401k Plan data: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN plan

NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 401k Plan overview

Plan Name	NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN
Plan identification number	542

NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN Benefits

401k Plan Type	Welfare Benefit
Plan Features/Benefits	Life insurance Long-term disability cover Death benefits (include travel accident but not life insurance)

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 DEATH BENEFIT AND DISABILITY PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
542 2022-01-01 ALYSSA NEWTON 2023-09-25
542 2021-01-01 ALYSSA NEWTON 2022-10-11
542 2020-01-01 DANIEL COLUMBUS 2021-10-06
542 2019-01-01 DANIEL COLUMBUS 2020-10-14
542 2018-01-01 DANIEL COLUMBUS 2019-10-09
542 2017-01-01
542 2016-01-01
542 2015-01-01
542 2014-01-01
542 2013-01-01
542 2012-01-01 DAN COLUMBUS
542 2011-01-01 DAN COLUMBUS

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed
542	2022-01-01	ALYSSA NEWTON	2023-09-25
542	2021-01-01	ALYSSA NEWTON	2022-10-11
542	2020-01-01	DANIEL COLUMBUS	2021-10-06
542	2019-01-01	DANIEL COLUMBUS	2020-10-14
542	2018-01-01	DANIEL COLUMBUS	2019-10-09
542	2017-01-01
542	2016-01-01
542	2015-01-01
542	2014-01-01
542	2013-01-01
542	2012-01-01	DAN COLUMBUS
542	2011-01-01	DAN COLUMBUS

Plan Statistics for NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN

401k plan membership statisitcs for NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN

Measure Date Value
2022: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 14,824
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 13,628
Number of retired or separated participants receiving benefits 2022-01-01 1,908
Number of other retired or separated participants entitled to future benefits 2022-01-01 0
Total of all active and inactive participants 2022-01-01 15,536
2021: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 14,833
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 12,851
Number of retired or separated participants receiving benefits 2021-01-01 1,973
Number of other retired or separated participants entitled to future benefits 2021-01-01 0
Total of all active and inactive participants 2021-01-01 14,824
2020: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 14,275
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 12,824
Number of retired or separated participants receiving benefits 2020-01-01 2,009
Total of all active and inactive participants 2020-01-01 14,833
2019: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 14,372
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 12,111
Number of retired or separated participants receiving benefits 2019-01-01 2,164
Total of all active and inactive participants 2019-01-01 14,275
2018: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 15,192
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 12,162
Number of retired or separated participants receiving benefits 2018-01-01 2,210
Number of other retired or separated participants entitled to future benefits 2018-01-01 0
Total of all active and inactive participants 2018-01-01 14,372
2017: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 14,716
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 12,951
Number of retired or separated participants receiving benefits 2017-01-01 2,241
Number of other retired or separated participants entitled to future benefits 2017-01-01 0
Total of all active and inactive participants 2017-01-01 15,192
2016: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 13,806
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 12,436
Number of retired or separated participants receiving benefits 2016-01-01 2,280
Total of all active and inactive participants 2016-01-01 14,716
2015: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 14,004
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 11,475
Number of retired or separated participants receiving benefits 2015-01-01 2,331
Total of all active and inactive participants 2015-01-01 13,806
2014: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 14,390
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 11,548
Number of retired or separated participants receiving benefits 2014-01-01 2,355
Total of all active and inactive participants 2014-01-01 13,903
2013: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 13,602
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 12,015
Number of retired or separated participants receiving benefits 2013-01-01 2,375
Total of all active and inactive participants 2013-01-01 14,390
2012: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 15,009
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 11,400
Number of retired or separated participants receiving benefits 2012-01-01 2,202
Total of all active and inactive participants 2012-01-01 13,602
2011: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 15,277
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 11,758
Number of retired or separated participants receiving benefits 2011-01-01 2,127
Total of all active and inactive participants 2011-01-01 13,885

