401k Plan data: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES plan

NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 401k Plan overview

Plan Name	NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES
Plan identification number	054

NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

NOVARTIS CORPORATION has sponsored the creation of one or more 401k plans.

Company Name: NOVARTIS CORPORATION

Employer identification number (EIN): 131834433

NAIC Classification: 325410

Additional information about NOVARTIS CORPORATION

Jurisdiction of Incorporation: New York Department of State

Incorporation Date: 1966-11-15

Company Identification Number: 203887

Legal Registered Office Address: 251 Little Falls Drive
New York
Wilmington
United States of America (USA)
19808

More information about NOVARTIS CORPORATION

Form 5500 Filing Information

Submission information for form 5500 for 401k plan NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
054 2019-01-01
054 2018-01-01
054 2017-01-01 DANIEL COLUMBUS
054 2016-01-01 DANIEL COLUMBUS
054 2015-01-01 DANIEL COLUMBUS
054 2014-01-01 DANIEL COLUMBUS
054 2013-01-01 DANIEL COLUMBUS
054 2012-01-01 DANIEL COLUMBUS
054 2011-01-01 WILLIAM A. FLANNERY, EXEC DIRECTOR
054 2010-01-01 WILLIAM A. FLANNERY, EXEC DIRECTOR
054 2009-01-01 WILLIAM A. FLANNERY, EXEC DIRECTOR
054 2009-01-01 WILLIAM A. FLANNERY, EXEC DIRECTOR
054 2009-01-01 WILLIAM A. FLANNERY, EXEC DIRECTOR
054 2009-01-01 WILLIAM A. FLANNERY, EXEC DIRECTOR

Plan Statistics for NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES

401k plan membership statisitcs for NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES

Measure Date Value
2019: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2019 401k membership
Total participants, beginning-of-year 2019-01-01 686
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 0
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 0
Total of all active and inactive participants 2019-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 0
Number of participants with account balances 2019-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 0
2018: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2018 401k membership
Total participants, beginning-of-year 2018-01-01 701
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 34
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 648
Total of all active and inactive participants 2018-01-01 682
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 4
Total participants 2018-01-01 686
Number of participants with account balances 2018-01-01 682
2017: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2017 401k membership
Total participants, beginning-of-year 2017-01-01 716
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 31
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 667
Total of all active and inactive participants 2017-01-01 698
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 3
Total participants 2017-01-01 701
Number of participants with account balances 2017-01-01 699
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 2
2016: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2016 401k membership
Total participants, beginning-of-year 2016-01-01 786
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 34
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 679
Total of all active and inactive participants 2016-01-01 713
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 3
Total participants 2016-01-01 716
Number of participants with account balances 2016-01-01 713
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 0
2015: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2015 401k membership
Total participants, beginning-of-year 2015-01-01 817
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 244
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 539
Total of all active and inactive participants 2015-01-01 783
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 3
Total participants 2015-01-01 786
Number of participants with account balances 2015-01-01 765
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 7
2014: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2014 401k membership
Total participants, beginning-of-year 2014-01-01 806
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 316
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 498
Total of all active and inactive participants 2014-01-01 814
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 3
Total participants 2014-01-01 817
Number of participants with account balances 2014-01-01 787
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 14
2013: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2013 401k membership
Total participants, beginning-of-year 2013-01-01 786
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 309
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 494
Total of all active and inactive participants 2013-01-01 803
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 3
Total participants 2013-01-01 806
Number of participants with account balances 2013-01-01 767
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 10
2012: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2012 401k membership
Total participants, beginning-of-year 2012-01-01 643
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 298
Number of retired or separated participants receiving benefits 2012-01-01 1
Number of other retired or separated participants entitled to future benefits 2012-01-01 486
Total of all active and inactive participants 2012-01-01 785
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 1
Total participants 2012-01-01 786
Number of participants with account balances 2012-01-01 720
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 3
2011: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2011 401k membership
Total participants, beginning-of-year 2011-01-01 715
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 180
Number of retired or separated participants receiving benefits 2011-01-01 1
Number of other retired or separated participants entitled to future benefits 2011-01-01 462
Total of all active and inactive participants 2011-01-01 643
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 643
Number of participants with account balances 2011-01-01 609
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 8
2010: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2010 401k membership
Total participants, beginning-of-year 2010-01-01 765
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 289
Number of retired or separated participants receiving benefits 2010-01-01 1
Number of other retired or separated participants entitled to future benefits 2010-01-01 425
Total of all active and inactive participants 2010-01-01 715
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 0
Total participants 2010-01-01 715
Number of participants with account balances 2010-01-01 674
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 8
2009: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2009 401k membership
Total participants, beginning-of-year 2009-01-01 744
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 333
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 432
Total of all active and inactive participants 2009-01-01 765
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 765
Number of participants with account balances 2009-01-01 713
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1

