Stock Transactions — NOVARTIS AG

Total Bought
9,022,575
569 transactions
Total Sold
8,625,129
547 transactions
Net
+397,446
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
GQG Partners LLC62,5352,262,867+2,200,3320.010.45+0.44buy
RAYMOND JAMES FINANCIAL INC927,3141,648,174+720,8600.040.07+0.03buy
BANK OF MONTREAL /CAN/564,9901,045,191+480,2010.030.06+0.02buy
GOLDMAN SACHS GROUP INC2,541,8722,949,647+407,7750.050.05+0.00buy
HARDING LOEVNER LP313,527629,958+316,4310.260.59+0.34buy
Tidal Investments LLC8,841301,436+292,5950.010.16+0.16buy
WOODLEY FARRA MANION PORTFOLIO MANAGEMENT INC340,919606,780+265,8611.943.67+1.73buy
UBS Group AG1,356,8261,602,133+245,3070.030.04+0.01buy
BlackRock, Inc.2,321,1552,530,206+209,0510.010.01+0.00buy
ADAGE CAPITAL PARTNERS GP, L.L.C.14,481210,188+195,7070.000.04+0.04buy
Qube Research & Technologies Ltd0189,467+189,4670.000.03+0.03buy
BNP PARIBAS FINANCIAL MARKETS1,581184,244+182,6630.000.02+0.02buy
MORGAN STANLEY7,559,4887,728,873+169,3850.060.06+0.00buy
NORTHERN TRUST CORP2,202,8162,371,389+168,5730.040.04+0.00buy
JONES FINANCIAL COMPANIES LLLP28,587160,008+131,4210.000.01+0.01buy
Fisher Asset Management, LLC7,121,4147,239,366+117,9520.340.34-0.01buy
HRT FINANCIAL LP37,980138,859+100,8790.020.07+0.05buy
LPL Financial LLC460,093551,535+91,4420.020.02+0.00buy
LOOMIS SAYLES & CO L P5,581,5765,664,911+83,3350.850.86+0.02buy
ENVESTNET ASSET MANAGEMENT INC1,736,8911,819,260+82,3690.060.07+0.01buy
JPMORGAN CHASE & CO455,317537,543+82,2260.000.00+0.00buy
BANK OF AMERICA CORP /DE/4,527,4884,605,878+78,3900.040.04+0.00buy
AQR CAPITAL MANAGEMENT LLC73,512135,959+62,4470.010.01+0.00buy
FMR LLC1,540,9631,599,737+58,7740.010.01+0.00buy
JANE STREET GROUP, LLC48,065106,302+58,2370.010.02+0.01buy
Quantinno Capital Management LP198,749252,646+53,8970.100.09-0.02buy
OSAIC HOLDINGS, INC.181,477231,907+50,4300.040.04+0.00buy
Fiera Capital Corp43,67193,934+50,2630.020.04+0.02buy
ROYAL BANK OF CANADA503,799551,927+48,1280.010.01+0.00buy
VAN ECK ASSOCIATES CORP399,485444,658+45,1730.050.05-0.00buy
Kestra Advisory Services, LLC29,71269,390+39,6780.020.04+0.02buy
NATIXIS ADVISORS, LLC860,998900,018+39,0200.170.17+0.00buy
ASSETMARK, INC319,908358,151+38,2430.090.10+0.01buy
CHARLES SCHWAB INVESTMENT MANAGEMENT INC222,630260,827+38,1970.000.01+0.00buy
FIRST TRUST ADVISORS LP419,034455,003+35,9690.040.04+0.00buy
FACTORY MUTUAL INSURANCE CO035,796+35,7960.000.04+0.04buy
TUDOR INVESTMENT CORP ET AL035,000+35,0000.000.03+0.03buy
ASHTON THOMAS SECURITIES, LLC034,439+34,4390.000.62+0.62buy
TRUIST FINANCIAL CORP798,467832,614+34,1470.140.14+0.00buy
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC146,533180,188+33,6550.030.04+0.01buy
Cetera Investment Advisers147,261179,827+32,5660.030.03-0.00buy
US BANCORP \DE\223,060254,257+31,1970.030.04+0.00buy
Capital Wealth Planning, LLC90,385118,905+28,5200.090.11+0.02buy
NBT BANK N A /NY5728,561+28,5040.000.24+0.24buy
Archford Capital Strategies, LLC026,353+26,3530.000.40+0.40buy
MML INVESTORS SERVICES, LLC191,161216,969+25,8080.070.07+0.01buy
Creative Planning398,258423,818+25,5600.040.04+0.00buy
MASSACHUSETTS FINANCIAL SERVICES CO /MA/74,48899,385+24,8970.000.00+0.00buy
