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

SecurityNVS / Novartis AG - Depositary Receipt (Common Stock)
InstitutionCommonwealth Equity Services, Inc
Latest Disclosed Ownership244,841 shares
Latest Disclosed Value $ 21,020,000
Commonwealth Equity Services, Inc reports 0.53% increase in ownership of NVS / Novartis AG - Depositary Receipt (Common Stock)

On February 16, 2018 - Commonwealth Equity Services, Inc filed a 13F-HR/A form disclosing ownership of 244,841 shares of Novartis AG - Depositary Receipt (Common Stock) (US:NVS) valued at $18,453,323 USD as of September 30, 2017. The entity filed a previous 13F-HR/A on February 16, 2018 disclosing 243,548 shares of Novartis AG - Depositary Receipt (Common Stock). This represents a change in shares of 0.53% during the quarter. The current value of the position is $36,520,484 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)
2018-02-16 2017-09-30 13F/A-1 NOVARTIS A G SPONSORED ADR 66987V109 244,841 1,293 0.53 21,020 3.40 0.1258
2017-11-07 2017-09-30 13F NOVARTIS A G SPONSORED ADR 66987V109 244,841 1,294 21,019
2018-02-16 2017-06-30 13F/A-1 NOVARTIS A G SPONSORED ADR 66987V109 243,548 15,570 6.83 20,329 20.06 0.1292
2017-08-11 2017-06-30 13F NOVARTIS A G SPONSORED ADR 66987V109 243,547 15,569 20,328
2018-02-16 2017-03-31 13F/A-1 NOVARTIS A G SPONSORED ADR 66987V109 227,978 22,804 11.11 16,932 13.30 0.1134
2017-05-15 2017-03-31 13F NOVARTIS A G SPONSORED ADR 66987V109 227,978 22,804 16,932
2018-02-16 2016-12-31 13F/A-1 NOVARTIS A G SPONSORED ADR 66987V109 205,174 45,605 28.58 14,945 18.61 0.1104
2017-02-01 2016-12-31 13F NOVARTIS A G SPONSORED ADR 66987V109 205,174 45,605 14,945
2016-10-25 2016-09-30 13F NOVARTIS A G SPONSORED ADR 66987V109 159,569 1,245 0.79 12,600 -3.54 0.1000
2016-08-04 2016-06-30 13F NOVARTIS A G SPONSORED ADR 66987V109 158,324 -8,091 -4.86 13,063 8.36 0.1101
2016-04-27 2016-03-31 13F NOVARTIS A G SPONSORED ADR 66987V109 166,415 18,737 12.69 12,055 -5.12 0.1074
2016-01-19 2015-12-31 13F NOVARTIS A G SPONSORED ADR 66987V109 147,678 16,683 12.74 12,706 5.52 0.1203
2015-10-27 2015-09-30 13F NOVARTIS A G SPONSORED ADR 66987V109 130,995 5,356 4.26 12,041 -2.54 0.1268
2015-07-28 2015-06-30 13F NOVARTIS A G SPONSORED ADR 66987V109 125,639 2,247 1.82 12,355 1.54 0.1228
2015-04-28 2015-03-31 13F NOVARTIS A G SPONSORED ADR 66987V109 123,392 4,426 3.72 12,168 10.39 0.1263
2015-01-13 2014-12-31 13F NOVARTIS A G SPONSORED ADR 66987V109 118,966 1,401 1.19 11,023 -0.39 0.1235
2014-10-17 2014-09-30 13F NOVARTIS A G SPONSORED ADR 66987V109 117,565 2,057 1.78 11,066 5.82 0.1345
2014-07-23 2014-06-30 13F NOVARTIS A G SPONSORED ADR 66987V109 115,508 -5,900 -4.86 10,457 1.31 0.1273
2014-05-07 2014-03-31 13F NOVARTIS A G SPONSORED ADR 66987V109 121,408 -3,438 -2.75 10,322 2.86 0.1426
2014-02-11 2013-12-31 13F NOVARTIS A G SPONSORED ADR 66987V109 124,846 3,440 2.83 10,035 7.75 0.1457
2013-11-04 2013-09-30 13F NOVARTIS A G SPONSORED ADR 66987V109 121,406 8,652 7.67 9,313 16.81 0.1512
2013-07-29 2013-06-30 13F NOVARTIS A G SPONSORED ADR 66987V109 112,754 7,973
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.