Frequently asked questions
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What is the Novartis Direct Share Purchase Plan?
Novartis International AG, Basel (referred to as “Novartis”) offers you the opportunity to participate in the Novartis Direct Share Purchase Plan. The Direct Share Purchase Plan enables you to acquire Novartis Registered Shares and to hold them free of charge in a Share Deposit Account. You may increase your holding by an uncomplicated and inexpensive procedure, by investing up to CHF 200,000 per calendar year in additional Novartis Shares and/or using dividends from Novartis AG for the acquisition of further Novartis Shares. The application to enter your Novartis Shares in the Novartis Share Register will be processed automatically through the Direct Share Purchase Plan.
The Direct Share Purchase Plan is operated by Novartis in cooperation with SIX SAG Ltd (referred to as “SIX”). You will maintain contact mainly with SIX, which administers the Direct Share Purchase Plan on behalf of Novartis.
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Who may participate in the Direct Share Purchase Plan?
The Direct Share Purchase Plan is essentially open to all investors who are already or wish to become Novartis shareholders. The Direct Share Purchase Plan will suit you if you are interested in a long-term investment in Novartis Shares and possibly in ex-tending continuously your holding of Novartis Shares. The Direct Share Purchase Plan is not appropriate for investors who acquire or dispose of Novartis Shares without delay so as to take advantage of short-term price fluctuations.
Natural persons (private individuals), as well as legal entities (e.g. joint stock companies) may participate in the Direct Share Purchase Plan, provided no statutory regulations preclude such participation. Each Participant may open no more than one Novartis Share Deposit Account. Several persons may not open a Novartis Share Deposit Account together (Joint Share Deposit Account).
The Direct Share Purchase Plan is open solely to Participants residing in Switzerland.
Under these Regulations, you will be regarded as a Participant as soon as you have been approved in the Direct Share Purchase Plan by Novartis.
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With whom is the Agreement concluded?
You enter into an Agreement with Novartis (Novartis International AG). This Agreement will be effective upon approval of your application to participate in the Novartis Direct Share Purchase Plan. Novartis has delegated the administration of its tasks arising out of the Agreement to SIX. These Regulations govern your Agreement with Novartis.
Should you have any questions on issues relating to the administration, please contact SIX at:
Novartis Direct Share Purchase Plan
c/o SIX SAG Ltd
P.O. Box
4609 Olten
Switzerland
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Which shares are eligible for the Direct Share Purchase Plan?
The Direct Share Purchase Plan applies solely to Novartis Registered Shares (Securities Number 1200526, ISIN Number CH0012005267). You cannot acquire any other securities through the Direct Share Purchase Plan (for example, no other shares and no options or ADS on Novartis Shares) or deposit them in your Novartis Share Deposit Account under the Direct Share Purchase Plan.
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What is the period of the Agreement for participation in the Direct Share Purchase Plan?
Your Agreement with Novartis will run for an indefinite period. The Agreement will not lapse, either through the loss of legal capacity or through death or bankruptcy of the Participant. You or Novartis may terminate the Agreement in writing at any time without notice.