SageView Advisory Group, LLC024,463+24,4630.000.11+0.11buy
TODD ASSET MANAGEMENT LLC415,901439,879+23,9781.081.14+0.06buy
SIMPLEX TRADING, LLC23,70346,811+23,1080.080.13+0.06buy
TEACHERS RETIREMENT SYSTEM OF THE STATE OF KENTUCKY253,850274,950+21,1000.250.27+0.02buy
O'SHAUGHNESSY ASSET MANAGEMENT, LLC264,985285,805+20,8200.220.22-0.00buy
NewEdge Wealth, LLC465,916486,464+20,5480.850.88+0.03buy
Russell Investments Group, Ltd.22,89343,044+20,1510.000.01+0.00buy
Glenmede Investment Management, LP26,33745,234+18,8970.020.03+0.01buy
IEQ CAPITAL, LLC19,39237,868+18,4760.010.01+0.00buy
CIBC Private Wealth Group LLC477,344495,791+18,4470.100.11+0.01buy
Atlantic Union Bankshares Corp11,42229,113+17,6910.030.07+0.04buy
CITIGROUP INC214,021231,287+17,2660.020.02+0.00buy
Walleye Capital LLC3,78820,855+17,0670.000.02+0.02buy
MOODY LYNN & LIEBERSON, LLC2,28919,041+16,7520.020.13+0.12buy
AlphaCore Capital LLC7,72922,964+15,2350.040.10+0.06buy
Legacy Financial Advisors, Inc.015,061+15,0610.000.27+0.27buy
HANTZ FINANCIAL SERVICES, INC.26,63840,980+14,3420.050.08+0.03buy
Geneos Wealth Management Inc.50,72864,760+14,0320.150.21+0.06buy
Morningstar Investment Management LLC013,842+13,8420.000.07+0.07buy
Connor, Clark & Lunn Investment Management Ltd.28,36442,122+13,7580.010.02+0.00buy
STIFEL FINANCIAL CORP243,345256,752+13,4070.030.03+0.00buy
OPPENHEIMER ASSET MANAGEMENT INC.209,522222,892+13,3700.290.31+0.02buy
Lido Advisors, LLC30,00143,096+13,0950.020.02+0.00buy
Arjuna Capital11,89224,851+12,9590.380.79+0.41buy
FOX RUN MANAGEMENT, L.L.C.012,349+12,3490.000.25+0.25buy
Kiker Wealth Management, LLC011,749+11,7490.000.76+0.76buy
Dynasty Wealth Management, LLC011,630+11,6300.000.02+0.02buy
REGIONS FINANCIAL CORP5,23316,813+11,5800.000.01+0.01buy
LOCKHEED MARTIN INVESTMENT MANAGEMENT CO73,70085,200+11,5000.330.40+0.08buy
Csenge Advisory Group18,40829,246+10,8380.110.18+0.07buy
HighTower Advisors, LLC242,660253,203+10,5430.040.04+0.00buy
&PARTNERS106,636116,717+10,0810.100.10-0.00buy
Eldred Rock Partners, LLC80,88290,753+9,8712.972.90-0.07buy
Promethos Capital, LLC197,585207,180+9,5958.077.12-0.95buy
Ethic Inc.81,34890,855+9,5070.170.19+0.02buy
Walleye Trading LLC09,181+9,1810.000.02+0.02buy
Kovitz Investment Group Partners, LLC152,066161,147+9,0810.080.08+0.00buy
CIBC Asset Management Inc17,30725,989+8,6820.010.01+0.00buy
BRANDES INVESTMENT PARTNERS, LP239,282247,875+8,5930.260.25-0.01buy
DAVENPORT & Co LLC33,68342,036+8,3530.020.03+0.01buy
SEI INVESTMENTS CO511,747520,091+8,3440.070.07-0.00buy
First Pacific Financial26,05534,313+8,2580.460.61+0.15buy
SYNOVUS FINANCIAL CORP10,33918,589+8,2500.020.03+0.01buy
MAVERICK CAPITAL LTD08,222+8,2220.000.01+0.01buy
Reynders McVeigh Capital Management, LLC73,65781,871+8,2140.440.49+0.05buy
FIFTH THIRD BANCORP24,83932,559+7,7200.010.01+0.00buy
Mariner, LLC227,371234,890+7,5190.040.04-0.00buy
GTS SECURITIES LLC5,12212,512+7,3900.030.06+0.03buy
Quartz Partners, LLC25,08232,412+7,3301.391.51+0.12buy
GeoWealth Management, LLC3,22110,358+7,1370.020.05+0.03buy
Vanguard Personalized Indexing Management, LLC125,612132,536+6,9240.170.17+0.00buy
CWM, LLC82,65989,476+6,8170.040.03-0.00buy
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