Efficacy and Safety of Semaglutide Once-weekly Versus Placebo as add-on to SGLT-2i in Subjects With Type 2 Diabetes Mellitus. A 30-week Randomised, Double-blind, Placebo-controlled Trial
Phase: PHASE3
Conditions: Diabetes, Diabetes Mellitus, Type 2
Sponsor: Novo Nordisk A/S

Cover Page for Protocol 
 
Sponsor name: 
Novo Nordisk A/S 
NCT number 
NCT03086330  
Sponsor trial ID: 
NN9535-4269 
Official title of study: 
Efficacy and safety of semaglutide once-weekly versus placebo 
as add-on to SGLT-2i in subjects with type 2 diabetes mellitus 
Document date: 
18 February 2019 
 

Link
Link
List of contents
Protocol ...............................................................................................................................................
Protocol amendment 1 .......................................................................................................................
CONFIDENTIAL
Date:
Novo Nordisk
Version:
Status:
Semaglutide
Trial ID: NN9535-4269
Clinical Trial Report
Appendix 16.1.1
18 February 2019
1.0
Final
16.1.1 Protocol and protocol amendments
CONFIDENTIAL
 
 
 
 
 
Redacted protocol 
Includes redaction of personal identifiable information only. 
 
 
 
. 
 
 

Protocol
CONFIDENTIAL
Date:
21 October 2016
Novo Nordisk
Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213 
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
1 of 109
Protocol
Trial ID: NN9535-4269
SUSTAIN 9 – Add-on to SGLT-2i 
Efficacy and safety of semaglutide once-weekly versus placebo as add-
on to SGLT-2i in subjects with type 2 diabetes mellitus
A 30-week randomised, double-blind, placebo-controlled trial
Trial phase: 3b
Protocol originator
, 
Trial Operations 1, Semaglutide Diabetes & Diabetes Outcomes 
This confidential document is the property of Novo Nordisk. No unpublished information contained herein may be 
disclosed without prior written approval from Novo Nordisk. Access to this document must be restricted to relevant 
parties.
CONFIDENTIAL
This confidential document is the property of Novo Nordisk. No unpublished information contained herein may be 
disclosed without prior written approval from Novo Nordisk. Access to this document must be restricted to relevant 
parties.

Protocol
CONFIDENTIAL
Date:
21 October 2016
Novo Nordisk
Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213 
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
2 of 109
Table of Contents
Page
Table of Contents..............................................................................................................................................2
Table of Tables..................................................................................................................................................6
Table of Figures................................................................................................................................................6
List of abbreviations.........................................................................................................................................7
1
Summary..................................................................................................................................................10
2
Flow chart ................................................................................................................................................13
3
Background information and rationale for the trial............................................................................16
3.1
Background information..............................................................................................................16
3.1.1
Type 2 diabetes..........................................................................................................16
3.1.2
Glucagon-like peptide-1 ............................................................................................16
3.1.3
Semaglutide ...............................................................................................................16
3.1.4
Nonclinical data.........................................................................................................17
3.1.4.1
Semaglutide.........................................................................................17
3.1.5
Clinical data – semaglutide........................................................................................18
3.1.5.1
Pharmacokinetics ................................................................................18
3.1.5.2
Efficacy ...............................................................................................18
3.1.5.3
Safety...................................................................................................19
3.2
Rationale for the trial...................................................................................................................20
4
Objective(s) and endpoint(s) ..................................................................................................................21
4.1
Objective(s)..................................................................................................................................21
4.2
Endpoint(s)...................................................................................................................................21
4.2.1
Primary endpoint........................................................................................................21
4.2.2
Secondary endpoints..................................................................................................21
4.2.2.1
Confirmatory secondary endpoints .....................................................21
4.2.2.2
Supportive secondary endpoints..........................................................21
5
Trial design ..............................................................................................................................................23
5.1
Type of trial .................................................................................................................................23
5.2
Rationale for trial design..............................................................................................................24
5.3
Treatment of subjects...................................................................................................................24
5.4
Injection site.................................................................................................................................25
5.5
Missed dose..................................................................................................................................25
5.6
Treatment after discontinuation of trial product ..........................................................................25
5.7
Rationale for treatment ................................................................................................................25
6
Trial population.......................................................................................................................................26
6.1
Number of subjects......................................................................................................................26
6.2
Inclusion criteria ..........................................................................................................................26
6.3
Exclusion criteria.........................................................................................................................26
6.4
Rescue criteria..............................................................................................................................28
6.5
Criteria for premature discontinuation of trial product................................................................28
CONFIDENTIAL

Protocol
CONFIDENTIAL
Date:
21 October 2016
Novo Nordisk
Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213 
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
3 of 109
6.6
Withdrawal from trial ..................................................................................................................29
6.7
Subject replacement.....................................................................................................................29
6.8
Rationale for trial population.......................................................................................................29
7
Milestones.................................................................................................................................................30
8
Methods and assessments .......................................................................................................................31
8.1
Visit procedures...........................................................................................................................31
8.1.1
Investigator site log....................................................................................................31
8.1.2
Screening, visit 1........................................................................................................31
8.1.3
Screening failures ......................................................................................................31
8.1.4
Re-screening ..............................................................................................................32
8.1.5
Fasting visits ..............................................................................................................32
8.1.6
Premature discontinuation of trial product ................................................................32
8.1.7
Withdrawal from trial ................................................................................................32
8.1.8
Investigator assessment..............................................................................................33
8.2
Subject related information/assessments .....................................................................................34
8.2.1
Demography...............................................................................................................34
8.2.2
Diabetes history and diabetes complications .............................................................34
8.2.3
Hypoglycaemia unawareness.....................................................................................34
8.2.4
Concomitant illness and medical history...................................................................34
8.2.5
Concomitant medication............................................................................................35
8.2.6
Childbearing potential................................................................................................35
8.2.7
Tobacco use ...............................................................................................................36
8.3
Efficacy assessments....................................................................................................................37
8.3.1
Height, body weight and body mass index................................................................37
8.3.2
Waist circumference ..................................................................................................37
8.3.3
Blood pressure ...........................................................................................................37
8.3.4
Self-measured plasma glucose...................................................................................37
8.3.5
7-point self-measured plasma glucose profile ...........................................................38
8.4
Safety assessments.......................................................................................................................38
8.4.1
Physical examination.................................................................................................38
8.4.2
Pulse...........................................................................................................................38
8.4.3
Electrocardiogram – 12 lead......................................................................................39
8.4.4
Dilated fundoscopy/fundus photography...................................................................39
8.4.5
Adverse events...........................................................................................................40
8.4.5.1
Medication error..................................................................................40
8.4.5.2
Adverse events requiring additional data collection ...........................40
8.4.6
Hypoglycaemic episodes ...........................................................................................40
8.5
Laboratory assessments ...............................................................................................................44
8.5.1
Laboratory assessments for efficacy..........................................................................45
8.5.2
Laboratory assessments for safety .............................................................................45
8.6
Other assessments........................................................................................................................46
8.6.1
Subject diary ..............................................................................................................46
8.6.2
Electronic patient reported outcome questionnaires..................................................47
8.6.2.1
Short-Form 36 Health Survey .............................................................47
8.6.2.2
Diabetes Treatment Satisfaction Questionnaire ..................................47
8.6.3
Training in the delivery device ..................................................................................48
8.6.4
Training in blood glucose meter use..........................................................................48
CONFIDENTIAL

Protocol
CONFIDENTIAL
Date:
21 October 2016
Novo Nordisk
Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213 
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
4 of 109
8.7
Subject compliance......................................................................................................................48
9
Trial supplies ...........................................................................................................................................49
9.1
Trial products...............................................................................................................................49
9.2
Labelling......................................................................................................................................49
9.3
Storage .........................................................................................................................................50
9.4
Drug accountability and destruction............................................................................................50
9.5
Auxiliary supplies........................................................................................................................51
10 Interactive voice/web response system ..................................................................................................52
11 Randomisation procedure and breaking of blinded codes..................................................................53
11.1
Breaking of blinded codes ...........................................................................................................53
12 Adverse events, and technical complaints and pregnancies................................................................54
12.1
Definitions ...................................................................................................................................54
12.1.1
Adverse event ............................................................................................................54
12.1.2
Serious adverse event.................................................................................................55
12.1.3
Non-serious adverse event.........................................................................................56
12.1.4
Medication errors.......................................................................................................56
12.1.5
Adverse events requiring additional data collection..................................................57
12.1.6
Technical complaints.................................................................................................58
12.2
Reporting of adverse events.........................................................................................................59
12.3
Follow-up of adverse events........................................................................................................61
12.4
Technical complaints and technical complaint samples ..............................................................62
12.4.1
Reporting of technical complaints .............................................................................62
12.4.2
Collection, storage and shipment of technical complaint samples ............................62
12.5
Pregnancies..................................................................................................................................63
12.5.1
Pregnancies in female subjects ..................................................................................63
12.6
Precautions and/or overdose ........................................................................................................65
12.7
Committees related to safety........................................................................................................65
12.7.1
Novo Nordisk safety committee ................................................................................65
12.7.2
Event adjudication committee....................................................................................65
13 Case report forms....................................................................................................................................68
13.1
Corrections to case report forms..................................................................................................68
13.2
Case report form flow..................................................................................................................69
13.3
Electronic collection of questionnaires........................................................................................69
14 Monitoring procedures ...........................................................................................................................70
15 Data management....................................................................................................................................72
16 Computerised systems.............................................................................................................................73
17 Statistical considerations ........................................................................................................................74
17.1
General considerations.................................................................................................................74
17.1.1
Data transformations..................................................................................................74
17.1.2
Definition of baseline.................................................................................................75
17.1.3
Primary estimand.......................................................................................................75
17.1.4
Trial completion.........................................................................................................75
17.1.5
Missing data considerations at week 30.....................................................................75
17.2
Sample size calculation................................................................................................................76
CONFIDENTIAL

Protocol
CONFIDENTIAL
Date:
21 October 2016
Novo Nordisk
Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213 
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
5 of 109
17.3
Confirmatory hypotheses.............................................................................................................77
17.4
Definition of analysis sets............................................................................................................78
17.4.1
Data selections and observation periods....................................................................78
17.5
Primary endpoint..........................................................................................................................80
17.5.1
Primary analysis for the primary estimand ................................................................80
17.5.2
Statistical subgroup analyses of HbA1c......................................................................81
17.5.3
Sensitivity analyses....................................................................................................81
17.5.3.1
Sensitivity analysis for the primary estimand .....................................81
17.5.3.2
Other sensitivity analyses....................................................................82
17.6
Secondary endpoints....................................................................................................................82
17.6.1
Confirmatory secondary endpoints............................................................................82
17.6.2
Supportive secondary endpoints ................................................................................83
17.6.2.1
Efficacy endpoints...............................................................................83
17.6.2.2
Safety endpoints..................................................................................84
17.7
Health economics and/or patient reported outcomes...................................................................89
17.8
Interim analysis............................................................................................................................89
18 Ethics........................................................................................................................................................90
18.1
Benefit-risk assessment of the trial..............................................................................................90
18.1.1
Risks and precautions ................................................................................................90
18.1.2
Identified risks ...........................................................................................................90
18.1.3
Potential risks.............................................................................................................90
18.1.4
Other safety considerations........................................................................................92
18.1.5
Benefits......................................................................................................................93
18.2
Risk and benefit conclusion.........................................................................................................93
18.3
Informed consent .........................................................................................................................93
18.4
Data handling...............................................................................................................................94
18.5
Information to subjects during trial..............................................................................................94
18.6
Premature termination of the trial and/or trial site.......................................................................95
19 Protocol compliance................................................................................................................................96
19.1
Protocol deviations ......................................................................................................................96
19.2
Prevention of missing data...........................................................................................................96
20 Audits and inspections ............................................................................................................................97
21 Critical documents ..................................................................................................................................97
22 Responsibilities........................................................................................................................................99
23 Reports and publications......................................................................................................................100
23.1
Communication of results..........................................................................................................100
23.1.1
Authorship ...............................................................................................................101
23.1.2
Site-specific publication(s) by investigator(s) .........................................................101
23.2
Investigator access to data and review of results.......................................................................101
24 Retention of clinical trial documentation............................................................................................103
24.1
Retention of clinical trial documentation...................................................................................103
25 Institutional Review Boards/Independent Ethics Committees and regulatory authorities............104
26 Indemnity statement .............................................................................................................................105
CONFIDENTIAL

Protocol
CONFIDENTIAL
Date:
21 October 2016
Novo Nordisk
Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213 
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
6 of 109
27 References..............................................................................................................................................106
Appendix A
Monitoring of Calcitonin
Appendix B
Adverse events requiring additional data collection
Attachment I  Global list of key staff and relevant departments and suppliers 
Attachment II Country list of key staff and relevant departments
Table of Tables
Page
Table 9–1
Trial products..........................................................................................................................49
Table 9–2
Storage conditions ..................................................................................................................50
Table 12–1
AEs requiring completion of specific event forms and/or are subject to event 
adjudication ............................................................................................................................58
Table 12–2
AEs for adjudication...............................................................................................................66
Table 17–1
Assumptions used in the power calculation............................................................................77
Table 17–2
Calculated powers for meeting individual hypotheses:..........................................................77
Table of Figures 
Page
Figure 5–1
Trial design.............................................................................................................................23
Figure 12–1
Reporting of AEs...................................................................................................................60
Figure 17–1
Graphical illustration of the closed testing procedure. ...........................................................77
Figure 17–2
Novo Nordisk classification of hypoglycaemia......................................................................86
Figure 17–3
ADA classification of hypoglycaemia....................................................................................87
CONFIDENTIAL

Protocol
CONFIDENTIAL
Date:
21 October 2016
Novo Nordisk
Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213 
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
7 of 109
List of abbreviations
AACE
American Association of Clinical Endocrinologists
ADA
American Diabetes Association
AE
adverse event
ALT
alanine aminotransferase
ANCOVA
analysis of covariance
AST
aspartate aminotransferase
AUC
area under the curve
BG
blood glucose
BMI
body mass index
CLAE
clinical laboratory adverse event
DFU
direction for use 
DPP-4
dipeptidyl peptidase-4
DTSQ
Diabetes Treatment Satisfaction Questionnaire
DUN
dispensing unit number
EAC
event adjudication committee
ECG
electrocardiogram
eCRF
electronic case report form
eGFR
estimated glomerular filtration rate 
ePRO
electronic patient reported outcome
FAS
full analysis set
FDA
U.S. Food and Drug Administration
FDAAA
Food and Drug Administration Amendment Act 
FPFV
first patient first visit
FPG
fasting plasma glucose
GCP
Good Clinical Practice
GLP-1
glucagon-like peptide-1
GLP-1 RA
glucagon-like peptide-1 receptor agonist
CONFIDENTIAL