Measure	Date	Value
2019: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2019 401k membership
Total participants, beginning-of-year	2019-01-01	686
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	0
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	0
Total of all active and inactive participants	2019-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	0
Number of participants with account balances	2019-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	0
2018: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2018 401k membership
Total participants, beginning-of-year	2018-01-01	701
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	34
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	648
Total of all active and inactive participants	2018-01-01	682
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	4
Total participants	2018-01-01	686
Number of participants with account balances	2018-01-01	682
2017: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2017 401k membership
Total participants, beginning-of-year	2017-01-01	716
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	31
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	667
Total of all active and inactive participants	2017-01-01	698
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	3
Total participants	2017-01-01	701
Number of participants with account balances	2017-01-01	699
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	2
2016: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2016 401k membership
Total participants, beginning-of-year	2016-01-01	786
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	34
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	679
Total of all active and inactive participants	2016-01-01	713
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	3
Total participants	2016-01-01	716
Number of participants with account balances	2016-01-01	713
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	0
2015: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2015 401k membership
Total participants, beginning-of-year	2015-01-01	817
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	244
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	539
Total of all active and inactive participants	2015-01-01	783
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	3
Total participants	2015-01-01	786
Number of participants with account balances	2015-01-01	765
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	7
2014: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2014 401k membership
Total participants, beginning-of-year	2014-01-01	806
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	316
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	498
Total of all active and inactive participants	2014-01-01	814
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	3
Total participants	2014-01-01	817
Number of participants with account balances	2014-01-01	787
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	14
2013: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2013 401k membership
Total participants, beginning-of-year	2013-01-01	786
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	309
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	494
Total of all active and inactive participants	2013-01-01	803
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	3
Total participants	2013-01-01	806
Number of participants with account balances	2013-01-01	767
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	10
2012: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2012 401k membership
Total participants, beginning-of-year	2012-01-01	643
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	298
Number of retired or separated participants receiving benefits	2012-01-01	1
Number of other retired or separated participants entitled to future benefits	2012-01-01	486
Total of all active and inactive participants	2012-01-01	785
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	1
Total participants	2012-01-01	786
Number of participants with account balances	2012-01-01	720
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	3
2011: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2011 401k membership
Total participants, beginning-of-year	2011-01-01	715
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	180
Number of retired or separated participants receiving benefits	2011-01-01	1
Number of other retired or separated participants entitled to future benefits	2011-01-01	462
Total of all active and inactive participants	2011-01-01	643
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	643
Number of participants with account balances	2011-01-01	609
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	8
2010: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2010 401k membership
Total participants, beginning-of-year	2010-01-01	765
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	289
Number of retired or separated participants receiving benefits	2010-01-01	1
Number of other retired or separated participants entitled to future benefits	2010-01-01	425
Total of all active and inactive participants	2010-01-01	715
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	0
Total participants	2010-01-01	715
Number of participants with account balances	2010-01-01	674
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	8
2009: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2009 401k membership
Total participants, beginning-of-year	2009-01-01	744
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	333
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	432
Total of all active and inactive participants	2009-01-01	765
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	765
Number of participants with account balances	2009-01-01	713
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1

