151+10,9000.390.37-0.02buy
Integrated Quantitative Investments LLC010,544+10,5440.000.37+0.37buy
Merit Financial Group, LLC19,97830,520+10,5420.030.04+0.01buy
Promethos Capital, LLC187,645197,585+9,9407.698.07+0.38buy
CIBC Private Wealth Group LLC467,485477,344+9,8590.100.10+0.00buy
Vise Technologies, Inc.18,00727,627+9,6200.150.14-0.01buy
&PARTNERS97,048106,636+9,5880.120.10-0.02buy
NOVEM GROUP09,581+9,5810.000.15+0.15buy
O'SHAUGHNESSY ASSET MANAGEMENT, LLC255,597264,985+9,3880.230.22-0.01buy
RITHOLTZ WEALTH MANAGEMENT91,310100,665+9,3550.300.27-0.04buy
PARK AVENUE SECURITIES LLC46,50855,319+8,8110.060.06-0.00buy
PRINCIPAL SECURITIES, INC.28,87036,684+7,8140.060.08+0.02buy
TEACHERS RETIREMENT SYSTEM OF THE STATE OF KENTUCKY246,250253,850+7,6000.250.25+0.00buy
Invesco Ltd.192,549199,958+7,4090.000.00+0.00buy
XTX Topco Ltd2,2819,213+6,9320.010.05+0.03buy
Atria Investments, Inc46,49353,286+6,7930.070.08+0.01buy
Russell Investments Group, Ltd.16,59322,893+6,3000.000.00+0.00buy
HARRELL INVESTMENT PARTNERS, LLC06,279+6,2790.000.19+0.19buy
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