Measure	Date	Value
2022: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	14,824
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	13,628
Number of retired or separated participants receiving benefits	2022-01-01	1,908
Number of other retired or separated participants entitled to future benefits	2022-01-01	0
Total of all active and inactive participants	2022-01-01	15,536
2021: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	14,833
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	12,851
Number of retired or separated participants receiving benefits	2021-01-01	1,973
Number of other retired or separated participants entitled to future benefits	2021-01-01	0
Total of all active and inactive participants	2021-01-01	14,824
2020: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	14,275
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	12,824
Number of retired or separated participants receiving benefits	2020-01-01	2,009
Total of all active and inactive participants	2020-01-01	14,833
2019: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	14,372
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	12,111
Number of retired or separated participants receiving benefits	2019-01-01	2,164
Total of all active and inactive participants	2019-01-01	14,275
2018: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	15,192
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	12,162
Number of retired or separated participants receiving benefits	2018-01-01	2,210
Number of other retired or separated participants entitled to future benefits	2018-01-01	0
Total of all active and inactive participants	2018-01-01	14,372
2017: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	14,716
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	12,951
Number of retired or separated participants receiving benefits	2017-01-01	2,241
Number of other retired or separated participants entitled to future benefits	2017-01-01	0
Total of all active and inactive participants	2017-01-01	15,192
2016: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	13,806
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	12,436
Number of retired or separated participants receiving benefits	2016-01-01	2,280
Total of all active and inactive participants	2016-01-01	14,716
2015: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	14,004
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	11,475
Number of retired or separated participants receiving benefits	2015-01-01	2,331
Total of all active and inactive participants	2015-01-01	13,806
2014: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	14,390
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	11,548
Number of retired or separated participants receiving benefits	2014-01-01	2,355
Total of all active and inactive participants	2014-01-01	13,903
2013: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	13,602
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	12,015
Number of retired or separated participants receiving benefits	2013-01-01	2,375
Total of all active and inactive participants	2013-01-01	14,390
2012: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	15,009
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	11,400
Number of retired or separated participants receiving benefits	2012-01-01	2,202
Total of all active and inactive participants	2012-01-01	13,602
2011: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	15,277
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	11,758
Number of retired or separated participants receiving benefits	2011-01-01	2,127
Total of all active and inactive participants	2011-01-01	13,885