Protocol
CONFIDENTIAL
Date:
21 October 2016
Novo Nordisk
Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213 
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
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HbA1c
glycosylated haemoglobin
HDL
high-density lipoprotein
IB
investigator’s brochure 
ICH
International Conference on Harmonisation of Technical 
Requirements for Registration of Pharmaceuticals for 
Human Use
IDMS
isotope dilution mass spectrometry
IEC
independent ethics committee
IgE
immunoglobulin E
IMP
investigational medicinal product
IRB
institutional review board
IUD
intrauterine device 
IUS
intrauterine hormone-releasing system 
IWRS
interactive web response system
KDIGO
Kidney Disease: Improving Global Outcomes
LDL
low-density lipoprotein
LLOQ
lower limit of quantification
LPLV
last patient last visit
MACE
major adverse cardiovascular event
MAR 
missing at random
MCMC
Markov Chain Monte Carlo
MedDRA
Medical Dictionary for Regulatory Activities
MEN2
multiple endocrine neoplasia type 2 
MTC
medullary thyroid carcinoma 
MI
myocardial infarction
NIMP
non-investigational medicinal products 
NOAEL
no observable adverse effect level
NSTEMI
non-ST elevation acute myocardial infarction 
PG
plasma glucose
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Protocol
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Date:
21 October 2016
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Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213 
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
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PK
pharmacokinetics
PT
preferred term
s.c.
subcutaneous(ly)
SAE
serious adverse event
SAP
statistical analysis plan
SAS
safety analysis set
SD
standard deviation
SF-36v2TM
Short-Form 36 Health Survey 
SGLT-2
sodium-glucose co-transporter-2 
SIF 
safety information form
SmPC
summary of product characteristics
SMPG
self-measured plasma glucose
STEMI
ST-elevation acute myocardial infarction 
SU
sulphonylurea 
SUSAR
suspected unexpected serious adverse reaction
T2D
type 2 diabetes 
TEAE
treatment-emergent adverse event
TIA
transient ischaemic attack 
TMM
Trial Materials Manual
UNL
upper normal level
UTN
Universal Trial Number
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Protocol
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Date:
21 October 2016
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Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213 
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
10 of 109
1
Summary
Objective(s) and endpoint(s):
Primary objective
To compare the effect of semaglutide s.c. 1.0 mg once-weekly versus placebo as add-on to sodium-
glucose co-transporter-2 inhibitor monotherapy or in combination with either metformin or 
sulfonylurea on glycaemic control after 30 weeks of treatment in subjects with type 2 diabetes.
Primary endpoint
Change from baseline to week 30 in HbA1c
Key secondary objectives
To compare the effect of semaglutide s.c. 1.0 mg once-weekly versus placebo as add-on to sodium-
glucose co-transporter-2 inhibitor monotherapy or in combination with either metformin or 
sulfonylurea after 30 weeks of treatment in subjects with type 2 diabetes with regards to:
!
Weight management
!
Other parameters of effect, safety and patient reported outcomes
Key secondary endpoints
!
Change from baseline to week 30 in body weight (kg)
Change from baseline to week 30 in:
!
Fasting plasma glucose
!
Systolic and diastolic blood pressure
!
Scores for selected patient reported outcomes: Diabetes Treatment Satisfaction Questionnaire 
Subjects who after 30 weeks treatment achieve (yes/no):
!
HbA1c ≤6.5% (48 mmol/mol), American Association of Clinical Endocrinologists target
Trial design:
The trial is a 30-week, confirmatory, randomised, double-blind, placebo-controlled, multicentre, 
multinational, two-arm, parallel-group trial.
Subjects with type 2 diabetes inadequately controlled on a sodium-glucose co-transporter-2
inhibitor monotherapy or in combination with either metformin or sulfonylurea will be randomised 
in a 1:1 manner to receive either semaglutide 1.0 mg once-weekly or placebo once-weekly. The 
randomisation will be stratified based on anti-diabetic background medication at screening (subject 
using sulfonylurea or not using sulfonylurea) and country (Japan/other) to aim for a 1:1 distribution 
of the two treatment arms within each stratum. 
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Date:
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Trial ID: NN9535-4269
Version:
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After the treatment period of approximately 30 weeks in total, all subjects enter a follow-up period 
of 5 weeks, ending by a follow-up phone contact. Total trial duration for the individual subjects is 
approximately 37 weeks.
Trial population:
A planned total number of 300 subjects will be randomised in a 1:1 manner.
Key inclusion criteria
!
Informed consent obtained before any trial-related activities. Trial-related activities are any 
procedures that are carried out as part of the trial, including activities to determine suitability 
for the trial.
!
Male or female, above or equal to 18 years at the time of signing informed consent.
For Japan only: Male or female, age ≥ 20 years at the time of signing informed consent. 
!
Diagnosed with type 2 diabetes mellitus
!
HbA1c of 7.0-10.0% (53-86 mmol/mol) (both inclusive)
!
Stable dose of an SGLT-2 inhibitor as monotherapy or in combination (including fixed-dose 
drug combination) with a stable dose of metformin (≥ 1500 mg or maximum tolerated dose) 
or a SU for at least 90 days prior to the day of screening. All medications in compliance 
with current local label.
Key exclusion criteria
!
Female who is pregnant, breast-feeding or intends to become pregnant or is of child-bearing 
potential and not using an adequate contraceptive method (adequate contraceptive measure 
as required by local regulation or practice). 
!
Any disorder which in the investigator’s opinion might jeopardise subject’s safety or 
compliance with the protocol.
!
Treatment with any medication for the indication of diabetes or obesity other than stated in 
the inclusion criteria within the past 90 days prior to the day of screening. However, short 
term insulin treatment for a maximum of 14 days prior to the day of screening is allowed.
!
Subjects with alanine aminotransferase > 2.5 x upper normal limit.
!
Family or personal history of multiple endocrine neoplasia type 2 or medullary thyroid 
carcinoma. Family is defined as a first degree relative.
!
History or presence of pancreatitis (acute or chronic).
!
History of diabetic ketoacidosis.
!
Any of the following: myocardial infarction, stroke, hospitalization for unstable angina or 
transient ischaemic attack within the past 180 days prior to the day of screening.
!
Subjects presently classified as being in New York Heart Association Class IV.
!
Planned coronary, carotid or peripheral artery revascularisation known on the day of 
screening.
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Trial ID: NN9535-4269
Version:
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Status:
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EudraCT no.: 2016-000904-27 
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!
Renal impairment measured as estimated Glomerular Filtration Rate value of eGFR < 60 
ml/min/1.73 m2 as defined by KDIGO 2012 classification using isotope dilution mass 
spectrometry for serum creatinine measured at screening.                                                                        
!
Proliferative retinopathy or maculopathy requiring acute treatment. Verified by fundus 
photography or dilated fundoscopy performed within the past 90 days prior to 
randomisation.
!
Presence or history of malignant neoplasms within the past 5 years prior to the day of 
screening. Basal and squamous cell skin cancer and any carcinoma in-situ is allowed
Assessments:
!
Glucose metabolism (HbA1c, fasting plasma glucose)
!
Body measurements (weight (in kg), body mass index and waist circumference)
!
Blood pressure
!
Fasting blood lipids (total cholesterol, low density lipoprotein cholesterol, high density 
lipoprotein cholesterol, triglycerides)
!
Self-measured plasma glucose (7-point profile)
!
Patient reported outcomes
!
Adverse events and serious adverse events
!
Hypoglycaemic episodes
!
Biochemistry and haematology
!
Pulse
!
Calcitonin
!
Physical examination
!
Electrocardiogram
Trial product(s):
Investigational medicinal products:
!
Test product: Semaglutide 1.34 mg/mL, solution for injection, 1.5 mL PDS290 pre-filled pen-
injector
!
Reference therapy: Semaglutide placebo, solution for injection, 1.5 ml PDS290 pre-filled pen-
injector
CONFIDENTIAL

Protocol
UTN: U1111-1180-1213 
Date:
21 October 2016
Status:
Final
Novo Nordisk
Trial ID: NN9535-4269
EudraCT no.: 2016-000904-27 
Version:
2.0
Page:
13 of 109
2
Flow chart
Trial Periods
Protocol section
Screening
Randomisation
Treatment
End of 
Treatment
Follow-
up
End of 
treatment
Premature 
discontinuation
8.1.6
Follow-up
Premature 
discontinuation
8.1.6
Visit (V)/ phone contact (P)
V1
V2
V3
V4
P5
V6
V7
P8
V9
P10
V9A
P10A
Timing of visit                  Weeks
-2
0
4
8
10
12
16
23
30
35
Visit window                     Days
±7
±3
±3
±3
±3
±3
±7
±7
+7
SUBJECT RELATED
INFO/ASSESSMENTS
Informed consent
X
In/exclusion criteria
X
X
Randomisation
X
Withdrawal criteria
X
X
X
X
X
X
X
X
Concomitant illness
8.2.4
X
Concomitant medication
8.2.5
X
X
X
X
X
X
X
X
X
X
X
X
Demography
X
Hypoglycaemia unawareness
8.2.3
X
Diagnosis of diabetes
8.2.2
X
Diabetes history and diabetes
complications
8.2.2
X
Medical history
8.2.4
X
Tobacco use
8.2.7
X
EFFICACY
Body weight
8.3.1
X
X
X
X
X
X
X
Height
8.3.1
X
BMI
8.3.1
X
X
X
X
X
X
X
Waist circumference
8.3.2
X
X
X
X
PRO questionnaires
8.6.2
X
X
X
X
Systolic blood pressure
8.3.3
X
X
X
X
X
X
X
X
Diastolic blood pressure
8.3.3
X
X
X
X
X
X
X
X

Protocol
UTN: U1111-1180-1213 
Date:
21 October 2016
Status:
Final
Novo Nordisk
Trial ID: NN9535-4269
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Version:
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Trial Periods
Protocol section
Screening
Randomisation
Treatment
End of 
Treatment
Follow-
up
End of 
treatment
Premature 
discontinuation
8.1.6
Follow-up
Premature 
discontinuation
8.1.6
Visit (V)/ phone contact (P)
V1
V2
V3
V4
P5
V6
V7
P8
V9
P10
V9A
P10A
Timing of visit                  Weeks
-2
0
4
8
10
12
16
23
30
35
Visit window                     Days
±7
±3
±3
±3
±3
±3
±7
±7
+7
FPG
8.5.1
X
X
X
X
X
X
X
HbA1c
8.5.1
X
X
X
X
X
X
X
X
Lipids
8.5.1
X
X
X
X
7-point profile
8.3.5
X
X
X
X
SAFETY
Hypoglycaemic episodes
8.4.6
X
X
X
X
X
X
X
X
X
X
X
ECG
8.4.3
X
X
X
Eye examination
8.4.4
X
X
X
Physical examination
8.4.1
X
X
X
Pulse, sitting
8.4.2
X
X
X
X
X
X
X
X
Biochemistry
8.5.2
X
X
X
X
X
X
X
X
Creatinine (including eGFR)
8.5.2
X
X
X
X
X
X
X
X
Haematology
8.5.2
X
X
X
X
X
X
X
Pregnancy test
8.5.2
X
X
X
X
Adverse events
12.1.1
X
X
X
X
X
X
X
X
X
X
X
Calcitonin
8.5.2
X
X
X
X
TRIAL MATERIAL
Dispensing visit
X
X
X
Drug accountability
X
X
X
X
X
IWRS call
10
X
X
X
X
X
X

Protocol
UTN: U1111-1180-1213 
Date:
21 October 2016
Status:
Final
Novo Nordisk
Trial ID: NN9535-4269
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Version:
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Trial Periods
Protocol section
Screening
Randomisation
Treatment
End of 
Treatment
Follow-
up
End of 
treatment
Premature 
discontinuation
8.1.6
Follow-up
Premature 
discontinuation
8.1.6
Visit (V)/ phone contact (P)
V1
V2
V3
V4
P5
V6
V7
P8
V9
P10
V9A
P10A
Timing of visit                  Weeks
-2
0
4
8
10
12
16
23
30
35
Visit window                     Days
±7
±3
±3
±3
±3
±3
±7
±7
+7
REMINDERS
End of treatment
X
X
End of trial
Xa
Attend visit fasting
8.1.5
X
X
X
X
X
X
X
Direction for use (DFU)
X
Handout and instruct in BG meter use
X
Re-training on the BG meter use
X
Training in trial product and pen 
handling
X
X
Handout ID card
X
Handout and instruct in diary
8.6.1
X
X
X
X
X
X
Collect and review diary
X
X
X
X
X
X
X
aIf premature discontinuation of trial product, End of Treatment form must be filled-in when the discontinuation happens and End of Trial form at scheduled visit P10. If 
a subject completes both the treatment and the trial at scheduled time the End of Treatment form must be filled in at V9 and End of Trial form at P10. For a withdrawn 
subject, both End of Trial form and End of Treatment form to be filled in when the subject withdraws from the trial.

