Notable Holders of NOVARTIS AG (NVS)
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* Does Not Fully Represent All Holders
| Fund | Title | Shares | % Owned | Source |
|---|---|---|---|---|
| DODGE & COX | SPONSORED ADR | 16,407,113 | 0.67% | 13F |
| PRIMECAP | SPONSORED ADR | 15,010,675 | 0.61% | 13F |
| LOOMIS SAYLES & CO L P | ADR | 6,315,010 | 0.26% | 13F |
| DIMENSIONAL FUND ADVISORS LP | SPONSORED ADR | 6,257,343 | 0.26% | 13F |
| UBS AG | SPONSORED ADR | 4,624,270 | 0.19% | 13F |
| BANK OF AMERICA CORP /DE/ | SPONSORED ADR | 4,549,016 | 0.19% | 13F |
| FRANKLIN RESOURCES INC | SPONSORED ADR | 4,479,307 | 0.18% | 13F |
| SCHWAB CHARLES INVESTMENT MANAGEMENT INC | SPONSORED ADR | 4,412,441 | 0.18% | 13F |
| MANNING & NAPIER ADVISORS LLC | SPONSORED ADR | 4,392,659 | 0.18% | 13F |
| MANAGED ACCOUNT ADVISORS LLC | SPONSORED ADR | 3,859,095 | 0.16% | 13F |
| THOMASPARTNERS, INC. | SPONSORED ADR | 3,842,741 | 0.16% | 13F |
| PARAMETRIC PORTFOLIO ASSOCIATES | ADR | 2,854,907 | 0.12% | 13F |
| Cullen Capital Management, LLC | ADR | 2,795,890 | 0.11% | 13F |
| Goldman Sachs Asset Management, L.P. | CMN | 2,744,183 | 0.11% | 13F |
| RENAISSANCE TECHNOLOGIES LLC | SPONSORED ADR | 2,354,845 | 0.10% | 13F |
| NORTHERN TRUST CORP | SPONSORED ADR | 2,351,181 | 0.10% | 13F |
| HENDERSON GROUP PLC | SPONSORED ADR | 2,234,418 | 0.09% | 13F |
| RAYMOND JAMES FINANCIAL INC | SPONSORED ADR | 1,845,605 | 0.08% | 13F |
| WELLS FARGO & CO/MN | SPONSORED ADR | 1,842,043 | 0.08% | 13F |
| PRINCIPAL FINANCIAL GROUP INC | SPONSORED ADR | 1,809,158 | 0.07% | 13F |
| JANUS CAPITAL MANAGEMENT LLC | ADR | 1,759,816 | 0.07% | 13F |
| Holocene Advisors, LP (CALL) | SPONSORED ADR | 1,550,000 | 0.06% | 13F |
| SCHARF INVESTMENTS, LLC | SPONSORED ADR | 1,501,086 | 0.06% | 13F |
| STATE STREET CORP | SPONSORED ADR | 1,450,061 | 0.06% | 13F |
| ENVESTNET ASSET MANAGEMENT INC | SPONSORED ADR | 1,363,054 | 0.06% | 13F |
| UBS Group AG | SPONSORED ADR | 1,361,274 | 0.06% | 13F |
| MCLEAN BUDDEN LTD | ADR (1 ORD CHF) | 1,305,430 | 0.05% | 13F |
| Fidelity Investments | SPONSORED ADR | 1,185,320 | 0.05% | 13F |
| Aperio Group, LLC | SPONSORED ADR | 1,183,853 | 0.05% | 13F |
| SAROFIM FAYEZ | COMMON | 1,112,124 | 0.05% | 13F |
| Manning & Napier Group, LLC | COMMON | 1,085,831 | 0.04% | 13F |
| Sanders Capital, LLC | SPONSORED ADR | 1,072,710 | 0.04% | 13F |
| VOLORIDGE INVESTMENT MANAGEMENT, LLC | SPONSORED ADR | 1,067,567 | 0.04% | 13F |
| Marshall Wace LLP | ADR | 1,042,312 | 0.04% | 13F |
| EDGE ASSET MANAGEMENT, INC | SPONSORED ADR | 1,023,813 | 0.04% | 13F |
| ROCKEFELLER FINANCIAL SERVICES INC | ADR | 1,006,322 | 0.04% | 13F |
| BANK OF MONTREAL /CAN/ | SPONSORED ADR | 984,599 | 0.04% | 13F |
| NATIXIS ASSET MANAGEMENT ADVISORS, L.P. | SPON ADR | 930,410 | 0.04% | 13F |
| Capital Research Global Investors | SPONSORED ADR | 903,243 | 0.04% | 13F |
| BB&T CORP | SPONSORED ADR | 887,296 | 0.04% | 13F |
| MADISON INVESTMENT HOLDINGS INC | SPONSORED ADR | 881,421 | 0.04% | 13F |
| CGOV Asset Management | SPONSORED ADR | 874,998 | 0.04% | 13F |
| Fisher Asset Management, LLC | COM | 863,530 | 0.04% | 13F |
| EARNEST PARTNERS LLC | ADR | 840,008 | 0.03% | 13F |
| Optiver Holding B.V. (CALL) | SPONSORED ADR | 800,900 | 0.03% | 13F |
| BlackRock Investment Management, LLC | SPONSORED ADR | 764,761 | 0.03% | 13F |
| Chevy Chase Trust Holdings, Inc. | SPONSORED ADR | 730,628 | 0.03% | 13F |
| UNITED STATES STEEL & CARNEGIE PENSION FD | EQADR | 728,979 | 0.03% | 13F |
| MILLENNIUM MANAGEMENT LLC (CALL) | SPONSORED ADR | 717,500 | 0.03% | 13F |