Financial Data on NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN

Measure	Date	Value
2022 : NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2022 401k financial data
Total income from all sources (including contributions)	2022-12-31	$5,094,820
Total of all expenses incurred	2022-12-31	$11,472,869
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$10,912,799
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$11,417,578
Value of total assets at end of year	2022-12-31	$37,714,070
Value of total assets at beginning of year	2022-12-31	$44,092,119
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$560,070
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$689,151
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$689,151
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$7,000,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$2,896,062
Value of other receiveables (less allowance for doubtful accounts) at end of year	2022-12-31	$2,789
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-6,378,049
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$37,714,070
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$44,092,119
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$37,711,281
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$44,092,119
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-7,011,909
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$8,521,516
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$10,912,799
Contract administrator fees	2022-12-31	$560,070
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	2022-12-31	No
Did the plan have assets held for investment	2022-12-31	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	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	COHNREZNICK LLP
Accountancy firm EIN	2022-12-31	221478099
2021 : NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2021 401k financial data
Total income from all sources (including contributions)	2021-12-31	$16,302,292
Total of all expenses incurred	2021-12-31	$10,999,777
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$10,573,445
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$9,953,268
Value of total assets at end of year	2021-12-31	$44,092,119
Value of total assets at beginning of year	2021-12-31	$38,789,604
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$426,332
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$601,340
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$601,340
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$7,000,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$2,972,284
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$5,302,515
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$44,092,119
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$38,789,604
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$44,092,119
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$38,789,604
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$5,747,684
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$6,980,984
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$10,573,445
Contract administrator fees	2021-12-31	$426,332
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	2021-12-31	No
Did the plan have assets held for investment	2021-12-31	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	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	COHNREZNICK LLP
Accountancy firm EIN	2021-12-31	221478099
2020 : NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2020 401k financial data
Total income from all sources (including contributions)	2020-12-31	$13,518,961
Total of all expenses incurred	2020-12-31	$11,960,487
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$11,575,297
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$8,553,003
Value of total assets at end of year	2020-12-31	$38,789,604
Value of total assets at beginning of year	2020-12-31	$37,231,130
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$385,190
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$600,059
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$600,059
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$7,000,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$2,847,447
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2020-12-31	$39,716
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$1,558,474
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$38,789,604
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$37,231,130
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$38,789,604
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$37,191,414
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$4,365,899
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$5,705,556
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$11,575,297
Contract administrator fees	2020-12-31	$385,190
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	2020-12-31	No
Did the plan have assets held for investment	2020-12-31	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	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Unqualified
Accountancy firm name	2020-12-31	COHNREZNICK LLP
Accountancy firm EIN	2020-12-31	221478099
2019 : NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2019 401k financial data
Total income from all sources (including contributions)	2019-12-31	$14,169,098
Total income from all sources (including contributions)	2019-12-31	$14,169,098
Total of all expenses incurred	2019-12-31	$11,700,948
Total of all expenses incurred	2019-12-31	$11,700,948
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$11,281,574
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$11,281,574
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$7,917,426
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$7,917,426
Value of total assets at end of year	2019-12-31	$37,231,130
Value of total assets at end of year	2019-12-31	$37,231,130
Value of total assets at beginning of year	2019-12-31	$34,762,980
Value of total assets at beginning of year	2019-12-31	$34,762,980
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$419,374
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$419,374
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$794,480
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$794,480
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$794,480
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$794,480
Was this plan covered by a fidelity bond	2019-12-31	Yes
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$7,000,000
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
If this is an individual account plan, was there a blackout period	2019-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$2,658,137
Contributions received from participants	2019-12-31	$2,658,137
Value of other receiveables (less allowance for doubtful accounts) at end of year	2019-12-31	$39,716
Value of other receiveables (less allowance for doubtful accounts) at end of year	2019-12-31	$39,716
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2019-12-31	$7,226
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2019-12-31	$7,226
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
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	$2,468,150
Value of net income/loss	2019-12-31	$2,468,150
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$37,231,130
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$37,231,130
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$34,762,980
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$34,762,980
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
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 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
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$37,191,414
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$37,191,414
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$34,755,754
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$34,755,754
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$5,457,192
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$5,457,192
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	Yes
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	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
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	$5,259,289
Contributions received in cash from employer	2019-12-31	$5,259,289
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$11,281,574
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$11,281,574
Contract administrator fees	2019-12-31	$419,374
Contract administrator fees	2019-12-31	$419,374
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	2019-12-31	No
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	2019-12-31	No
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan have assets held for investment	2019-12-31	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	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	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	No
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
Accountancy firm EIN	2019-12-31	221478099
2018 : NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2018 401k financial data
Total income from all sources (including contributions)	2018-12-31	$8,207,829
Total of all expenses incurred	2018-12-31	$11,228,846
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$10,878,038
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$8,963,224
Value of total assets at end of year	2018-12-31	$34,762,980
Value of total assets at beginning of year	2018-12-31	$37,783,997
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$350,808
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$748,354
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$748,354
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
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$2,727,522
Value of other receiveables (less allowance for doubtful accounts) at end of year	2018-12-31	$7,226
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2018-12-31	$5,432
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	$-3,021,017
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$34,762,980
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$37,783,997
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$34,755,754
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$37,778,565
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-1,503,749
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	Yes
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	$6,235,702
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$10,878,038
Contract administrator fees	2018-12-31	$350,808
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	2018-12-31	No
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 DEATH BENEFIT AND DISABILITY PLAN 2017 401k financial data
Total income from all sources (including contributions)	2017-12-31	$16,432,503
Total of all expenses incurred	2017-12-31	$9,892,812
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$9,706,760
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$12,674,558
Value of total assets at end of year	2017-12-31	$37,783,997
Value of total assets at beginning of year	2017-12-31	$31,244,306
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$186,052
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$617,640
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$617,640
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	No
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$2,448,169
Value of other receiveables (less allowance for doubtful accounts) at end of year	2017-12-31	$5,432
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-12-31	$693
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	$6,539,691
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$37,783,997
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$31,244,306
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$37,778,565
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$31,243,613
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$3,140,305
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	$10,226,389
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$9,706,760
Contract administrator fees	2017-12-31	$186,052
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	No
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 DEATH BENEFIT AND DISABILITY PLAN 2016 401k financial data
Total income from all sources (including contributions)	2016-12-31	$12,705,506
Total of all expenses incurred	2016-12-31	$9,152,912
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$8,963,678
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$10,973,503
Value of total assets at end of year	2016-12-31	$31,244,306
Value of total assets at beginning of year	2016-12-31	$27,691,712
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$189,234
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$523,120
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$523,120
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	No
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$2,399,210