Protocol
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Date:
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Version:
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3
Background information and rationale for the trial
The trial will be conducted in compliance with this protocol, International Conference on 
Harmonisation of Technical Requirements for Registration of Pharmaceuticals for Human Use
(ICH) Good Clinical Practice (GCP)1 and applicable regulatory requirements, and in accordance 
with the Declaration of Helsinki2.
In this document, the term investigator refers to the individual responsible for the overall conduct of 
the clinical trial at a trial site.
3.1
Background information
3.1.1
Type 2 diabetes
Type 2 diabetes (T2D) is a progressive metabolic disease primarily characterised by abnormal 
glucose metabolism. The pathogenesis is not fully understood but seems to be heterogeneous, 
involving environmental, lifestyle, and genetic factors leading to chronic hyperglycaemia caused by 
peripheral tissue insulin resistance, impaired insulin secretion due to abnormal β-cell function and 
abnormal glucose metabolism in the liver3.
Optimal glycaemic control is the treatment goal in subjects with T2D in order to prevent long-term 
complications associated with chronic hyperglycaemia4. Despite the availability of several 
antidiabetic drugs, a significant proportion of subjects with T2D do not achieve the recommended 
blood glucose (BG) target levels5, 6.
3.1.2
Glucagon-like peptide-1
Glucagon-like peptide-1 (GLP-1) is an incretin hormone with a glucose-dependent stimulatory 
effect on insulin and inhibitory effect on glucagon secretion from the pancreatic islets7, 8. Subjects 
with T2D have a decreased incretin effect9-12. However, the insulinotropic action of GLP-1 and 
thus, the ability to lower BG levels, is preserved when GLP-1 is administered at supraphysiological 
levels13. In addition, supraphysiological levels of GLP-1 induce reduction in body weight14. GLP-1 
is a physiological regulator of appetite and food intake and GLP-1 receptors are present in several 
areas of the brain involved in appetite regulation15, 16. Physiologically, GLP-1 also has a pronounced 
inhibitory effect on gastric emptying; however this effect seems to diminish upon chronic 
exposure14-16. These mechanisms of action make glucagon-like peptide-1 receptor agonists (GLP-1 
RAs) an attractive pharmacological treatment for T2D17-19.
3.1.3
Semaglutide 
Semaglutide is a potent human GLP-1 analogue with a pharmacokinetics (PK) profile suitable for 
once-weekly subcutaneous (s.c.) administration. It is structurally similar to liraglutide (Victoza®), a 
once-daily GLP-1 RA developed by Novo Nordisk and approved worldwide for the treatment of 
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Trial ID: NN9535-4269
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T2D. The extended half-life of the semaglutide molecule is primarily obtained due to binding to 
albumin, which is facilitated by a large fatty acid derived chemical moiety attached to the lysine in 
position 26. The specific modifications in the molecule are: 1) a modification in position 8 (alanine 
to 2-aminoisobutyric acid) of the peptide backbone to increase stability against dipeptidyl 
peptidase-4 (DPP-4), and a change in position 34 from a lysine to an arginine to limit the options 
for acylation to the one remaining lysine in the sequence; 2) a large hydrophilic spacer between the 
lysine in position 26 and the gamma glutamate whereto the fatty acid is attached; 3) a C18 fatty di-
acid with a terminal acidic group20, 21. The spacer and the fatty acid both contribute to increased 
albumin binding, which results in decreased renal clearance resulting in a prolonged half-life of 
approximately 1 week, making semaglutide suitable for once-weekly s.c. administration.
3.1.4
Nonclinical data
3.1.4.1
Semaglutide 
The nonclinical programme for semaglutide was designed according to the ICH M322 guideline to 
support the clinical development. The standard nonclinical data package required to support phase 3 
clinical trials has been completed. In addition, 2-year carcinogenicity studies and a pre- and 
postnatal development toxicity study have been completed. 
Semaglutide is generally well tolerated with expected GLP-1 effects on food intake and body 
weight being dose limiting in mice, rats and cynomolgus monkeys. Two potential safety issues have 
been identified and are detailed below.
Thyroid C-cell tumours in rodents
Thyroid C-cell neoplasia was seen in mice and rat 2-year carcinogenicity studies. Proliferative C-
cell changes in rodents are a known effect following GLP-1 receptor activation by GLP-1 receptor 
agonists. The finding in rodents is caused by a non-genotoxic, specific GLP-1 receptor-mediated 
mechanism to which rodents are particularly sensitive. Recently published data have shown that the 
GLP-1 receptor is not expressed in the normal human thyroid, and accordingly, the risk of GLP-1 
receptor mediated C-cell changes in humans is considered to be low23.
Embryo−foetal development toxicity
Semaglutide adversely affected embryo−foetal development in the rat by a GLP-1 receptor-
mediated impaired function of the inverted yolk sac placenta during a period of gestation when the 
rat embryo is entirely dependent on the inverted yolk sac placenta for its nutrient supply. In 
primates, the yolk sac does not invert to fully enclose the embryo, and it does not come in direct 
contact with the uterine wall to form a placenta as in rodents. Accordingly, the mechanism by 
which semaglutide adversely affects embryo-foetal development in the rat, is not likely to be of 
relevance to humans. Studies in cynomolgus monkeys confirmed that maternal dosing of 
semaglutide does not affect embryo−foetal development in this species. However, the initial 
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maternal body weight loss caused by the pharmacological effect of semaglutide coincided with 
increased early pregnancy loss in one of three studies. In cynomolgus monkeys, the overall 
developmental no observable adverse effect level (NOAEL) was determined to be 0.015 mg/kg/3 
days, which provides an exposure equivalent to the human exposure at 1.0 mg/week based on area 
under the curve (AUC).
A comprehensive review of results from the nonclinical studies can be found in the current edition 
of semaglutide (NN9535) investigator’s brochure (IB)24, or any updates hereof.
3.1.5
Clinical data – semaglutide
As of 1 August 2016, 16 clinical pharmacology trials (trials NN9535-1820, 3679, 3633, 3616, 3819, 
4010, 3789, 3652, 3685, 3634, 3687, 3817,3818, 3684, 3651 and 3635), 1 phase 2 trial (NN9535-
1821) and 8 phase 3a trials (NN9535-3623, 3624, 3625,3626, 3627, 3744, 4091, 4092) have been 
completed with semaglutide s.c. once-weekly.
Clinical pharmacology trials were conducted in healthy subjects, in subjects with T2D, in subjects 
with obesity and in subjects with renal- and hepatic impairment. Semaglutide phase 3a programme 
evaluated the efficacy and safety of semaglutide in a broad T2D population and covered the 
continuum of T2D care. The programme evaluated mono- and combination therapy with 
antiglycaemic therapies and compared semaglutide with the most important comparators at the time 
of initiating the phase 3a programme. In addition, the phase 3a programme included a long-term 
(104-week) cardiovascular outcomes trial (trial 3744) in a T2D population at high risk of 
cardiovascular events.
3.1.5.1
Pharmacokinetics
The results from the completed clinical pharmacology trials confirm that semaglutide has PK 
properties compatible with once-weekly administration, having a flat concentration profile over 
time, with a median time to maximum concentration (tmax) of 1−3 days post-dosing and an 
elimination half-life (t½) of approximately 1 week. The PK properties of semaglutide appear 
comparable between healthy subjects, subjects with T2D and subjects with renal failure. 
Results from drug-interaction studies with warfarin, metformin, atorvastatin and digoxin indicate 
that no dose adjustment of the co-administered drugs is warranted when administered together with 
semaglutide. In addition, semaglutide does not decrease the exposure of oral contraceptives and 
hence, is not anticipated to decrease the effectiveness of oral contraceptives.
3.1.5.2
Efficacy
Based on results from the clinical pharmacology trials, semaglutide treatment reduced both fasting 
and postprandial glucose compared to placebo, by improving multiple aspects of β-cell function and 
by reducing both fasting and postprandial glucagon concentrations, all in a glucose dependent 
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manner. The weight loss observed with semaglutide was primarily from fat tissue and was 
considered to be explained by lowered appetite, both in the fasting and postprandial state, and 
lowered energy intake. In addition, semaglutide improved control of eating and reduced food 
cravings. Similar to other GLP-1 receptor agonists, semaglutide caused a minor delay of early 
postprandial gastric emptying.
Both as monotherapy and as combination therapy, semaglutide significantly reduced HbA1c and 
body weight in all phase 3a trials when compared with the trial-specific comparator, including the 
active comparators sitagliptin, exenatide ER and insulin glargine. In the 5 global phase 3a trials 
(3623, 3624, 3625, 3626 and 3627), reductions in HbA1c and body weight of up to 1.85 %-point and 
6.42 kg, respectively, were obtained with semaglutide 1.0 mg. Significantly more subjects with 
semaglutide versus comparators reached the American Diabetes Association (ADA) and American 
Association of Clinical Endocrinologists (AACE)-defined treatment target of an HbA1c <7% and 
≤6.5%, respectively, and weight loss responses of ≥5% and ≥10%. The superior and clinically 
relevant beneficial effects of semaglutide on glycaemic control as estimated by HbA1c were 
substantiated by improvements in secondary glycaemia-related supportive endpoints 25-28.
3.1.5.3
Safety
Data from the 5 global phase 3a clinical trials (NN9535-3623, 3624, 3625, 3626 and 3627) showed 
that the safety and tolerability of semaglutide at doses up to 1.0 mg per week and administered for 
up to 56 weeks of treatment were consistent with other GLP-1RAs. Commonly AEs included 
nausea and vomiting, most of which were mild to moderate in severity. The escalation regimen 
utilized was associated with good tolerability and low numbers of discontinuation due to AEs. 
Accordingly, the most frequently reported AEs in subjects with T2D were gastrointestinal (e.g., 
nausea and vomiting), as were the most frequent AEs leading to premature treatment 
discontinuation.
Hypoglycaemia occurred infrequently in subjects receiving semaglutide and the events were mainly 
non-severe. Hypoglycaemic episodes have mainly been observed when semaglutide is combined 
with sulphonylurea (SU) or insulin. In line with findings for other GLP-1 RAs, an increase in heart 
rate and serum levels of lipase and amylase has also been observed in subjects exposed to 
semaglutide. As with all protein based pharmaceuticals, subjects treated with semaglutide may 
develop immunogenic and allergic reactions. However, only few subjects administered semaglutide 
experienced allergic reactions and injection site reactions. These have mainly been mild and 
transient of nature; however, more generalised reactions may occur. 
The effect of semaglutide on major adverse cardiovascular events (MACE) was evaluated in a T2D 
population at high risk for CV events, in the cardiovascular outcome trial, SUSTAIN 6 (NN9535-
3744)29. SUSTAIN 6 trial achieved its primary objective by showing non-inferiority of once-weekly 
s.c. semaglutide versus placebo on cardiovascular outcomes; moreover, s.c. semaglutide statistically
significantly reduced cardiovascular risk versus placebo29. In addition, results from the recently 
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completed LEADER® trial (EX2211-3748) showed that treatment with the once daily liraglutide 
does not increase the risk of MACE as compared to placebo. In fact, treatment with liraglutide 
reduced the risk of the primary composite outcome consisting of death from cardiovascular causes, 
non-fatal myocardial infarction (MI) and non-fatal stroke by 13% versus placebo30.
The overall safety profile of semaglutide in the SUSTAIN 6 trial (NN9535-3744) was consistent 
with previous semaglutide clinical studies. However, in this trial, the diabetic retinopathy 
complications were reported more frequently in the semaglutide-treated subjects compared with 
placebo. Please see Section 18 for more details.
Please see the current edition of semaglutide s.c. (NN9535) IB or any updates hereof for further 
details24.
For an assessment of benefits and risks of the trial, see Section 18.1.
3.2
Rationale for the trial
Limited information is available on the combination treatment of GLP-1 receptor agonists and 
sodium-glucose co-transporter-2 (SGLT-2) inhibitors31. 
The purpose of the present trial is to generate data on the effect and safety of semaglutide as add-on 
to SGLT-2 inhibitor as monotherapy or used with metformin or SUs, in subjects with T2D, in terms 
of glycaemic control, weight management and other effect parameters. The effect and safety of 
semaglutide vs. placebo on this combination of background treatments has not been studied 
previously. Furthermore, the trial is designed to address and compare patient well-being and 
satisfaction.
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4
Objective(s) and endpoint(s)
4.1
Objective(s)
Primary objective
To compare the effect of semaglutide s.c. 1.0 mg once-weekly versus placebo as add-on to SGLT-2 
inhibitor monotherapy or in combination with either metformin or SU on glycaemic control after 30 
weeks of treatment in subjects with T2D. 
Secondary objectives
To compare the effect of semaglutide s.c. 1.0 mg once-weekly versus placebo as add-on to SGLT-2 
inhibitor monotherapy or in combination with either metformin or SU after 30 weeks of treatment 
in subjects with T2D with regards to:
!
Weight management
!
Other parameters of effect, safety and ePROs
4.2
Endpoint(s)
4.2.1
Primary endpoint
!
Change from baseline to week 30 in HbA1c
4.2.2
Secondary endpoints
4.2.2.1
Confirmatory secondary endpoints
Change from baseline to week 30 in body weight (kg)
4.2.2.2
Supportive secondary endpoints
Change from baseline to week 30 in:
!
FPG*
!
Self-measured plasma glucose (SMPG), 7-point profile:
–
Mean 7-point profile
–
Mean post prandial increment (over all meals)
!
Fasting blood lipids (total cholesterol, low-density lipoprotein (LDL) cholesterol, high-density 
lipoprotein (HDL) cholesterol, triglycerides)
!
Body weight (%)
!
Body mass index and waist circumference
!
Systolic and diastolic blood pressure*
!
Scores for selected patient reported outcomes:
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–
Short-form health survey (SF-36v2TM): Total scores (physical component and mental 
component) and scores from the 8 domains.
–
Diabetes Treatment Satisfaction Questionnaire (DTSQ)*: Treatment satisfaction score (sum 
of 6 of 8 items) and the 8 items separately.
Subjects who after 30 weeks treatment achieve (yes/no):
!
HbA1c <7.0% (53 mmol/mol), American Diabetes Association (ADA) target
!
HbA1c ≤6.5% (48 mmol/mol), American Association of Clinical Endocrinologists (AACE) 
target*
!
Weight loss ≥3%
!
Weight loss ≥5%
!
Weight loss ≥10%
!
HbA1c <7.0% (53 mmol/mol) without severe or BG confirmed symptomatic hypoglycaemia 
episodes and no weight gain
!
HbA1c reduction ≥1%-point
!
HbA1c reduction ≥1%-point and weight loss ≥3%
!
HbA1c reduction ≥1%-point and weight loss ≥5%
!
HbA1c reduction ≥1%-point and weight loss ≥10%
Supportive secondary safety endpoints
!
Number of treatment-emergent adverse events (TEAEs) see Section 17.6.2.2
!
Number of treatment emergent severe or BG confirmed symptomatic hypoglycaemic episodes
!
Treatment emergent severe or BG confirmed symptomatic hypoglycaemia episodes (yes/no)
Change from baseline to week 30 in:
!
Haematology
!
Biochemistry
!
Calcitonin
!
Pulse
!
Electrocardiogram (ECG) category
!
Physical examination category
!
Eye examination category
Key supportive secondary endpoints prospectively selected for disclosure (e.g. clinicaltrials.gov and 
EudraCT) are marked with an asterisk (*).
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5
Trial design
5.1
Type of trial
This is a 30-week, confirmatory, randomised, double-blind, placebo-controlled, multicentre, 
multinational, two-arm, parallel-group trial.
Subjects with T2D inadequately controlled on an SGLT-2 inhibitor monotherapy or in combination 
with either metformin or SU will be randomised in a 1:1 manner to receive either semaglutide 1.0 
mg once-weekly or placebo once-weekly. The randomisation will be stratified based on anti-
diabetic background medication at screening (subject using SU or not using SU) and country
(Japan/other) to ensure a 1:1 distribution of the two treatment arms within each stratum. 
Subjects continue participation in the trial regardless the occurrence of premature discontinuation of 
trial product or the initiation of rescue medication. 
After the treatment period of approximately 30 weeks in total, all subjects enter a follow-up period 
