Novartis AG - Depositary Receipt (Common Stock)
US ˙ NYSE ˙ US66987V1098

SecurityNVS / Novartis AG - Depositary Receipt (Common Stock)
InstitutionSigma Planning Corp
Latest Disclosed Ownership4,716 shares
Latest Disclosed Value $ 720,397
Sigma Planning Corp reports 7.47% decrease in ownership of NVS / Novartis AG - Depositary Receipt (Common Stock)

On May 4, 2026 - Sigma Planning Corp filed a 13F-HR form disclosing ownership of 4,716 shares of Novartis AG - Depositary Receipt (Common Stock) (US:NVS) valued at $720,369 USD as of March 31, 2026. The entity filed a previous 13F-HR on January 30, 2026 disclosing 5,097 shares of Novartis AG - Depositary Receipt (Common Stock). This represents a change in shares of -7.47% during the quarter. The current value of the position is $677,501 USD.

Institutional Ownership: 13F and NPORT Filings

The Security and Class in the table below are shown exactly as filed by the investor. We do our best to track continuity of investments through acquisitions, and this will be reflected in the table as changes in names. In addition to descriptive data, performance of the investment is shown over time. To calculate quarterly performance, we first calculate cost basis of the shares purchased during the quarter, then use that to calculate gross profit. Quarterly return is Gross Profit / Starting Portfolio value.

Note that cost basis is calculated and stored in thousands, so small quarterly changes in shares frequently result in a cost basis of zero.