Financial Data on NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES

Measure	Date	Value
2019 : NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total transfer of assets from this plan	2019-12-31	$24,954,038
Total transfer of assets from this plan	2019-12-31	$24,954,038
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$4,579,341
Total income from all sources (including contributions)	2019-12-31	$4,579,341
Total loss/gain on sale of assets	2019-12-31	$0
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$267,183
Total of all expenses incurred	2019-12-31	$267,183
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$267,183
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$267,183
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$478,509
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$478,509
Value of total assets at end of year	2019-12-31	$0
Value of total assets at end of year	2019-12-31	$0
Value of total assets at beginning of year	2019-12-31	$20,641,880
Value of total assets at beginning of year	2019-12-31	$20,641,880
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$0
Total interest from all sources	2019-12-31	$11,297
Total interest from all sources	2019-12-31	$11,297
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$0
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$7,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$219,937
Contributions received from participants	2019-12-31	$219,937
Participant contributions at end of year	2019-12-31	$0
Participant contributions at end of year	2019-12-31	$0
Participant contributions at beginning of year	2019-12-31	$172,218
Participant contributions at beginning of year	2019-12-31	$172,218
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$20,090
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$20,090
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$4,312,158
Value of net income/loss	2019-12-31	$4,312,158
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$0
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$20,641,880
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$20,641,880
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Interest on participant loans	2019-12-31	$11,297
Interest on participant loans	2019-12-31	$11,297
Value of interest in master investment trust accounts at end of year	2019-12-31	$0
Value of interest in master investment trust accounts at end of year	2019-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2019-12-31	$20,351,858
Value of interest in master investment trust accounts at beginning of year	2019-12-31	$20,351,858
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$4,089,535
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$4,089,535
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$238,482
Contributions received in cash from employer	2019-12-31	$238,482
Employer contributions (assets) at end of year	2019-12-31	$0
Employer contributions (assets) at end of year	2019-12-31	$0
Employer contributions (assets) at beginning of year	2019-12-31	$117,804
Employer contributions (assets) at beginning of year	2019-12-31	$117,804
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$267,183
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$267,183
Did the plan have assets held for investment	2019-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	COHNREZNICK LLP
Accountancy firm name	2019-12-31	COHNREZNICK LLP
Accountancy firm EIN	2019-12-31	221478099
2018 : NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$-647,442
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$2,212,221
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$2,212,221
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$389,149
Value of total assets at end of year	2018-12-31	$20,641,880
Value of total assets at beginning of year	2018-12-31	$23,501,543
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$0
Total interest from all sources	2018-12-31	$6,324
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$7,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$225,013
Participant contributions at end of year	2018-12-31	$172,218
Participant contributions at beginning of year	2018-12-31	$113,457
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-2,859,663
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$20,641,880
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$23,501,543
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Interest on participant loans	2018-12-31	$6,324
Value of interest in master investment trust accounts at end of year	2018-12-31	$20,351,858
Value of interest in master investment trust accounts at beginning of year	2018-12-31	$23,268,565
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$164,136
Employer contributions (assets) at end of year	2018-12-31	$117,804
Employer contributions (assets) at beginning of year	2018-12-31	$119,521
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$2,212,221
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	COHNREZNICK LLP
Accountancy firm EIN	2018-12-31	221478099
2017 : NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$3,396,073
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$1,066,427
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$1,066,427
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$448,228
Value of total assets at end of year	2017-12-31	$23,501,543
Value of total assets at beginning of year	2017-12-31	$21,171,897
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$0
Total interest from all sources	2017-12-31	$5,676
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$7,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$224,839
Participant contributions at end of year	2017-12-31	$113,457
Participant contributions at beginning of year	2017-12-31	$142,429
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$2,329,646
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$23,501,543
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$21,171,897
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Interest on participant loans	2017-12-31	$5,676
Value of interest in master investment trust accounts at end of year	2017-12-31	$23,268,565
Value of interest in master investment trust accounts at beginning of year	2017-12-31	$21,029,468
Net investment gain or loss from common/collective trusts	2017-12-31	$2,942,169
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$223,389
Employer contributions (assets) at end of year	2017-12-31	$119,521
Employer contributions (assets) at beginning of year	2017-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$1,066,427
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2017-12-31	Yes
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	COHNREZNICK LLP
Accountancy firm EIN	2017-12-31	221478099