of 5 weeks, ending by a follow-up phone contact (visit 10). Total trial duration for the individual 
subjects is approximately 37 weeks.
The trial design is summarised schematically in Figure 5–1:
Figure 5–1
Trial design
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5.2
Rationale for trial design
The trial has been designed as a parallel-group, 2-armed trial to secure a direct comparison between 
semaglutide s.c. once-weekly and placebo as add-on to SGLT-2 inhibitor monotherapy or in 
combination with either metformin or SU in terms of glycaemic control, weight management and 
other effect parameters. Furthermore, the trial is designed to address and compare tolerability, 
patient well-being and treatment satisfaction.
Subjects will be randomised to one of the two treatment arms and the trial will be double-blinded to 
minimise bias. The treatment duration will be 30 weeks, which is considered adequate for 
assessment of effect, safety, tolerability and patient satisfaction. The follow-up period is 5 weeks to 
allow for wash-out of semaglutide. 
5.3
Treatment of subjects
Semaglutide/placebo
Both semaglutide and placebo will be administered once-weekly as s.c. injections. 
Treatment with semaglutide/placebo once-weekly must follow a fixed dose escalation. The 
maintenance dose of semaglutide 1.0 mg is reached after 4 doses (4 weeks) of 0.25 mg, followed by 
4 doses (4 weeks) of 0.5 mg. The same fixed dose escalation scheme is followed for placebo, with 
respective dose-matching volume. During the maintenance period (V4-V9, doses must not be 
changed.
Background medication
After signing the informed consent, subjects  should continue their anti-diabetic background 
medication (SGLT-2 inhibitor monotherapy or in combination (including fixed-dose drug 
combination) with either metformin or SU) throughout the entire trial.  The background medication 
should be maintained at the same dose level as given at trial entry and with the same frequency 
during the entire treatment period unless rescue criteria are met (see Section 6.4) or in case a safety 
concern related to acute renal impairment (see Section 18.1.3) or hospitalization for major surgical 
procedures or acute serious medical illnesses occurs.
In addition, all background medication: 
!
is considered to be non-investigational medicinal product (NIMP).
!
will not be provided by Novo Nordisk A/S, except if required by local regulations and not in 
contradiction to local regulations.
!
should be used in accordance with standard of care and current approved label in the individual 
country.
!
should not exceed the maximum approved dose in the individual country.
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SGLT-2 and SUs 
All locally available SGLT-2 inhibitors and SUs are allowed for background medication. 
Metformin
Metformin should be used in accordance with standard of care in the individual country at the
discretion of the investigator. However, the maximum approved dose in the individual country must
not be exceeded.
5.4
Injection site 
Injections should be administered in the thigh, abdomen or upper arm, at any time of the day 
irrespective of meals. Injections should be administered on the same day of the week during the
trial. Injections should not be administered intravenously or intramuscular.
5.5
Missed dose 
If a semaglutide dose is missed, it should be administered as soon as noticed, provided the time to 
the next scheduled dose is at least 2 days (48 hours). If a dose is missed and the next scheduled dose 
is less than 2 days (48 hours) away, the subject should not administer the missed dose. A missed 
dose should not affect the scheduled dosing day of the week.
5.6
Treatment after discontinuation of trial product
When discontinuing trial products, either at the scheduled end of treatment visit or if trial product is 
discontinued prematurely, the subject should be switched to a suitable marketed product at the 
discretion of the investigator, while taking into consideration the long half-life of semaglutide. 
5.7
Rationale for treatment
Semaglutide has been developed for s.c. administration. In this trial, semaglutide will be dose-
escalated to the highest maintenance dose of 1.0 mg once-weekly, to investigate and compare the 
effect and safety of semaglutide versus placebo when added to SGLT-2 inhibitor monotherapy or in 
combination with either metformin or SU.  
Placebo has been chosen as comparator to investigate the effect as add-on to SGLT-2 inhibitor 
monotherapy or in combination with either metformin or SU, accounting for the placebo effect.
The duration of randomised treatments is considered adequate to collect sufficient data on effect
and safety in accordance with the trial objectives.
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6
Trial population
6.1
Number of subjects 
Number of subjects planned to be screened: 500
Number of subjects planned to be randomised: 300
Number of subjects planned to complete the trial on randomised trial product without rescue 
medication: 240
For Japan only: Approximately 50 subjects planned to be randomised/started on trial product.
6.2
Inclusion criteria
For an eligible subject, all inclusion criteria must be answered “yes”. 
1. Informed consent obtained before any trial-related activities. Trial-related activities are any 
procedures that are carried out as part of the trial, including activities to determine suitability 
for the trial. 
2. Male or female, age  above or equal to 18 years at the time of signing informed consent.
For Japan only: Male or female, age ≥ 20 years at the time of signing informed consent. 
3. Diagnosed with T2D mellitus.
4. HbA1c of 7.0-10.0% (53-86 mmol/mol) (both inclusive).
5. Stable dose of an SGLT-2 inhibitor as monotherapy or in combination (including fixed-dose 
drug combination) with a stable dose of metformin (≥ 1500 mg or maximum tolerated dose) 
or a SU for at least 90 days prior to the day of screening. All medications in compliance 
with current local label.
6.3
Exclusion criteria
For an eligible subject, all exclusion criteria must be answered “no”. 
1. Known or suspected hypersensitivity to trial product(s) or related products. 
2. Previous participation in this trial. Participation is defined as signed informed consent.
3. Female who is pregnant, breast-feeding or intends to become pregnant or is of child-bearing 
potential and not using an adequate contraceptive method (adequate contraceptive measure 
as required by local regulation or practice). 
For Japan only: Adequate contraceptive measures are abstinence (not having sex), 
diaphragm, condom (by the partner), intrauterine device (IUD), sponge, spermicide or oral 
contraceptives. 
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For Norway only: Highly effective methods are defined as established use of oral, 
injectable,transdermal, implantable or intravaginal hormonal methods of contraception 
associated with inhibition of ovulation, placement of an IUD, female sterilisation, male
sterilisation (where partner is sole partner of subject), or true abstinence (when in line with 
preferred and usual lifestyle).
For EU countries only: 
The following contraceptive measures are considered adequate:
∀
Combined estrogen and progestogen containing hormonal contraception associated 
with inhibition of ovulation (oral, intravaginal, transdermal)
∀
Progestogen-only hormonal contraception associated with inhibition of ovulation (oral, 
injectable, implantable)
∀
Placement of an IUD or intrauterine hormone-releasing system (IUS)
∀
Bilateral tubal occlusion
∀
Barrier methods of contraception (condom or occlusive cap with spermicidal 
oam/gel/film/cream/suppository)
∀
Vasectomised partner (where partner is sole partner of subject) 
∀
True sexual abstinence. Sexual abstinence is defined as refraining from heterosexual 
intercourse during the entire period of risk associated with the study treatments. The 
reliability of sexual abstinence needs to be evaluated in relation to the duration of the 
clinical trial and the preferred and usual lifestyle of the subject.
4. Participation in any clinical trial of an approved or non-approved investigational
medicinal product within 90 days prior to the day of screening.
5. Any disorder which in the investigator’s opinion might jeopardise subject’s safety or 
compliance with the protocol.
6. Subjects with ALT > 2.5 x UNL.
7. Family or personal history of multiple endocrine neoplasia type 2 (MEN 2) or medullary 
thyroid carcinoma (MTC). Family is defined as a first degree relative.
8. History or presence of pancreatitis (acute or chronic).
9. History of diabetic ketoacidosis.
10. Any of the following: myocardial infarction, stroke, hospitalization for unstable angina or 
transient ischaemic attack within the past 180 days prior to the day of screening.
11. Subjects presently classified as being in New York Heart Association Class IV.
12. Planned coronary, carotid or peripheral artery revascularisation known on the day of 
screening.
13. Renal impairment measured as estimated Glomerular Filtration Rate (eGFR) value of eGFR 
< 60 ml/min/1.73 m2 as defined by KDIGO 201232 classification using isotope dilution mass 
spectrometry (IDMS) for serum creatinine measured at screening.
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14. Treatment with any medication for the indication of diabetes or obesity other than stated in 
the inclusion criteria within the past 90 days prior to the day of screening. However, short 
term insulin treatment for a maximum of 14 days prior to the day of screening is allowed.
15. Proliferative retinopathy or maculopathy requiring acute treatment. Verified by fundus 
photography or dilated fundoscopy performed within the past 90 days prior to randomisation 
in accordance with the instructions in Section 8.4.4.
16. Presence or history of malignant neoplasms within the past 5 years prior to the day of 
screening. Basal and squamous cell skin cancer and any carcinoma in-situ is allowed.
6.4
Rescue criteria
Subjects with persistent and unacceptable hyperglycaemia should be offered treatment 
intensification and the conclusion of the consideration to be documented in the medical records. If 
any of the FPG values (including protocol scheduled fasting SMPG) exceed the limits outlined 
below and no intercurrent cause of the hyperglycaemia can be identified, a confirmatory FPG (at 
central laboratory) should be obtained by calling the subject for a re-test. If the confirmatory FPG 
also exceeds the value described below, the subject should be offered rescue medication (i.e. 
intensification of anti-diabetic background medication and/or initiation of new anti-diabetic 
medication):
!
13.3 mmol/L (240 mg/dl) from week 8 to end of week 13
!
11.1 mmol/L (200 mg/dl) from week 14 to end of treatment
It is important for trial integrity that only subjects actually needing treatment intensification (as 
defined above) are started on rescue medication. Subjects that are started on rescue medication 
should continue to follow the protocol-specified visit schedule. Rescue medication should be 
prescribed at the investigator’s discretion as add-on to randomised treatment and according to 
ADA/European Association for the Study of Diabetes guidelines33, 34 (excluding GLP-1 RAs, DPP-
4 inhibitors and amylin analogues).
Rescue medication and any changes hereto should be captured on the concomitant medication form 
in the electronic case report form (eCRF), see Section 8.2.5. Rescue medication is considered to be 
NIMP and will not be provided by Novo Nordisk.
6.5
Criteria for premature discontinuation of trial product 
All efforts should be made to keep the subject on trial product.
However, the subject may be prematurely discontinued from trial product at the discretion of the 
investigator due to a safety concern.
The subject must be prematurely discontinued from trial product, if the following applies:
1. Safety concern related to trial product or unacceptable intolerability
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2. Included in the trial in violation of the inclusion and/or exclusion criteria
3. Pregnancy
4. Intention of becoming pregnant
5. Simultaneous participation in another clinical trial of an approved or non-approved  
investigational medicinal product
6. Calcitonin ≥ 100 ng/L (see appendix A)
If a criterion for premature discontinuation of trial product is met, trial product should not be re-
initiated but subjects should continue with the scheduled site contacts.
See Section 8.1.6 for procedures to be performed for subjects discontinuing trial product 
prematurely.
6.6
Withdrawal from trial
The subject may withdraw consent at will at any time. The subject’s request to withdraw from the 
trial must always be respected. Only subjects who withdraw consent should be considered as 
withdrawn from trial. See Section 8.1.7 for procedures to be performed for subjects withdrawing 
consent.  
6.7
Subject replacement
Subjects who discontinue trial product prematurely will not be replaced.
6.8
Rationale for trial population 
The trial population will include subjects with T2D treated with stable doses of SGLT-2 inhibitor 
only or SGLT-2 inhibitor in combination with metformin or SU for at least 90 days prior to 
screening as changes in the background medication shortly before trial participation may potentially 
impact data interpretation. The HbA1c limits 7.0– 10.0% (53–86 mmol/mol) have been chosen to 
include subjects needing intensification of their anti-diabetic medication. The upper limit will 
secure that subjects with severely dysregulated T2D are not enrolled in this placebo-controlled trial. 
In addition, FPG and HbA1c will be monitored throughout the trial and rescue medication should be 
initiated in subjects with persistent, unacceptable hyperglycaemia. No body mass index or blood 
pressure restrictions will be applied. Subjects with liver test abnormalities (alanine aminotransferase
(ALT) > 2.5 × (upper normal level (UNL)) will be excluded to avoid potential confounding of liver 
safety assessments. In addition, subjects with mild, moderate, severe or end-stage renal impairment 
will be excluded due to restrictions in the labels of the allowed background medication. As SGLT-2 
inhibitors have been associated with euglycaemic diabetic ketoacidosis, subjects with a history of 
diabetic ketoacidosis will also be excluded from this trial. Overall, the eligibility criteria allow for 
enrolment of a broad trial population resembling the target population in common practice. 
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7
Milestones
Planned duration of recruitment period(first patient first visit (FPFV)-last patient first visit 
(LPFV)): 36 weeks 
Planned date for FPFV: 15-Mar-2017
Planned date for last patient last visit (LPLV): 06-Sep-2018
End of trial is defined as LPLV.
Recruitment:
The screening and randomisation rate will be followed closely via the IWRS in order to estimate 
when to stop screening. All investigators will be notifiedimmediately when the recruitment period 
ends, after which no further subjects may be screened andthe IWRS will be closed for further 
screening. All subjects included in the screening period andeligible for randomisation can be 
randomised.
Trial registration:
Information of the trial will be disclosed at clinicaltrials.gov,novonordisk-trials.comand the 
Clinical Trials Information JapicCTI site clinicaltrials.jp. According to the Novo Nordisk Code of 
Conduct for Clinical Trial Disclosure35,it will also be disclosed according to other applicable 
requirements such as those of the International Committee of Medical Journal Editors (ICMJE)36,
the Food and Drug Administration Amendment Act (FDAAA)37,European Commission 
Requirements38,39andother relevant recommendations or regulations. If a subject requests to be 
included in the trial via the Novo Nordisk e-mail contact at these web sites, Novo Nordisk may 
disclose the investigator’s contact details to the subject. As a result of increasingrequirements for 
transparency, some countries require public disclosure of investigator names and their affiliations.
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8
Methods and assessments
8.1
Visit procedures
The following sections describe the assessments and procedures. These are also included in the flow 
chart (see Section 2) as well as visit numbers, timing of site and phone visits and visit windows 
during the trial period.
Informed consent must be obtained before any trial related activity, see Section 18.3.
A completion session must be performed in IWRS after completion of V9.
8.1.1
Investigator site log 
The investigator must keep a subject screening log, a subject identification code list and a subject 
enrolment log. Only subjects who have signed the informed consent form should be included on the 
logs. The subject screening log and subject enrolment log may be combined in one log.
In addition, the investigator must keep a log of staff and a delegation of task(s) list at the trial site. 
Investigator must sign the log of staff and the delegation of task(s) at the trial site prior to the 
delegation of tasks.
8.1.2
Screening, visit 1
At screening, subjects will be provided with a card stating that they are participating in a trial and 
giving contact address(es) and telephone number(s) of relevant trial site staff. Subjects should be 
instructed to return the card to the investigator at the last trial visit or to destroy the card after the 