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Disclosed Equity Positions (from 13F/NPORT Filings)
File
Date		 Effective
Date		Form Security Class ID Avg Price
Paid (Est)		 Reported
Shares		 ΔShares ΔShares
(%)		 Reported
Value
(x1000)		 ΔValue
(%)		 Alloc
(%)		 ΔAlloc ΔAlloc (%) Cost Basis
(x1000)		 Unrealized
Gain/Loss
(x1000)
2026-05-04 2026-03-31 13F NOVARTIS SPONSORED ADR 66987V109 4,716 -381 -7.47 720 2.56 0.0200
2026-01-30 2025-12-31 13F NOVARTIS SPONSORED ADR 66987V109 5,097 -6,071 -54.36 703 -50.98 0.0194
2025-11-10 2025-09-30 13F NOVARTIS SPONSORED ADR 66987V109 11,168 6,011 116.56 1,432 129.49 0.0407
2025-08-05 2025-06-30 13F NOVARTIS SPONSORED ADR 66987V109 5,157 282 5.78 624 14.08 0.0188
2025-05-02 2025-03-31 13F NOVARTIS SPONSORED ADR 66987V109 4,875 657 15.58 547 33.41 0.0175
2025-02-03 2024-12-31 13F NOVARTIS SPONSORED ADR 66987V109 4,218 -1,012 -19.35 410 -31.78 0.0129
2024-11-04 2024-09-30 13F NOVARTIS SPONSORED ADR 66987V109 5,230 -288 -5.22 602 2.39 0.0184
2024-08-06 2024-06-30 13F NOVARTIS SPONSORED ADR 66987V109 5,518 -390 -6.60 587 2.80 0.0186
2024-05-02 2024-03-31 13F NOVARTIS SPONSORED ADR 66987V109 5,908 3,546 150.13 572 139.92 0.0180
2024-02-01 2023-12-31 13F NOVARTIS SPONSORED ADR 66987V109 2,362 -4,754 -66.81 238 -67.13 0.0187
2023-11-06 2023-09-30 13F NOVARTIS SPONSORED ADR 66987V109 7,116 -21 -0.29 725 0.56 0.0272
2023-08-02 2023-06-30 13F NOVARTIS SPONSORED ADR 66987V109 7,137 -589 -7.62 720 1.41 0.0259
2023-05-08 2023-03-31 13F NOVARTIS SPONSORED ADR 66987V109 7,726 1,283 19.91 711 21.58 0.0236
2023-01-24 2022-12-31 13F NOVARTIS SPONSORED ADR 66987V109 6,443 -4,660 -41.97 585 -30.81 0.0209
2022-11-10 2022-09-30 13F NOVARTIS SPONSORED ADR 66987V109 11,103 37 0.33 844 -9.73 0.0322
2022-08-11 2022-06-30 13F NOVARTIS SPONSORED ADR 66987V109 11,066 5,126 86.30 935 79.46 0.0325
2022-04-20 2022-03-31 13F NOVARTIS SPONSORED ADR 66987V109 5,940 -1,710 -22.35 521 -22.12 0.0156
2022-02-02 2021-12-31 13F NOVARTIS AG ADR ADR 66987V109 7,650 -4,132 -35.07 669 -30.60 0.0186
2021-10-28 2021-09-30 13F NOVARTIS SPONSORED ADR 66987V109 11,782 250 2.17 964 -8.37 0.0290
2021-08-13 2021-06-30 13F NOVARTIS AG ADR ADR 66987V109 11,532 -331 -2.79 1,052 3.75 0.0314
2021-05-06 2021-03-31 13F NOVARTIS AG ADR ADR 66987V109 11,863 835 7.57 1,014 -2.59 0.0324
2021-02-09 2020-12-31 13F NOVARTIS SPONSORED ADR 66987V109 11,028 -552 -4.77 1,041 3.38 0.0354
2020-11-03 2020-09-30 13F NOVARTIS SPONSORED ADR 66987V109 11,580 -174 -1.48 1,007 -1.95 0.0399
2020-07-31 2020-06-30 13F NOVARTIS SPONSORED ADR 66987V109 11,754 4,817 69.44 1,027 79.55 0.0451
2020-05-01 2020-03-31 13F NOVARTIS A G SPONSORED ADR 66987V109 6,937 -5,643 -44.86 572 -51.97 0.0340
2020-02-03 2019-12-31 13F NOVARTIS A G SPONSORED ADR 66987V109 12,580 748 6.32 1,191 15.86 0.0502
2019-11-01 2019-09-30 13F NOVARTIS A G SPONSORED ADR 66987V109 11,832 -187 -1.56 1,028 -6.38 0.0493
2019-08-01 2019-06-30 13F NOVARTIS A G SPONSORED ADR 66987V109 12,019 2,056 20.64 1,098 14.61 0.0566
2019-05-01 2019-03-31 13F NOVARTIS A G SPONSORED ADR 66987V109 9,963 -545 -5.19 958 6.21 0.0544
2019-01-31 2018-12-31 13F NOVARTIS A G SPONSORED ADR 66987V109 10,508 3,449 48.86 902 48.36 0.0656
2018-11-07 2018-09-30 13F NOVARTIS A G SPONSORED ADR 66987V109 7,059 -159 -2.20 608 11.56 0.0357
2018-08-02 2018-06-30 13F NOVARTIS A G SPONSORED ADR 66987V109 7,218 218 3.11 545 -3.71 0.0365
2018-05-11 2018-03-31 13F NOVARTIS A G SPONSORED ADR 66987V109 7,000 360 5.42 566 1.43 0.0414
2018-02-07 2017-12-31 13F NOVARTIS A G SPONSORED ADR 66987V109 6,640 350 5.56 558 3.33 0.0430
2017-11-06 2017-09-30 13F NOVARTIS A G SPONSORED ADR 66987V109 6,290 267 4.43 540 7.36 0.0445
2017-08-02 2017-06-30 13F NOVARTIS A G SPONSORED ADR 66987V109 6,023 -424 -6.58 503 5.01 0.0473
2017-04-24 2017-03-31 13F NOVARTIS A G SPONSORED ADR 66987V109 6,447 330 5.39 479 7.40 0.0464
2017-01-23 2016-12-31 13F NOVARTIS A G SPONSORED ADR 66987V109 6,117 -314 -4.88 446 -12.20 0.0487
2016-11-07 2016-09-30 13F NOVARTIS A G SPONSORED ADR 66987V109 6,431 -114 -1.74 508 -5.93 0.0602
2016-07-22 2016-06-30 13F NOVARTIS A G SPONSORED ADR 66987V109 6,545 59 0.91 540 14.89 0.0704
2016-04-18 2016-03-31 13F NOVARTIS A G SPONSORED ADR 66987V109 6,486 -1,185 -15.45 470 -28.79 0.0642
2016-01-20 2015-12-31 13F NOVARTIS A G SPONSORED ADR 66987V109 7,671 -841 -9.88 660 -15.60 0.0924
2015-11-02 2015-09-30 13F NOVARTIS A G SPONSORED ADR 66987V109 8,512 910 11.97 782 4.55 0.1239
2015-07-14 2015-06-30 13F NOVARTIS A G SPONSORED ADR 66987V109 7,602 326 4.48 748 4.32 0.1033
2015-04-23 2015-03-31 13F NOVARTIS A G SPONSORED ADR 66987V109 7,276 -3,567 -32.90 717 -28.66 0.0950
2015-02-13 2014-12-31 13F NOVARTIS A G SPONSORED ADR 66987V109 10,843 10,843 1,005 0.1329
Legend
Shares
The total number of shares held by the institution at the end of the reporting period (the effective date). This is provided in the filing.
Value
The total value of the shares as of the effective date. This is provided in the filing.
Avg. Share Price
The weighted average share price of the shares held by the institution. We use FIFO accounting to determine this price
Class
This is the security class as indicated by the filer. There are a variety of values for this field. Common values include "EC" = equity common, "EP" - equity preferred
Allocation (%)
The percent of the institution's portfolio that this position represents. This is provided in NPORT filings. For 13F filings, we calculate it.
Change in Allocation
The change in allocation from the prior reporting period. This is calculated as current allocation - prior allocation.
Change in Allocation (%)
The percent change in allocation from the prior reporting period. This is calculated as (current allocation - prior allocation) / prior allocation.
Cost Basis
The total cost of the shares held. This is calculated as reported shares * avg. share price
Unrealized Gain/Loss
This is the market value of the position as of the effective date minus the cost basis.