2016 : NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total transfer of assets from this plan	2016-12-31	$8,054,324
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$1,731,825
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$1,364,865
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$1,364,865
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$435,379
Value of total assets at end of year	2016-12-31	$21,171,897
Value of total assets at beginning of year	2016-12-31	$28,859,261
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$0
Total interest from all sources	2016-12-31	$7,982
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$7,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$221,073
Participant contributions at end of year	2016-12-31	$142,429
Participant contributions at beginning of year	2016-12-31	$745,844
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$366,960
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$21,171,897
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$28,859,261
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Interest on participant loans	2016-12-31	$7,982
Value of interest in master investment trust accounts at end of year	2016-12-31	$21,029,468
Value of interest in master investment trust accounts at beginning of year	2016-12-31	$28,113,417
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$214,306
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$1,364,865
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2016-12-31	Yes
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	COHNREZNICK LLP
Accountancy firm EIN	2016-12-31	221478099
2015 : NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$2,102,504
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$2,568,167
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$2,554,336
Expenses. Certain deemed distributions of participant loans	2015-12-31	$13,831
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$2,363,091
Value of total assets at end of year	2015-12-31	$28,859,261
Value of total assets at beginning of year	2015-12-31	$29,324,924
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$0
Total interest from all sources	2015-12-31	$32,819
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$7,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$1,278,464
Participant contributions at end of year	2015-12-31	$745,844
Participant contributions at beginning of year	2015-12-31	$674,875
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$73,100
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-465,663
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$28,859,261
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$29,324,924
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Interest on participant loans	2015-12-31	$32,819
Value of interest in master investment trust accounts at end of year	2015-12-31	$28,113,417
Value of interest in master investment trust accounts at beginning of year	2015-12-31	$28,268,666
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$1,011,527
Employer contributions (assets) at end of year	2015-12-31	$0
Employer contributions (assets) at beginning of year	2015-12-31	$381,383
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$2,554,336
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	COHNREZNICK LLP
Accountancy firm EIN	2015-12-31	221478099
2014 : NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2014 401k financial data
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets from this plan	2014-12-31	$84,881
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$4,197,459
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$2,617,592
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$2,597,262
Expenses. Certain deemed distributions of participant loans	2014-12-31	$20,330
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$2,603,066
Value of total assets at end of year	2014-12-31	$29,324,924
Value of total assets at beginning of year	2014-12-31	$27,829,938
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$0
Total interest from all sources	2014-12-31	$28,321
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$1,213,397
Participant contributions at end of year	2014-12-31	$674,875
Participant contributions at beginning of year	2014-12-31	$652,061
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$1,473
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$1,579,867
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$29,324,924
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$27,829,938
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Interest on participant loans	2014-12-31	$28,321
Value of interest in master investment trust accounts at end of year	2014-12-31	$28,268,666
Value of interest in master investment trust accounts at beginning of year	2014-12-31	$26,794,942
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$1,388,196
Employer contributions (assets) at end of year	2014-12-31	$381,383
Employer contributions (assets) at beginning of year	2014-12-31	$382,935
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$2,597,262
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	COHNREZNICK LLP
Accountancy firm EIN	2014-12-31	221478099
2013 : NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2013 401k financial data
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets from this plan	2013-12-31	$4,893
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$6,166,922
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$2,349,449
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$2,313,243
Expenses. Certain deemed distributions of participant loans	2013-12-31	$36,206
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$2,370,520
Value of total assets at end of year	2013-12-31	$27,829,938
Value of total assets at beginning of year	2013-12-31	$24,017,358
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$0
Total interest from all sources	2013-12-31	$26,444
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$993,866
Participant contributions at end of year	2013-12-31	$652,061
Participant contributions at beginning of year	2013-12-31	$590,668
Participant contributions at end of year	2013-12-31	$0
Participant contributions at beginning of year	2013-12-31	$11,447
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$117,998
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$3,817,473
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$27,829,938
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$24,017,358
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Interest on participant loans	2013-12-31	$26,444
Value of interest in master investment trust accounts at end of year	2013-12-31	$26,794,942
Value of interest in master investment trust accounts at beginning of year	2013-12-31	$23,132,822