last visit.
Each subject will be assigned a unique 6-digit subject number which will remain the same 
throughout the trial. 
8.1.3
Screening failures
For screening failures the screening failure form in the eCRF must be completed with the reason for 
not continuing in the trial. Serious adverse events (SAEs) from screening failures must be 
transcribed by the investigator into the eCRF. Follow-up on SAEs must be carried out according to 
Section 12.
A screening failure session must be made in the IWRS. The case book must be signed in the eCRF.
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8.1.4
Re-screening
Re-screening is NOT allowed if the subject has failed one of the inclusion or exclusion criteria; this 
includes re-sampling if the subject has failed one of the inclusion or exclusion criteria related to 
laboratory parameters.
8.1.5
Fasting visits
The subjects should attend site visits in a fasting state (see Section 2). Fasting is defined as having 
consumed only water within the last 6 hours prior to the visit. 
If the subject does not attend the visit in a fasting state, the subject should be asked to attend a re-
scheduled visit within the visit window to have the fasting assessments performed.
Glucose lowering agents and trial product should not be taken until after blood sampling has been 
performed but other prescribed medication should be taken according to prescription.
8.1.6
Premature discontinuation of trial product
If a subject prematurely discontinues trial product, the investigator must undertake procedures 
similar to those for visit 9A scheduled to take place as soon as possible after discontinuation of trial 
product. Phone visit P10A should be scheduled at least 5 weeks after the last date on trial product. 
If premature discontinuation of trial product is decided during a scheduled visit, the visit will be 
converted into a visit 9A and trial procedures must be performed accordingly.
Subjects should continue with the originally scheduled site contacts after V9A and up to and
including P10. If necessary, in order to retain the subject in the trial, site visits can be replaced by
phone contacts after visit P10A, however all attempts should be made to ensure that V9 is 
performed as a site visit and includes all planned assessments.
In summary, subjects should stay in the trial irrespective of lack of adherence to randomised 
treatment, lack of adherence to visit schedule, missing assessments or trial product discontinuation 
for any reason. Only subjects who decline any further contact with the site in relation to the trial 
should be considered as withdrawn from the trial (for withdrawal procedures see Section 8.1.7).
The primary reason for premature discontinuation of trial product must be specified in the end-of-
treatment form in the eCRF, and final drug accountability must be performed. A treatment 
discontinuation session must be made in the IWRS.
8.1.7
Withdrawal from trial
If a subject considers to withdraw informed consent from the trial, the investigator must aim to 
undertake procedures similar to those for visit 9A (end of treatment premature discontinuation) as 
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soon as possible. If a subject has already prematurely discontinued from trial product and 
previously attended visit 9A and visit 10A, no further visits should be attended.
For withdrawn subjects the end-of-trial form and end-of-treatment form, including the primary 
reason for premature discontinuation of trial product, must be completed, and final drug 
accountability must be performed even if the subject is not able to come to the trial site. 
A treatment discontinuation session must be made in the IWRS, however if a subject has already 
prematurely discontinued from trial product and a treatment discontinuation session in IWRS has 
been done, no IWRS session should be completed. The case book must be signed.
Although a subject is not obliged to give his/her reason(s) for withdrawing consent, the investigator 
must make a reasonable effort to ascertain the reason(s), while fully respecting the subject’s rights. 
Where the reasons are obtained, the primary reason for withdrawing consent must be specified in 
the end-of-trial form in the eCRF.
8.1.8
Investigator assessment 
Review of diaries, ePROs, laboratory reports, ECGs, dilated fundoscopy/fundus photography, 
physical examination etc. must be documented on the documents or in subject's medical record. The 
signed documents must be retained at the trial site as source documentation.
For ECGs, physical examinations and dilated fundoscopy/fundus photography the evaluations must 
follow the categories:
!
Normal
!
Abnormal
–
Was the result clinically significant? (No/Yes)
The evaluation should be based on investigator’s or delegate’s judgment.
For laboratory report values outside the reference range, the investigator must specify whether the 
value is clinically significant or clinically non-significant. All laboratory printouts must be signed 
and dated by the investigator or delegate on the day of evaluation. The signed laboratory report is 
retained at the trial site as source documentation.
In case of abnormal clinical significant findings found as a result of screening procedures conducted 
at visit 1 or assessments revealing baseline conditions at visit 2, the investigator or delegate must 
state a comment in the subject’s medical record and record this in the concomitant illness form in 
the eCRF. At subsequent visits, any clinically significant changes or new clinically significant 
findings must be reported as an AE according to Section 12.
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Investigator or trial site staff must review the diary to ensure that AEs, including overall change in 
health and concomitant medication, are reported. 
If clarification of entries or discrepancies in the diary is needed, the subject must be questioned and 
a conclusion made in the subject’s medical record. Care must be taken not to bias the subject.
8.2
Subject related information/assessments 
8.2.1
Demography
Demography will be recorded at screening and consists of:
!
Date of birth (according to local regulation)
!
Sex
!
Ethnicity (according to local regulation)
!
Race (according to local regulation)
8.2.2
Diabetes history and diabetes complications 
Diabetes history and diabetes complications will be recorded at screening and consists of:
!
Date of diagnosis of type 2 diabetes
!
Information regarding diabetes complications including date of onset
–
Diabetic retinopathy
–
Diabetic neuropathy
–
Diabetic nephropathy
–
Macroangiopathy (including peripheral vascular disease)
8.2.3
Hypoglycaemia unawareness 
Information on hypoglycaemia unawareness will be recorded at screening according to Clarke’s 
questionnaire, question 840.
The investigator must ask the subject in the following way: “To what extent can you tell by your 
symptoms that your BG is low?” The subject can answer never, rarely, sometimes, often or always.
Subjects answering ‘never, rarely or sometimes’ are considered as having impaired awareness of 
hypoglycaemia.
8.2.4
Concomitant illness and medical history
A concomitant illness is any illness that is present at the start of the trial as described in Section
8.1.8.
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Medical history is a medical event that the subject has experienced in the past and judged by the 
investigator should be reported. Procedures and assessments performed at visit 1 and/or visit 2 
(prior to randomization) are considered as screening procedures.
The information collected for concomitant illness and medical history should include diagnosis, 
date of onset and date of resolution or continuation, as applicable.
Any change to a concomitant illness should be recorded during the trial. A clinically significant 
worsening of a concomitant illness must be reported as an AE. 
It must be possible to verify the subject’s medical history in source documents such as subject’s 
medical record. If a subject is not from the investigators own practice; the investigator must make 
reasonable effort to obtain a copy of subject’s medical record from relevant party e.g. primary 
physician. The investigator must document any attempt to obtain external medical information by 
noting the date(s) when information was requested and who has been contacted.
8.2.5
Concomitant medication
A concomitant medication is any medication, other than the trial product, which is taken during 
the trial, including the screening and follow-up periods.
Details of any concomitant medication must be recorded at visit 1. Changes in concomitant 
medication, including antidiabetic treatment and rescue treatment, must be recorded at each visit as 
they occur. The eCRF should be updated accordingly.
The information collected for each concomitant medication includes trade name or generic name, 
indication, start date (only start year is applicable if more than one year) and stop date or 
continuation. Total daily dose only applicable for antidiabetic medication.
If a change is due to an AE, then this must be reported according to Section 12. If the change 
influences the subject’s eligibility to continue in the trial, the monitor must be informed.
8.2.6
Childbearing potential  
It must be recorded in the eCRF whether female subjects are of childbearing potential. 
Pregnancy testing must be performed on female subjects of childbearing potential as described in 
Section 8.5.2. Female subjects of childbearing potential must be instructed to use adequate 
contraceptive methods throughout the trial and until 5 weeks after end of treatment. 
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Female of non-childbearing potential is defined as:
!
Female who has undergone a hysterectomy, bilateral oophorectomy or bilateral tubal ligation or 
are postmenopausal (e.g. women above the age of 50, who have been without menstrual period 
for at least 1 year).
!
Other medical reasons preventing childbearing potential. 
For Japan only: Adequate contraceptive measures are abstinence (not having sex), diaphragm, 
condom (by the partner), IUD, sponge, spermicide or oral contraceptives. 
For Norway only: Highly effective methods are defined as established use of oral, injectable, 
transdermal, implantable or intravaginal hormonal methods of contraception associated with 
inhibition of ovulation, placement of an IUD, female sterilisation, male sterilisation (where partner 
is sole partner of subject), or true abstinence (when in line with preferred and usual lifestyle).
For EU countries only: 
The following contraceptive measures are considered adequate:
∀
Combined estrogen and progestogen containing hormonal contraception associated with 
inhibition of ovulation (oral, intravaginal, transdermal)
∀
Progestogen-only hormonal contraception associated with inhibition of ovulation (oral, 
injectable, implantable)
∀
Placement of an IUD or IUS
∀
Bilateral tubal occlusion
∀
Barrier methods of contraception (condom or occlusive cap with spermicidal 
oam/gel/film/cream/suppository)
∀
Vasectomised partner (where partner is sole partner of subject) 
∀
True sexual abstinence. Sexual abstinence is defined as refraining from heterosexual 
intercourse during the entire period of risk associated with the study treatments. The 
reliability of sexual abstinence needs to be evaluated in relation to the duration of the 
clinical trial and the preferred and usual lifestyle of the subject.
8.2.7
Tobacco use 
Details of tobacco use must be recorded at visit 1. Smoking is defined as smoking at least one 
cigarette or equivalent daily. 
Smoking status: 
!
Never smoked
!
Previous smoker, smoking stop date
!
Current smoker
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8.3
Efficacy assessments
8.3.1
Height, body weight and body mass index
Height is measured without shoes in cm or inches and recorded to nearest ½ cm or ¼ inch.
Body weight should be measured to the nearest kg or lb, with one decimal, without shoes and only 
wearing light clothing.
BMI will be calculated in the eCRF every time the weight is measured using the equation:
BMI = body weight (kg)/(height (m) x height (m)) [kg/m2 = lb/in2 x 703]
8.3.2
Waist circumference
The waist circumference is defined as the minimal abdominal circumferences located midway
between the lower rib margin and the iliac crest. The measurement of waist circumference should 
be performed and recorded in the eCRF. The waist circumference will be measured using a non-
stretchable measuring tape. It should be recorded to the nearest ½ cm or ¼ inch using the same 
measuring tape throughout the trial.
The waist circumference should be measured in a standing position with an empty bladder and
wearing light clothing with accessible waist. The subject should be standing with arms down their
side and feet together. The tape should touch the skin but not compress soft tissue. The subject
should be asked to breathe normally and the measurement should be taken when the subject is
breathing out gently.
8.3.3
Blood pressure
Systolic and diastolic blood pressure should be measured in a sitting position after the subject has 
been resting for at least 5 minutes and by using standard clinical practice at the trial site.
8.3.4
Self-measured plasma glucose 
At the screening visit, subjects will be provided with a BG meter including lancets, plasma-
calibrated test strips and control solutions as well as instructions for use. 
The BG meters use test strips calibrated to plasma values. Therefore, all measurements performed 
with capillary blood are automatically calibrated to plasma equivalent glucose values, which will be 
shown on the display. 
Only the BG meter provided by Novo Nordisk should be used for the measurements required in the 
protocol. 
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Subjects should be instructed in how to record the results of the SMPGs in the diaries. The record of
each SMPG should include date, time and value. All data from the diary must be transcribed into
the eCRF during or following the contact. If obtained via phone and a discrepancy is later detected,
the values in the eCRF should be corrected.
Occasional review by the investigator of the values stored in the memory of the BG meter and 
correct reporting of these in the diary is advised in order to ensure adequacy of the data reported in 
the trial database. 
8.3.5
7-point self-measured plasma glucose profile
The subject will be asked to perform a 7-point SMPG profile, preferably within one week prior to
site visit according to the flowchart, on days where the subject does not anticipate unusual 
strenuousexercise.
Time points, including date and time, for the 7-point profile: before breakfast, 90 min after start of
breakfast, before lunch, 90 minutes after start of lunch, before dinner, 90 min after start of dinner
and at bedtime. 
Subjects should be instructed in how to record the results of the SMPGs in the diaries. The record of
each SMPG should include date, time and value. All data from the diary must be transcribed into
the eCRF during or following the contact. If obtained via phone and a discrepancy is later detected,
the values in the eCRF should be corrected.
8.4
Safety assessments  
8.4.1
Physical examination 
A physical examination must be performed and include the following:
!
General appearance
!
Skin
!
Thyroid gland
!
Respiratory system
!
Cardiovascular system
!
Gastrointestinal system including mouth
!
Central and peripheral nervous system
!
Lymph node palpation
8.4.2
Pulse
Pulse (beats per minute) should be recorded at site visits after resting for 5 minutes in a sitting 
position. 
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8.4.3
Electrocardiogram – 12 lead
A 12-lead ECG must be performed and interpreted locally by the investigator or delegate as 
described in Section 8.1.8.
It is allowed to perform the baseline ECG between the screening visit and the randomisation visit. 
The results should be available prior to randomisation. An ECG performed for any reason unrelated 
to this trial within 7 days prior to the screening visit is acceptable provided no clinical symptoms 
suggestive of cardiac disease have occurred in the meantime.
If the ECG was performed as a part of routine clinical practice on/before the date when the subject 
has signed the informed consent, it must be documented in the medical records that the reason for 
performing the procedure is not related to this trial.
8.4.4
Dilated fundoscopy/fundus photography
The eye examination will be performed as per flowchart (see Section 2). 
It is allowed to perform the baseline fundus photography or dilated fundoscopy between the 
screening visit and the randomisation visit. Results of the baseline fundus photography or dilated 
fundoscopy must be available and evaluated by the investigator before randomisation. If the subject 
had a fundus photography or dilated fundoscopy performed within 90 days prior to randomisation, 
the investigator may base their evaluation upon the results of that examination. However, the 
examination must be repeated before randomisation if the subject experienced worsening of visual 
function since the last examination. If the subject did not have a fundus photography or dilated 
fundoscopy performed within 90 days prior to randomisation, such examination must be performed 