| Bank of New York Mellon CORP | SPON | 711,245 | 0.03% | 13F |
| FIRST TRUST ADVISORS LP | SPONSORED ADR | 710,885 | 0.03% | 13F |
| Mondrian Investment Partners LTD | ADR | 687,627 | 0.03% | 13F |
| Grantham, Mayo, Van Otterloo & Co. LLC | SPONSORED ADR | 682,956 | 0.03% | 13F |
| BRISTOL JOHN W & CO INC /NY/ | SPONSORED ADR | 682,530 | 0.03% | 13F |
| MACQUARIE GROUP LTD | SPONSORED ADR | 660,281 | 0.03% | 13F |
| REED CONNER & BIRDWELL LLC | SPONSORED ADR | 586,762 | 0.02% | 13F |
| ROYAL BANK OF CANADA \ | SPONSORED ADR | 577,922 | 0.02% | 13F |
| AMERIPRISE FINANCIAL INC | ADR | 569,722 | 0.02% | 13F |
| SEI INVESTMENTS CO | SPONSORED ADR | 565,012 | 0.02% | 13F |
| OPPENHEIMER FUNDS INC | SPONSORED ADR | 542,803 | 0.02% | 13F |
| RAYMOND JAMES & ASSOCIATES | SPONSORED ADR | 542,617 | 0.02% | 13F |
| LANE DOUGLAS C & ASSOCIATES INC | COMMON | 530,725 | 0.02% | 13F |
| Twin Tree Management, LP (CALL) | CALL | 489,800 | 0.02% | 13F |
| Harvest Portfolios Group Inc. | SPONSORED ADR | 489,538 | 0.02% | 13F |
| Atlantic Trust Group, LLC | COM | 482,305 | 0.02% | 13F |
| Connor, Clark & Lunn Investment Management Ltd. | SPONSORED ADR | 472,414 | 0.02% | 13F |
| CI Private Wealth, LLC | SPONSORED ADR | 454,351 | 0.02% | 13F |
| Creative Planning | SPONSORED ADR | 447,582 | 0.02% | 13F |
| WILKINSON OGRADY & CO INC /NY | SPONSORED ADR | 441,653 | 0.02% | 13F |
| WOODLEY FARRA MANION PORTFOLIO MANAGEMENT INC | SPONSORED ADR | 411,795 | 0.02% | 13F |
| TCTC Holdings, LLC | SPONSORED ADR | 400,126 | 0.02% | 13F |
| NORTHERN TRUST CO OF CONNECTICUT | SPONSORED ADR | 394,869 | 0.02% | 13F |
| Clark Capital Management Group, Inc. | SPONSORED ADR | 393,666 | 0.02% | 13F |
| Morningstar Investment Services, Inc. | SPONSORED ADR | 381,455 | 0.02% | 13F |
| Goss Wealth Management LLC | SPONSORED ADR | 363,721 | 0.01% | 13F |
| SIMPLEX TRADING, LLC (CALL) | CALL | 354,700 | 0.01% | 13F |
| Raymond James Financial Services Advisors, Inc. | SPONSORED ADR | 340,927 | 0.01% | 13F |
| Magnetar Financial LLC | SPONSORED ADR | 329,712 | 0.01% | 13F |
| Saturna Capital CORP | ADR | 329,461 | 0.01% | 13F |
| MANAGED ASSET PORTFOLIOS, LLC | COM | 327,366 | 0.01% | 13F |
| LPL Financial LLC | SPONSORED ADR | 325,532 | 0.01% | 13F |
| BROWN ADVISORY HOLDINGS INC | SPONSORED ADR | 318,731 | 0.01% | 13F |
| CAMBRIDGE TRUST CO | SPONSORED ADR | 307,921 | 0.01% | 13F |
| SUNTRUST BANKS INC | SPONSORED ADR | 303,719 | 0.01% | 13F |
| MID CONTINENT CAPITAL LLC/IL | Com | 300,845 | 0.01% | 13F |
| EATON VANCE MANAGEMENT | FOREIGN | 293,532 | 0.01% | 13F |
| SEI TRUST CO | FS | 288,822 | 0.01% | 13F |
| Neuberger Berman Group LLC | ADR | 278,204 | 0.01% | 13F |
| Janney Montgomery Scott LLC | Common Stock | 277,896 | 0.01% | 13F |
| STIFEL FINANCIAL CORP | SPONSORED ADR | 272,382 | 0.01% | 13F |
| US BANCORP \DE\ | SPONSORED ADR | 267,269 | 0.01% | 13F |
| D. E. Shaw & Co., INC. | SPONSORED ADR | 266,942 | 0.01% | 13F |
| HighTower Advisors, LLC | SPONSORED ADR | 263,165 | 0.01% | 13F |
| FINANCIAL COUNSELORS INC | COM | 261,642 | 0.01% | 13F |
| OPPENHEIMER ASSET MANAGEMENT INC | SPONSORED ADR | 258,806 | 0.01% | 13F |
| Walleye Trading LLC (PUT) | SPONSORED ADR | 258,000 | 0.01% | 13F |
| BB&T SECURITIES, LLC | SPONSORED ADR | 257,438 | 0.01% | 13F |
| CAMBIAR INVESTORS LLC | SPONSORED ADR | 255,953 | 0.01% | 13F |
| UniSuper Management Pty Ltd | SPONSORED ADR | 251,742 | 0.01% | 13F |
| COMMONWEALTH EQUITY SERVICES, LLC. | SPONSORED ADR | 245,557 | 0.01% | 13F |
| Commonwealth Equity Services, Inc | SPONSORED ADR | 244,841 | 0.01% | 13F |