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$1,258,656
Employer contributions (assets) at end of year	2013-12-31	$382,935
Employer contributions (assets) at beginning of year	2013-12-31	$282,421
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$2,313,243
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	COHNREZNICK LLP
Accountancy firm EIN	2013-12-31	221478099
2012 : NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total transfer of assets to this plan	2012-12-31	$11,237,006
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$3,686,975
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$4,019,767
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$4,028,526
Expenses. Certain deemed distributions of participant loans	2012-12-31	$-10,189
Value of total corrective distributions	2012-12-31	$1,430
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$1,823,658
Value of total assets at end of year	2012-12-31	$24,017,358
Value of total assets at beginning of year	2012-12-31	$13,113,144
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$0
Total interest from all sources	2012-12-31	$30,179
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$25,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$753,266
Participant contributions at end of year	2012-12-31	$590,668
Participant contributions at beginning of year	2012-12-31	$328,524
Participant contributions at end of year	2012-12-31	$11,447
Participant contributions at beginning of year	2012-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$94,676
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$-332,792
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$24,017,358
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$13,113,144
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Interest on participant loans	2012-12-31	$30,179
Value of interest in master investment trust accounts at end of year	2012-12-31	$23,132,822
Value of interest in master investment trust accounts at beginning of year	2012-12-31	$12,597,927
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$975,716
Employer contributions (assets) at end of year	2012-12-31	$282,421
Employer contributions (assets) at beginning of year	2012-12-31	$186,693
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$4,028,526
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	COHNREZNICK LLP
Accountancy firm EIN	2012-12-31	221478099
2011 : NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$1,399,737
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$3,381,222
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$3,378,880
Expenses. Certain deemed distributions of participant loans	2011-12-31	$2,342
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,334,737
Value of total assets at end of year	2011-12-31	$13,113,144
Value of total assets at beginning of year	2011-12-31	$15,094,629
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$0
Total interest from all sources	2011-12-31	$25,618
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$25,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$554,105
Participant contributions at end of year	2011-12-31	$328,524
Participant contributions at beginning of year	2011-12-31	$560,908
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$117,859
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$-1,981,485
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$13,113,144
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$15,094,629
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Interest on participant loans	2011-12-31	$25,618
Value of interest in master investment trust accounts at end of year	2011-12-31	$12,597,927
Value of interest in master investment trust accounts at beginning of year	2011-12-31	$14,221,504
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$662,773
Employer contributions (assets) at end of year	2011-12-31	$186,693
Employer contributions (assets) at beginning of year	2011-12-31	$312,217
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$3,378,880
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	JH COHN, LLP
Accountancy firm EIN	2011-12-31	221478099
2010 : NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2010 401k financial data
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$2,790,487
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$1,607,495
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$1,604,815
Expenses. Certain deemed distributions of participant loans	2010-12-31	$2,680
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$1,481,652
Value of total assets at end of year	2010-12-31	$15,094,629
Value of total assets at beginning of year	2010-12-31	$13,911,637
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$0
Total interest from all sources	2010-12-31	$38,141
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$25,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$599,675
Participant contributions at end of year	2010-12-31	$560,908
Participant contributions at beginning of year	2010-12-31	$680,994
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$32,124
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$1,182,992
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$15,094,629
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$13,911,637
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Interest on participant loans	2010-12-31	$38,141
Value of interest in master investment trust accounts at end of year	2010-12-31	$14,221,504
Value of interest in master investment trust accounts at beginning of year	2010-12-31	$12,879,292
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$849,853
Employer contributions (assets) at end of year	2010-12-31	$312,217
Employer contributions (assets) at beginning of year	2010-12-31	$351,351
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$1,604,815
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	JH COHN, LLP
Accountancy firm EIN	2010-12-31	221478099

Form 5500 Responses for NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES

2019: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	Yes
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2010: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	No
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: NOVARTIS CORPORATION RETIREMENT SAVINGS PLAN FOR PUERTO RICO EMPLOYEES 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	Yes
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	NOVARTIS CORPORATION
Employer identification number (EIN):	131834433
NAIC Classification:	325410

Jurisdiction of Incorporation:	New York Department of State
Incorporation Date:	1966-11-15
Company Identification Number:	203887
Legal Registered Office Address:	251 Little Falls Drive New York Wilmington United States of America (USA) 19808