by the investigator or other qualified health care professional prior to randomisation. If the 
applicable fundus photography or dilated fundoscopy was performed before the subject signed the 
informed consent form, it must be documented in the medical records that the reason for performing 
the examination was not related to this trial.
In addition, dilated fundoscopy/fundus photography must be performed at V9. In the case of 
premature discontinuation, the assessments must be performed both at V9A and at V9. The 
assessments at V9A and V9 can be performed in the period between V9A and P10A and between 
V9 and P10, respectively, but the results should be available no later than at P10A and P10, 
respectively. 
The investigator should indicate whether the outcome of the eye examination was normal or 
abnormal, and, if abnormal, indicate whether clinically significant. Relevant findings as a result of 
this screening procedure must be recorded as concomitant illness/medical history in accordance 
with Section 8.2.4
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8.4.5
Adverse events
AEs must be reported at each visit in accordance with the procedures outlined in Section 12. 
8.4.5.1
Medication error
If a medication error is observed during the trial, the following information is required and a 
specific event form must be completed in the eCRF in addition to the AE form: 
!
Trial product(s) involved 
!
Classification of medication error
!
Whether the subject experienced any hypoglycaemic episode and/or AE(s) as a result of the 
medication error 
!
Suspected primary reason for the medication error 
For definition of medication errors, see Section 12.1.4.
8.4.5.2
Adverse events requiring additional data collection
For the following AEs additional data collection is required and specific event forms must be 
completed in addition to the AE form:
!
Acute coronary syndrome (MI or hospitalisation for unstable angina)
!
Cerebrovascular event (stroke or transient ischaemic attack)
!
Heart failure 
!
Hypersensitivity reaction
!
Neoplasm (excluding thyroid neoplasm)
!
Pancreatitis
!
Renal Event
!
Thyroid disease (including thyroid neoplasm)
!
Hepatic event
!
Diabetic retinophy
!
Laboratory outlier 
See appendix B for details about the additional information to report. 
In case any of these events fulfil the criteria for a SAE, please report accordingly, see Section 12. 
8.4.6
Hypoglycaemic episodes
Plasma glucose (PG) should always be measured and recorded when a hypoglycaemic episode is 
suspected. 
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All PG values:
!
≤ 3.9 mmol/L (70 mg/dL) or 
!
> 3.9 mmol/L (70 mg/dL) occurring in conjunction with hypoglycaemic symptoms 
should be reported in the diary according to the instructions below and section 8.6.1 throughout the 
trial from visit 1 to visit 9/9A.
All information must be transcribed into the eCRF (hypoglycaemic episode form) throughout the 
trial. For Novo Nordisk classification of hypoglycaemia, see Section 17.6.2.2.
Upon onset of a hypoglycaemic episode the subject is recommended to measure PG every 15 
minutes until the SMPG value is >3.9 mmol/L (70 mg/dL) and/or symptoms have been resolved in 
accordance to current guidelines41.
A SMPG value ≤ 3.9 mmol/L (70 mg/dL) or hypoglycaemic symptoms must be recorded in the 
diary at the hypoglycaemic episode form by the subject. Repeated SMPG measurements and/or 
symptoms will by default be considered as one hypoglycaemic episode until a succeeding SMPG 
value is > 3.9 mmol/L (70 mg/dL) and/or symptoms have been resolved. One hypoglycaemic 
episode form is to cover these measurements and/or symptoms.
In case of several low SMPG values within the hypoglycaemic episode, the lowest value is the one 
that will be reported as the SMPG value for the hypoglycaemic episode but the start time of the 
episode will remain as the time for the first SMPG value and/or symptom.
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The record should include the following information:
!
Start date and time of the hypoglycaemic episode.
!
Stop date and time of the hypoglycaemic episode (stop time is the first time the PG value is >3.9 
mmol/L (70 mg/dL) and/or symptoms have been resolved). 
!
If a stop date and time is not reported, a hypoglycaemic episode will cover a period of 
60 minutes.
!
The PG level before treating the episode (if available) and any follow up measurements. 
!
The lowest value measured during the hypoglycaemic episode will be reported as the PG value 
for the episode, the remaining values will be kept as source data in the diary.
!
Whether the episode was symptomatic (Yes/No).
!
A hypoglycaemic episode starting without symptoms should be updated to symptomatic if the 
subject experiences symptoms later during the episode.
!
Whether the subject was able to treat him/herself.
!
If the severity of a hypoglycaemic episode aggravates, only one hypoglycaemic episode should 
be reported, reflecting the most severe degree of hypoglycaemia.
!
Date and time of last trial product administration and other anti-diabetic medications prior to the 
episode.
!
Date and time of last main meal (not including snacks) prior to the episode.
!
Whether the episode occurred in relation to physical activity.
!
Change in any concomitant illness
!
Any sign of fever and/or other acute disease.
!
Whether the subject was asleep when the episode occurred.
–
If yes, whether the symptoms of the episode woke up the subject.
The answer to the question: "Was the subject able to treat him/herself?" must be answered "No" for 
an episode requiring assistance of another person to actively administer carbohydrate, glucagon, or 
take other corrective actions. PG concentrations may not be available during an event, but 
neurological recovery following the return of PG to normal is considered sufficient evidence that 
the event was induced by a low PG concentration. 41
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Oral carbohydrates must not be given if the subject is unconscious.
If the question "Was the subject able to treat him/herself?" is answered "No", the following 
information should be recorded by the subject:
!
Who assisted in the treatment of the hypoglycaemic episode (i.e. medical person or non-medical 
person)?
!
Where the treatment was administered (in clinic/emergency room/hospital or other. If the 
subject was treated in clinic/emergency room/hospital, whether they were transported in an 
ambulance or not)
!
Type of treatment provided by another person (i.e. oral carbohydrates, glucagon, IV glucose or 
other)
!
Were symptoms alleviated after administration of treatment?
!
Factors contributing to the episode (i.e. physical activity, missed meal, diet change, medication 
error (i.e. overdose, mix-up between products, incorrect use of device), miscalculation of dose 
of antidiabetic medication, other factors not listed or unknown)
!
Did the subject experience seizure?
!
Was the subject unconscious/comatose?    
!
Did the subject experience any of the following symptoms42 ?
–
Autonomic: sweating, trembling, hunger or palpitations (rapid or irregular heart beat)
–
Neuroglycopenic: confusion, drowsiness, speech difficulty, visual disturbances, odd 
behaviour, impaired balance or incoordination (reduced ability to coordinate movement)
–
General malaise: headache or malaise (feeling discomfort/unease)
!
Other symptoms?
The investigator must review the diary for low SMPG values not reported as hypoglycaemic 
episodes. The subject must be questioned whether any of the low values were severe, i.e. whether 
the subject was able to self-treat or not. If the subject was not able to self-treat, it has to be reported 
as a severe hypoglycaemic episode.
Low SMPG values for non-severe hypoglycaemic episodes not having a hypoglycaemic episode 
form completed within 7 days since the SMPG measurement should be reported on a 
hypoglycaemic episode form with as much information as possible. Novo Nordisk will not query 
for additional data except for the start date, SMPG value and whether the subject was able to self-
treat due to decreased validity of such data 43,44.
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The subject must be re-trained in how to report hypoglycaemic episodes if the investigator 
identifies low SMPG values not reported as hypoglycaemic episodes.
If the hypoglycaemic episode fulfils the criteria for an SAE then an AE form and a safety 
information form (SIF) must also be filled in, see Section 12.
8.5
Laboratory assessments
The laboratory analyses will be performed by a central laboratory. If collected, anti-semaglutide
immunoglobulin E (IgE) antibodies will be analysed by Novo Nordisk. The central laboratory may
utilise subcontractors. 
In the events described in Section 8.4.5.2, a local laboratory must be used.
Descriptions of assay methods, laboratory supplies and procedures for collecting, handling, storage
and shipping of samples, will be described in the laboratory manual provided by the central
laboratory.
Laboratory samples not drawn on the day of the actual visit should preferably be drawn on another 
day within the visit window stated in the flow chart. For some of the samples drawn during the trial, 
subjects will be asked to attend the relevant site visits fasting (see Section 8.1.5).
Laboratory results will be sent by the central laboratory to the investigator on an on-going basis and 
the investigator must review all laboratory results for signs of concomitant illness and AEs and 
report these according to this protocol (see Section 12).
The laboratory provides results to the trial sites in the units preferred by the trial sites while the 
results that are transferred to the trial database will always be in SI units.
The laboratory equipment may provide analyses not requested in the protocol but produced 
automatically in connection with the requested analyses according to specifications in the laboratory 
standard operating procedures. Such data will not be transferred to the trial database, but abnormal 
values will be reported to the investigator. The investigator must review all laboratory results for 
concomitant illnesses and AEs and report these according to Section 8.2.4 and Section 12.
Only laboratory samples specified in the protocol must be sent to the central laboratory for analysis; 
if additional laboratory sampling is needed, e.g. to follow up on AEs, this must be done at a local 
laboratory.
All laboratory samples will be destroyed at the latest at the completion of the clinical trial report or 
according to local regulation. 
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8.5.1
Laboratory assessments for efficacy
Blood samples will be drawn according to flow chart and analysed at the central laboratory to
determine levels of the following efficacy laboratory parameters:
Glucose metabolism:
!
HbA1c
!
FPG
Lipids (all fasting):
!
Total cholesterol
!
LDL cholesterol
!
HDL cholesterol
!
Triglycerides
Fasting plasma glucose 
FPG is measured at central laboratory in order to evaluate glycaemic control. The subject must
attend these visits fasting (see Section 8.1.5).
A central FPG result ≤ 3.9 mmol/L (70 mg/dL) in relation to planned fasting visits should not be
reported as a hypoglycaemic episode but as a CLAE at the discretion of the investigator (see 
Section 12.1.1).
8.5.2
Laboratory assessments for safety
Blood samples will be drawn according to flow chart and analysed at the central laboratory to 
determine levels of the following safety laboratory parameters:
Biochemistry:
!
ALT
!
Aspartate aminotransferase (AST)
!
Albumin, 
!
Bilirubin (total)
!
Alkaline phosphatase
!
Potassium
!
Sodium 
!
Calcium (total) 
!
Amylase
!
Lipase 
!
Calcitonin
!
Creatinine, including eGFR 
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!
Bicarbonate
Haematology:
!
Haemoglobin
!
Haematocrit
!
Erythrocytes
!
Thrombocytes
!
Leucocytes
Pregnancy test (females of child bearing potential):
!
Serum β-human chorionic gonadotropin
Calcitonin 
Blood samples for the measurement of calcitonin concentration will be drawn as per flow chart. In 
case any calcitonin value at any time of the trial is ≥10 ng/L, the algorithm in appendix A should be 
followed.
Pregnancy testing
Females of childbearing potential will have a serum pregnancy test performed at visit 1, 9 and 9A 
(see Section 2). At visit 2, a urine pregnancy test must be performed prior to randomisation.
In case a menstrual period is missed or if pregnancy is suspected at any time during the trial, a urine 
pregnancy test should be performed. The subject should be instructed not to dose trial product 
before pregnancy has been ruled out.
Pregnancy testing will not be required (unless required by local law) for women of non-
childbearing potential, such as but not limited to women who have undergone a hysterectomy, 
bilateral oophorectomy, bilateral tubal ligation or are postmenopausal (e.g. women above the age of 
50, who have been without menstrual period for at least 1 year).
8.6
Other assessments
8.6.1
Subject diary 
The subject must be provided with paper diaries at visits described in the flow chart. If a subject
prematurely discontinues trial product, diaries should not be dispensed and filled out by the subjects
after the follow up premature discontinuation visit (P10A). Entries in the diaries are only to be 
made by the subject, unless otherwise specified.
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Date:
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Trial ID: NN9535-4269
Version:
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Status:
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The investigator should instruct the subject in recording the following data in the diary:
!
Date, time and dose of first dose of trial product
!
Date and last dose of trial product prior to each visit
!
SMPG 7-point profile
!
Hypoglycaemic episodes
!
Concomitant medication
!
AEs
The diaries should be handed out/collected as indicated in the flow chart. The subject should bring
the diary for review at every clinic visit up until visit 9). The recordings must be reviewed as
described in Section 13.3 and transcribed to the eCRF.
If any hypoglycaemic episodes are reported at P10 or P10A, the information related to the
hypoglycaemic event(s) should be documented in the subject’s medical record and the entry in the
medical record will be considered source data.
8.6.2
Electronic patient reported outcome questionnaires
The following ePRO questionnaires will be used in the trial:
!
SF-36v2TM
!
DTSQ
The questionnaires should be completed by the subject, preferably after conclusion of all fasting 
related activities but before any other visit-related activities. It takes approximately 10 minutes to 
complete the questionnaires, see Section 13.3. The assessments must be reviewed as described in 
Section 8.1.8. 
8.6.2.1
Short-Form 36 Health Survey 
The SF-36v2™ questionnaire will be used to assess subjects overall health related quality of life
and can also be used to estimate quality adjusted life years (QALY) which is used in cost
effectiveness calculations. This questionnaire contains 36 items and measures the individual overall
health related quality of life on 8 domains; physical functioning, role functioning, bodily pain,
general health, vitality, social functioning, role emotional and mental health.
8.6.2.2
Diabetes Treatment Satisfaction Questionnaire
The DTSQ questionnaire will be used to assess subject’s treatment satisfaction. This questionnaire
contains of 8 items and measures the subject’s diabetes treatment (including tablets and/or diet in 
terms of convenience, flexibility and general feelings regarding treatment).
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8.6.3
Training in the delivery device
The subjects must be trained in how to handle the PDS290 pen-injector when handed out the first 
time. Training should be repeated during the trial at regular intervals at the discretion of the 
investigator in order to ensure correct use of the device. The training should be done in accordance 
with the directions for use.
8.6.4
Training in blood glucose meter use
The subjects must be provided with a BG meter at visit 1 and instructed in how to use and handle 
the BG meter .The subjects will be instructed in how to use the device and the instruction will be 
repeated at visit 2 and as necessary during the trial, in accordance with the flow chart (see Section 
2).
8.7
Subject compliance
Throughout the trial, the investigator will remind the subjects to follow the trial procedures and 
requirements to ensure subject compliance. If a subject is found to be non-compliant, the 
investigator will remind the subject of the importance of following the instructions given including 
taking the trial products as prescribed.
Treatment compliance: will be assessed by monitoring of drug accountability. Prior to visits 
where drug accountability is performed the subject will be asked to return all used, partly used and 
unused trial products. The investigator must assess the amount of trial products returned compared 
to what was dispensed at the last dispensing visit and, in case of discrepancies, question the subject.
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Date:
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Version:
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Status:
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9
Trial supplies
