NOVARTIS AG

Ticker: NVS CUSIP: 66987V109 Class: SPONSORED ADR

OXFORD ASSET MANAGEMENT LLP's Holding History (CIK: 0001438284)

Note: Option positions (PUT/CALL) are excluded.

Q4 2016

Shares 23,837 Value ($000) $1,736 Avg Close — Range —

Q3 2016

Shares 7,368 Value ($000) $582 Avg Close — Range —

Q2 2015

Shares 9,686 Value ($000) $953 Avg Close — Range —

Q2 2013

Shares 65,607 Value ($000) $4,639 Avg Close — Range —

Period	Shares	Value ($000)	Average Close	Price Range
Q4 2016	23,837	$1,736	—	—
Q3 2016	7,368	$582	—	—
Q2 2015	9,686	$953	—	—
Q2 2013	65,607	$4,639	—	—