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-12-31	$693
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-12-31	$7
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	$3,552,594
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$31,244,306
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$27,691,712
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$31,243,613
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$24,395,537
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$3,296,168
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$3,296,168
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$1,208,883
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	Yes
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	$8,574,293
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$8,963,678
Contract administrator fees	2016-12-31	$189,234
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	No
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 DEATH BENEFIT AND DISABILITY PLAN 2015 401k financial data
Total transfer of assets from this plan	2015-12-31	$2,192,030
Total income from all sources (including contributions)	2015-12-31	$12,020,881
Total of all expenses incurred	2015-12-31	$9,560,822
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$9,284,850
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$12,140,200
Value of total assets at end of year	2015-12-31	$27,691,712
Value of total assets at beginning of year	2015-12-31	$27,423,683
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$275,972
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$472,451
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$472,451
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
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$2,292,801
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$7
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$6,524
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	$2,460,059
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$27,691,712
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$27,423,683
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$24,395,537
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$27,253,612
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$3,296,168
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$163,547
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$163,547
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-591,770
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	Yes
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	$9,847,399
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$9,284,850
Contract administrator fees	2015-12-31	$275,972
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	2015-12-31	No
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 DEATH BENEFIT AND DISABILITY PLAN 2014 401k financial data
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	$2,250,917
Total income from all sources (including contributions)	2014-12-31	$30,914,464
Total of all expenses incurred	2014-12-31	$26,675,017
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$25,522,045
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$28,318,359
Value of total assets at end of year	2014-12-31	$27,423,683
Value of total assets at beginning of year	2014-12-31	$25,435,153
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$1,152,972
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$453,203
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$453,203
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
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$2,304,051
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$6,524
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$22,495
Liabilities. Value of operating payables at end of year	2014-12-31	$0
Liabilities. Value of operating payables at beginning of year	2014-12-31	$2,250,917
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	$4,239,447
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$27,423,683
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$23,184,236
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$27,253,612
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$22,360,486
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$163,547
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$3,052,172
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$3,052,172
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$2,142,902
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	Yes
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	$26,014,308
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$25,522,045
Contract administrator fees	2014-12-31	$1,152,972
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	2014-12-31	No
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 DEATH BENEFIT AND DISABILITY PLAN 2013 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$2,250,917
Total income from all sources (including contributions)	2013-12-31	$29,188,816
Total of all expenses incurred	2013-12-31	$24,342,858
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$23,632,941
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$26,018,864
Value of total assets at end of year	2013-12-31	$25,435,153
Value of total assets at beginning of year	2013-12-31	$18,338,278
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$709,917
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$378,146
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$378,146
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
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$2,238,120
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$22,495
Liabilities. Value of operating payables at end of year	2013-12-31	$2,250,917
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	$4,845,958
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$23,184,236
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$18,338,278
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$22,360,486
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$16,962,215
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$3,052,172
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$1,376,063
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$1,376,063
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$2,791,806
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	Yes
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	$23,780,744
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$23,632,941
Contract administrator fees	2013-12-31	$709,917
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	2013-12-31	No
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 DEATH BENEFIT AND DISABILITY PLAN 2012 401k financial data
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	$10,450
Total income from all sources (including contributions)	2012-12-31	$14,671,776
Total of all expenses incurred	2012-12-31	$9,771,244
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$9,504,784
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$11,488,539
Value of total assets at end of year	2012-12-31	$18,338,278
Value of total assets at beginning of year	2012-12-31	$13,448,196
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$266,460
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$272,176
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$272,176
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$2,201,927
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$42,995
Liabilities. Value of operating payables at end of year	2012-12-31	$0
Liabilities. Value of operating payables at beginning of year	2012-12-31	$10,450
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	$4,900,532
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$18,338,278
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$13,437,746
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$16,962,215
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$13,320,920
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$1,376,063
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$84,281
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$84,281
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$2,911,061
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	Yes
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	$9,286,612
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$9,504,784
Contract administrator fees	2012-12-31	$266,460
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	2012-12-31	No
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 DEATH BENEFIT AND DISABILITY PLAN 2011 401k financial data
Total transfer of assets to this plan	2011-12-31	$11,163,311
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$10,450
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	$12,446,292
Total of all expenses incurred	2011-12-31	$10,171,857
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$9,841,467
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$12,001,672
Value of total assets at end of year	2011-12-31	$13,448,196
Value of total assets at beginning of year	2011-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$330,390
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$309,410
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$309,410
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$20,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$2,421,007
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$42,995
Liabilities. Value of operating payables at end of year	2011-12-31	$10,450
Liabilities. Value of operating payables at beginning of year	2011-12-31	$0
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	$2,274,435
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$13,437,746
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$0
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
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$13,320,920
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$84,281
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$135,210
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	Yes
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	$9,580,665
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$9,841,467
Contract administrator fees	2011-12-31	$330,390
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	2011-12-31	No
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	COHNREZNICK LLP
Accountancy firm EIN	2011-12-31	221478099

Form 5500 Responses for NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN

2022: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2022-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2021: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2021-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2020: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2020-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2019: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2019-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2018: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2018-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2017: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2017-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2016: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2016-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2015: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2015-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2014: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2014-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2013: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2013-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2012: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Mulitple employer plan
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2012-01-01	Plan benefit arrangement – General assets of the sponsor	Yes
2011: NOVARTIS CORPORATION DEATH BENEFIT AND DISABILITY PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Mulitple employer plan
2011-01-01	First time form 5500 has been submitted	Yes
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan funding arrangement – General assets of the sponsor	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2011-01-01	Plan benefit arrangement – General assets of the sponsor	Yes

Insurance Providers Used on plan

METROPOLITAN LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 65978 )

Policy contract number

0135383

Policy instance

Insurance contract or identification number	0135383
Number of Individuals Covered	1604
Insurance policy start date	2011-01-01
Insurance policy end date	2011-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $3,456
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Contracts With Unallocated Funds Deposit Administration	0
Life Insurance Welfare Benefit	Yes
Welfare Benefit Premiums Paid to Carrier	USD $497,129
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

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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