Trial supplies comprise trial products and auxiliary supplies. Additional details regarding trial 
supplies can be found in the Trial Materials Manual (TMM). 
Trial products must not be dispensed to any person not included in the trial. 
Trial product must not be used, if it does not appear clear and colourless.
9.1
Trial products
The following trial products will be provided by Novo Nordisk A/S, Denmark:
Table 9–1
Trial products 
Trial product
Strength
Dosage form
Route of 
administration
Container/
delivery device
Semaglutide 1.34 mg/mL
1.34 mg/mL
solution for 
injection
s.c. 
1.5 ml PDS290 
pre-filled 
pen-injector
Semaglutide placebo
N/A
SGLT-2 inhibitors, metformin and SUs are considered background medication (NIMPs) and will 
not be provided by Novo Nordisk.
For Japan only: During the treatment period, all anti-diabetic medication including rescue 
medication will be reimbursed by Novo Nordisk Japan according to the local requirement.
Semaglutide 1.34 mg/mL and placebo are visually identical and will be packed blinded.
9.2
Labelling
The trial products will be labelled in accordance with Annex 1345, local regulations and trial 
requirements. Each box will be labelled with a unique dispensing unit number (DUN).
Each trial site will be supplied with sufficient trial products for the trial on an on-going basis 
controlled by the IWRS. Trial products will be distributed to the trial sites according to enrolment 
and randomisation. 
The investigator must document that DFU is given to the subject orally and in writing at the first 
dispensing visit (randomisation visit). 
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9.3
Storage 
Table 9–2
Storage conditions
Trial product
Storage conditions
(not-in-use)
In-use conditions
In-use timea
Semaglutide 1.34 mg/mL
Store in a refrigerator 2–8°C
Do not freeze
Protect from light
Store below 30°C 
Do not freeze 
Protect from light
8 weeks 
Semaglutide placebo
a In-use time starts when the product is taken out of the refrigerator at subjects home. 
The investigator must ensure that trial product is kept under proper storage conditions and record 
and evaluate the temperature. The investigator must inform Novo Nordisk immediately if any trial 
product has been stored outside specified conditions (e.g. outside temperature range). Additional 
details regarding handling of temperature deviations can be found in the TMM.
Trial product that has been stored improperly must not be dispensed to any subject before it has 
been evaluated and approved for further use by Novo Nordisk. The investigator must take 
appropriate action to ensure correct storage.
For Japan only: The head of the study site or the trial product storage manager if assigned by the 
head of the study site must ensure the availability of proper storage conditions, record and evaluate 
the temperature.
9.4
Drug accountability and destruction
Drug accountability of all trial products received at site is the responsibility of the investigator.
For Japan only: Drug accountability is the responsibility of the head of the study site or the trial 
product storage manager if assigned by the head of the study site.
Subjects are instructed to return all used, partly used and unused trial product including empty 
packaging material according to Section 2.
Returned trial product (used/partly used and/or unused), expired or damaged trial product can be 
stored at room temperature and must be stored separately from non-allocated trial product.
Non-allocated trial products including expired or damaged products must be accounted as unused at 
the latest at closure of the trial site.
Drug accountability of investigational medicinal products (IMPs) should be performed at pen level.
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Destruction of trial products can be performed on an on-going basis and will be done according to 
local procedures after accountability is finalised and reconciled by the monitor. Destruction of 
products must be documented in the IWRS.
9.5
Auxiliary supplies
The following auxiliary supplies will be supplied by Novo Nordisk in accordance with the TMM:
!
DFU for PDS290 pen-injector
!
Needles for PDS290 pen-injector
!
BG-meter and related auxiliaries
Only needles provided by Novo Nordisk must be used for administration of trial product.
For Japan only: The trial sites are allowed to purchase and supply themselves with BG meters, if 
possible. BG meters must be the same model as supplied by Novo Nordisk.
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10
Interactive voice/web response system
A trial-specific IWRS will be set up which can be accessed at any time via the internet or telephone. 
Access to the IWRS must be restricted to and controlled by authorised persons. 
IWRS is used for:
!
Screening
!
Screening failure
!
Randomisation
!
Medication arrival
!
Dispensing
!
Dispensing Verification (when barcode scanner is used)
!
Treatment discontinuation 
!
Completion
!
Code break
!
Drug accountability
!
Data change
IWRS user manuals will be provided to each trial site.
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11 Randomisation procedure and breaking of blinded codes
This is a double-blind, two-arm trial. A randomisation session will be performed for all eligible 
subjects by using IWRS. 
At the randomisation visit (V2), eligible subjects will be randomised to one of the two parallel 
treatments groups in a 1:1 manner: 
!
Semaglutide 1.0 mg once-weekly
!
Placebo once-weekly
Randomisation will be stratified based on:
!
Anti-diabetic background medication at screening (subjects on SU or not on SU)
!
Country (Japan or other)
to ensure a 1:1 distribution of the two treatment arms within each stratum.
11.1
Breaking of blinded codes
The IWRSwill notify Novo Nordisk (monitor and the Global Safety department) immediately after 
the code is broken. If the code is broken by Novo Nordisk Global Safety, then monitor will not be 
notified.
The code for a particular subject may be broken in a medical emergency if knowing the actual 
treatment would influence the treatment of the subject. Whenever a code is broken the person 
breaking the code must print the Code Break Confirmation Notification generated by the IWRS, 
and sign and date the document. The reason for code break should be documented in the medical 
record.
When the code is broken, the treatment allocation will be accessible to the investigator and the
Novo Nordisk Global Safety department.If IWRS is not accessible at the time of code break the 
IWRS helpdesk should be contacted. Contact details are listed in Attachment I.
If the code has been brokenby the Investigator, the subject must discontinue treatment with trial 
product and a treatment discontinuation session must be completed in IWRS.
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12 Adverse events, and technical complaints and pregnancies
12.1
Definitions
12.1.1
Adverse event 
An AE is any untoward medical occurrence in a subject administered a medicinal product, and 
which does not necessarily have a causal relationship with this treatment.
An AE can therefore be any unfavourable and unintended sign (including an abnormal laboratory 
finding), symptom or disease temporally associated with the use of a product, whether or not 
considered related to the product.
An AE includes:
!
A clinically significant worsening of a concomitant illness.
!
A CLAE: a clinical laboratory abnormality which is clinically significant, i.e. an abnormality 
that suggests a disease and/or organ toxicity and is of a severity that requires active 
management. Active management includes active treatment or further investigations, for 
example change of medicine dose or more frequent follow-up due to the abnormality.
The following should not be reported as AEs:
!
Pre-existing conditions, including those found as a result of screening or other trial procedures 
performed before exposure to trial product (pre-existing conditions should be reported as 
medical history or concomitant illness).
!
Pre-planned procedures unless the condition for which the procedure was planned has worsened 
from the first trial related activity after the subject has signed the informed consent.
!
Non-serious hypoglycaemia is an AE, but is reported on a hypoglycaemic episode form instead 
of on an AE form, see Section 8.4.6. 
The following three definitions are used when assessing an AE:
!
Severity 
–
Mild – no or transient symptoms, no interference with the subject’s daily activities.
–
Moderate – marked symptoms, moderate interference with the subject’s daily activities.
–
Severe – considerable interference with the subject’s daily activities; unacceptable.
!
Causality 
Relationship between an AE and the relevant trial product(s):
–
Probable - Good reason and sufficient documentation to assume a causal relationship.
–
Possible - A causal relationship is conceivable and cannot be dismissed.
–
Unlikely - The event is most likely related to aetiology other than the trial product.
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•
Final outcome
–
Recovered/resolved - The subject has fully recovered, or by medical or surgical treatment 
the condition has returned to the level observed at the first trial-related activity after the 
subject signed the informed consent.
–
Recovering/resolving - The condition is improving and the subject is expected to recover 
from the event. This term is only applicable if the subject has completed the trial or has died 
from another AE.
–
Recovered/resolved with sequelae - The subject has recovered from the condition, but 
with lasting effect due to a disease, injury, treatment or procedure. If a sequela meets an 
SAE criterion, the AE must be reported as an SAE.
–
Not recovered/not resolved - The condition of the subject has not improved and the 
symptoms are unchanged, or the outcome is not known.
–
Fatal - This term is only applicable if the subject died from a condition related to the 
reported AE. Outcomes of other reported AEs in a subject before he/she died should be 
assessed as “recovered/resolved”, “recovering/resolving”, “recovered/resolved with 
sequelae” or “not recovered/not resolved”. An AE with fatal outcome must be reported as 
an SAE.
–
Unknown - This term is only applicable if the subject is lost to follow-up.
12.1.2
Serious adverse event
A SAE is an experience that at any dose results in any of the following:
!
Death.
!
A life-threateninga experience.
!
In-patient hospitalisationb or prolongation of existing hospitalisation.
!
A persistent or significant disability or incapacityc.
!
A congenital anomaly or birth defect.
!
Important medical events that may not result in death, be life threateninga or require 
hospitalisationb may be considered an SAE when - based on appropriate medical judgement -
they may jeopardise the subject and may require medical or surgical intervention to prevent one 
of the outcomes listed in the definition of SAEd. 
a. The term “life threatening” in the definition of SAE refers to an event in which the subject was at 
risk of death at the time of the event. It does not refer to an event which hypothetically might have 
caused death if it was more severe.
b. The term “hospitalisation” is used when a subject: 
–
Is admitted to a hospital or in-patient, irrespective of the duration of physical stay, or 
–
Stays at the hospital for treatment or observation for more than 24 hours
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Medical judgement must always be exercised, and when in doubt, the hospital contact should be 
regarded as a hospitalisation. Hospitalisations for administrative, trial related and social purposes do 
not constitute AEs and should therefore not be reported as AEs or SAEs. Hospital admissions for 
surgical procedures, planned before trial inclusion, are not considered AEs or SAEs.
c. A substantial disruption of a subject’s ability to conduct normal life functions (e.g. following the 
event or clinical investigation the subject has significant, persistent or permanent change, 
impairment, damage or disruption in his/her body function or structure, physical activity and/or 
quality of life).
d. For example intensive treatment in an emergency room or at home of allergic bronchospasm, 
blood dyscrasia or convulsions that do not result in hospitalisation or development of drug 
dependency or drug abuse.
The following AEs must always be reported as an SAE using the important medical event criterion
if no other seriousness criteria are applicable:
!
suspicion of transmission of infectious agents via the trial product 
!
risk of liver injury defined as ALT or AST >3 x UNL and total bilirubin >2 x UNL, where no 
alternative aetiology exists (Hy's law).
Additional assessments should be made for events meeting the criterion of Hy’s law as stated above 
(see appendix B).
12.1.3
Non-serious adverse event
A non-serious AE is any AE which does not fulfil the definition of an SAE.
12.1.4
Medication errors
A medication error concerning trial products is defined as:
!
Administration of wrong drug.
Note: Use of wrong DUN is not considered a medication error.
!
Wrong route of administration, such as intramuscular instead of s.c..
!
Administration of an overdose with the intention to cause harm (e.g. suicide attempt), misuse or 
abuse of trial product.
!
Accidental administration of a lower or higher dose than intended. The administered dose must 
deviate from the intended dose to an extent where clinical consequences for the trial subject 
were likely to happen as judged by the investigator, although they did not necessarily occur.
Medication errors must be reported on an AE form and a specific event form, see Section 8.4.5.1.
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12.1.5
Adverse events requiring additional data collection
AEs requiring additional data collection are AEs where the additional data will benefit the 
evaluation of the product safety.
Some events in this trial will be adjudicated by an independent external committee as described in 
Section 12.7.2.
Table 12–1 lists AEs that require completion of specific event forms in the eCRFs and/or are 
subject to event adjudication.
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Table 12–1
AEs requiring completion of specific event forms and/or are subject to event 
adjudication
Event
Specific event 
form
Event adjudication
Acute coronary syndrome (MI or hospitalisation for unstable 
angina)
Yes
Yes
Cerebrovascular event (stroke or transient ischaemic attack)
Yes
Yes
Heart failure 
Yes
Yes (only if requiring 
hospitalisation)
Hypersensitivity reaction
Yes
No
Neoplasm (excluding thyroid neoplasm)
Yes
Yes (only if malignant)
Pancreatitis
Yes
Yes (only if acute 
pancreatitis)
Renal Event
Yes
No
Thyroid disease (including thyroid neoplasm)
Yes
Yes, (only if malignant 
thyroid neoplasm or C-
cell hyperplasia)
Death
No
Yes
Hepatic event defined as:
ALT or AST >5 x UNL and total bilirubin ≤ 2 x UNL
ALT or AST >3 x UNL and total bilirubin > 2 x UNL
Hepatic event leading to trial product discontinuation
Yes
No
Diabetic retinopathy
Yes
No
Laboratory outlier
Yes
No
For details about specific event forms, see appendix B.
12.1.6
Technical complaints
A technical complaint is any written, electronic, or oral communication that alleges product 
(medicine or device) defects. The technical complaint may be associated with an AE, but does not 
concern the AE itself.
Examples of technical complaints:
!
The physical or chemical appearance of trial products (e.g. discoloration, particles or 
contamination)
!
All packaging material including labelling
!
Problems related to devices (e.g. to the injection mechanism, dose setting mechanism, push 
button or interface between the pen and the needle)  
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12.2
Reporting of adverse events
All events meeting the definition of an AE must be collected and reported. This includes events 
from the first trial-related activity after the subject has signed the informed consent until the end of 
the post-treatment follow-up period (P10). The events must be recorded in the applicable eCRF 
forms in a timely manner, see timelines below and Figure 12–1. 
During each contact with the trial site staff, the subject must be asked about AEs and technical 
complaints, for example by asking: “Have you experienced any problems since the last contact?”
All AEs, observed by the investigator or subject, must be reported by the investigator and 
evaluated. 
All AEs must be recorded by the investigator on an AE form. The investigator should report the 
diagnosis, if available. If no diagnosis is available, the investigator should record each sign and 
symptom as individual AEs using separate AE forms.  
For SAEs, a SIF must be completed in addition to the AE form. If several symptoms or diagnoses 
occur as part of the same clinical picture, one SIF can be used to describe all the SAEs.
For all non-serious AEs, the applicable forms should be signed when the event is resolved or at the 
end of the trial at the latest.
Some events will undergo event adjudication by the event adjudication committee (EAC), please 
refer to Section 12.7.2. For AEs qualifying for event adjudication, the Adjudication Form will also 
have to be completed in the eCRF. The Adjudication Form is a checklist of clinical data to be 
provided from the site.
Timelines for initial reporting of AEs:
The investigator must complete the following forms in the eCRF within the specified timelines:
!
SAEs: The AE form within 24 hours and the SIF within 5 calendar days of the investigator’s 
first knowledge of the SAE. Both forms must be signed within 7 calendar days from the date 
the information was entered in the eCRF. 
!
For SAEs requiring reporting on a specific event form: In addition to the above the specific 
event form within 14 calendar days from the investigator’s first knowledge of the AE.
!
Events for adjudication: The adjudication form should be completed within 14 calendar days 
of investigator’s first knowledge of the AE, see Section 12.7.2. 
If the eCRF is unavailable, the concerned AE information must be reported on a paper AE form and 
sent to Novo Nordisk by fax, e-mail or courier within the same timelines as stated above. When the 
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eCRF becomes available again, the investigator must enter the information on the form into the 
eCRF. 
Contact details (fax, telephone, e-mail and address) are provided in the investigator trial master file. 
Figure 12–1
Reporting of AEs
Novo Nordisk assessment of AE expectedness: 
Novo Nordisk assessment of expectedness is performed according to the following reference 
documents:
!
Semaglutide: NN9535 IB, current version 24and any updates thereto
Reporting of trial product-related SUSARs by Novo Nordisk:
Novo Nordisk will notify the investigator of trial product-related suspected unexpected serious 
adverse reactions (SUSARs) in accordance with local requirements and ICH GCP1. In addition, the 
investigator will be informed of any trial-related SAEs that may warrant a change in any trial 
procedure.
In accordance with regulatory requirements, Novo Nordisk will inform the regulatory authorities, 
including EMA, of trial product-related SUSARs. In addition, Novo Nordisk will inform the 
institutional review boards (IRBs)/independent ethics committees (IECs) of trial product-related 
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SUSARs in accordance with local requirement and ICH GCP1, unless locally this is an obligation of 
the investigator.
Novo Nordisk products used as concomitant medication
If an AE is considered to have a causal relationship with a Novo Nordisk marketed product used as 
concomitant medication in the trial, it is important that the suspected relationship is reported to 
Novo Nordisk, e.g. in the alternative aetiology section on the SIF. Novo Nordisk may need to report 
this AE to relevant regulatory authorities.
12.3
Follow-up of adverse events
The investigator must record follow-up information by updating the forms in the eCRF.
Follow-up information must be reported to Novo Nordisk according to the following:
!
SAEs: All SAEs must be followed until the outcome of the event is “recovered/resolved”, 
“recovered/resolved with sequelae” or “fatal”, and until all queries have been resolved. Cases of 
chronic conditions, cancer or AEs ongoing at time of death (where death is due to another AE) 
may be closed with the outcome “recovering/resolving” or “not recovered/not resolved”. Cases 
can be closed with the outcome of “recovering/resolving” when the subject has completed the
follow-up period and is expected by the investigator to recover.
The SAE follow-up information should only include new (e.g. corrections or additional) 
information and must be reported within 24 hours of the investigator’s first knowledge of the 
information. This is also the case for previously non-serious AEs which subsequently become 
SAEs. 
!
Non-serious AEs: Non-serious AEs must be followed until the outcome of the event is 
“recovering/resolving”, “recovered/resolved” or “recovered/resolved with sequelae” or until the 
end of the follow-up period stated in the protocol, whichever comes first, and until all queries 
related to these AEs have been resolved. Cases of chronic conditions, cancer or AEs ongoing at 
time of death (where death is due to another AE) may be closed with the outcome 
“recovering/resolving” or “not recovered/not resolved”. Cases can be closed with the outcome 
of “recovering/resolving” when the subject has completed the follow-up period and is expected 
by the investigator to recover.
The investigator must ensure that the recording of the worst case severity and seriousness of an 
event is kept throughout the trial. A worsening of an unresolved AE must be reported as follow up 
with re-assessment of severity and/or seriousness of the event.
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Queries or follow-up requests from Novo Nordisk must be responded to within 14 calendar days
from the date of receipt of the request, unless otherwise specified in the follow-up request.
SAEs after end of trial: If the investigator becomes aware of an SAE with a suspected causal 
relationship to the IMP occurring to a subject after the subject has ended the trial, the investigator 
should report this SAE within the same timelines as for SAEs during the trial. 
12.4
Technical complaints and technical complaint samples
12.4.1
Reporting of technical complaints 
All technical complaints on any of the following products: 
!
Semaglutide 1.34 mg/mL 1.5 mL prefilled PDS290 pen-injector or placebo 1.5 mL prefilled
PDS290 pen-injector
!
Novo Nordisk needles for prefilled PDS290 pen-injector
which occur from the time of first usage of the product until the time of the last usage of the
product, must be collected and reported to Customer Complaint Center, Novo Nordisk.
Contact details (fax, e-mail and address) are provided in Attachment I to the protocol.
The investigator must assess whether the technical complaint is related to any AEsand/or SAEs.
Technical complaints must be reported on a separate technical complaint form: 
!
One technical complaint form must be completed for each affected DUN
!
If DUN is not available, a technical complaint form for each code or lot number must be
completed
The investigator must complete the technical complaint form in the eCRF within the following 
timelines of the trial site obtaining knowledge of the technical complaint:
!
Technical complaint assessed as related to an SAE within 24 hours
!
All other technical complaints within 5 calendar days
If the eCRF is unavailable or when reporting a technical complaint that is not subject related, the 
information must be provided on a paper form by fax, e-mail or courier to Customer Complaint 
Center, Novo Nordisk, within the same timelines as stated above. When the eCRF becomes 
available again, the investigator must enter the information on the technical complaint form in the 
eCRF.
12.4.2
Collection, storage and shipment of technical complaint samples
The investigator must collect the technical complaint sample and notify the monitor within 5 
calendar days of obtaining the sample at trial site. The monitor must coordinate the shipment to 
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Customer Complaint Center, Novo Nordisk (the address is provided in Attachment I) and ensure 
that the sample is sent as soon as possible. A copyof the technical complaint form must be included 
in the shipment of the sample. If several samples are returned in one shipment, the individual 
sample and the corresponding technical complaint form must be clearly separated.
The investigator must ensure that the technical complaint sample contains the code or lotnumber 
and, if available, the DUN. All parts of the DUN should be returned.
If the technical complaint sample is unobtainable, the investigator must specify on the technical 
complaint form why it is unobtainable. 
Storage of the technical complaint sample must be done in accordance with the conditions 
prescribed for the product.  
12.5
Pregnancies
12.5.1
Pregnancies in female subjects 
Female subjects must be instructed to notify the investigator immediately if they become pregnant 
during the trial. The investigator must report any pregnancy in subjects who have received trial 
product(s).
The investigator must follow the pregnancy until the pregnancy outcome and the newborn infant is 
one month of age.
The investigator must report information about the pregnancy, pregnancy outcome, and health of 
the newborn infant(s), as well as AEs in connection with the pregnancy, and AEs in the foetus and 
newborn infant.
The following must be collected and reported by the investigator to Novo Nordisk - electronically 
(e.g. in PDF format), or by fax or courier:
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1. Reporting of pregnancy information
Information about the pregnancy and pregnancy outcome/health of the newborn infant(s) has to 
be reported on Maternal Form 1A and 1B, respectively. 
When the pregnancy outcome is abnormal (i.e. congenital anomalies, foetal death including 
spontaneous abortion and/or any anomalies of the foetus observed at gross examination or 
during autopsy), and/or when a congenital anomaly is diagnosed within the first month, further 
information has to be reported for the female subject on Maternal Form 2. In addition, 
information from the male partner has to be reported on the Paternal Form, after an informed 
consent has been obtained from the male partner. 
Initial reporting and follow-up information must be reported within 14 calendar days of the 
investigator’s first knowledge of initial or follow-up information.
2. Reporting of AE information
The investigator has to report AEs in connection with the pregnancy as well as in the foetus and 
newborn infant(s). The SAEs that must be reported include abnormal outcome, such as foetal 
death (including spontaneous abortion), and congenital anomalies (including those observed at 
gross examination or during autopsy of the foetus), as well as other pregnancy complications 
fulfilling the criteria of an SAE.
Forms and timelines for reporting AEs:
Non-serious AEs: 
!
AE forma within 14 calendar days of the investigator’s first knowledge of the initial or follow-
up information to the non-serious AE.
SAEs: 
!
AE forma within 24 hours of the investigator’s first knowledge of the SAE.
!
SIF within 5 calendar days of the investigator’s first knowledge of the SAE.
!
SAE follow-up information to the AE form and/or SIF within 24 hours of the investigator’s 
first knowledge of the follow-up information.
a It must be clearly stated in the AE diagnosis field on the AE form if the event occurred in the 
subject, foetus or newborn infant. If the AE occurred in the foetus or newborn infant, the AE 
can only be reported on paper AE and SIF.
Any queries or follow-up requests from Novo Nordisk to non-serious AEs, SAEs and pregnancy 
forms must be responded to by the investigator within 14 calendar days from the date of receipt of 
the request, unless otherwise specified in the follow-up request.
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12.6
Precautions and/or overdose
Events of nausea, vomiting and headache have been reported in connection with accidental 
administration of semaglutide doses up to 4 mg. No symptoms of hypoglycaemia have been 
reported in connection with overdose of semaglutide. In the event of overdosage, appropriate 
supportive treatment should be initiated according to subject’s clinical signs and symptoms.
12.7
Committees related to safety
12.7.1
Novo Nordisk safety committee
Novo Nordisk will constitute an internal semaglutide s.c. safety committee to perform ongoing 
safety surveillance. The semaglutide s.c. safety committee may recommend unblinding of any data 
for further analysis, and in this case an independent ad hoc group will be established in order to 
maintain the blinding of the trial personnel.
12.7.2
Event adjudication committee
An independent external EAC is established to perform validation of selected AEs according to pre-
defined diagnostic criteria. The validation is based on review of pre-defined clinical data related to 
the specific AE. Pre-defined clinical data consist of copies of source documents collected and 
delivered by the investigational sites.
The EAC is composed of permanent members covering required medical specialities. EAC 
members must disclose any potential conflicts of interest and must be independent of Novo 
Nordisk. 
The events are reviewed by the event adjudication committee in a blinded manner. The EAC will 
have no authorisations to impact on trial conduct, trial protocol or amendments.
The EAC works in accordance with written guidelines included in the EAC Charter describing in 
details the composition, tasks, responsibilities and work processes of the committee.
The events outlined in Section 12.1.5 have been selected for adjudication in order to obtain an 
external independent validation of the diagnosis. In addition, cardiovascular events are being 
adjudicated according to Standardized Definitions 46.
The EAC will review copies in English (translated if necessary) of medical documentation received 
in the adjudication packages (e.g. x-ray, ECGs, ultrasound images, discharge summaries, pathology 
reports and death certificates). The investigator must provide medical documentation as soon as 
possible, when they receive the request from Novo Nordisk or the event adjudication vendor.
The AEs for adjudication are listed in Table 12–2. 
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Table 12–2
AEs for adjudication 
Events
Description
Adjudication outcome
Death*
All-cause death
! Cardiovascular death 
(including 
undetermined cause of 
death)
! Non-cardiovascular 
death
Acute Coronary 
Syndrome
Acute Coronary Syndrome conditions include: 
! ST-elevation acute myocardial infarction (STEMI)
! Non-ST elevation acute myocardial infarction (NSTEMI)
! Silent myocardial infarction
! Unstable angina pectoris (UAP) requiring hospitalisation
! Acute myocardial 
infarction (STEMI or 
NSTEMI), silent MI,
! Unstable angina 
pectoris requiring 
hospitalisation
Cerebrovascular 
events
! Episode of focal or global neurological dysfunction caused 
by brain, spinal cord, or retinal vascular injury as a result of 
haemorrhage or infarction
! Transient Ischaemic Attack (TIA) is defined as a transient 
episode (< 24 hours) of focal neurological dysfunction 
caused by brain, spinal cord, or retinal ischaemia, without 
acute infarction
! Ischaemic stroke
! Haemorrhagic stroke
! Undetermined stroke
! TIA
Heart failure 
requiring 
hospitalisation
! Hospitalisation with a primary diagnosis of heart failure 
(new episode or worsening of existing heart failure)
! Heart failure requiring 
hospitalisation
Acute pancreatitis
The diagnosis of acute pancreatitis requires two of the 
following three features:
! Abdominal pain consistent with acute pancreatitis (acute 
onset of a persistent, severe, epigastric pain often radiating 
to the back)
! Serum lipase activity (and/or amylase activity) at least three 
times greater than the upper limit of normal
! Characteristic findings of acute pancreatitis on imaging
! Acute pancreatitis
o
Mild
o
Moderate severe
o
Severe
Malignant neoplasm
! Malignant neoplasms are defined as
! Neoplasms in which abnormal cells divide without control 
and can invade nearby tissues and/or spread to other parts 
of the body through the blood and lymph systems
! Thyroid neoplasms are excluded in this event category
! Malignant neoplasm
Thyroid disease, if 
malignant thyroid 
neoplasm or C-cell 
hyperplasia
Malignant thyroid neoplasms are defined as;
! thyroid neoplasms in which abnormal cells divide without 
control and can invade nearby tissues and/or spread to other 
parts of the body through the blood and lymph systems
C-cell hyperplasia, defined as hyperplasia of the parafollicular 
C-cells of the thyroid gland
! Malignant thyroid 
neoplasm
! C-cell hyperplasia
*Death is not a separate event, but an outcome.
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There are different processes for capturing events for adjudication:
!
Direct reporting by investigator:
–
All AEs need to be assessed by the investigator if any AE category is applicable. If the AE 
category selected is in scope for adjudication, the event specific adjudication form will be 
populated for sites to complete.
–
AEs with fatal outcome.
!
Screening:
–
All AEs will be screened by Novo Nordisk for potential missed events for adjudication and 
if needed, the investigator will be asked to provide additional information such as an 
alternative aetiology, underlying cause(s) and/or clinical details.
!
EAC identified events:
–
The EAC can decide to have an AE adjudicated even if not initially reported as an event for 
adjudication by the investigator.
Event adjudication will be performed for AEs in randomised subjects including AEs with an onset 
date during the screening period. Event adjudication will not be performed for AEs in screening 
failures. 
AEs for adjudication must be reported according to Section 12.2. In addition the specific 
adjudication form should be completed within 14 calendar days of the investigator’s first 
knowledge of the AE, and all relevant predefined documents provided within 4 weeks according to 
instructions in the event adjudication site manual.
The assessment made by the EAC will be included in the clinical trial report as well as the 
assessments made by the investigator. However, the adjudication made by the EAC, given its 
independent analysis of each event, will be attributed with greater importance of the two. The 
outcome of adjudication will be kept in the clinical trial database.
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13 Case report forms 
Novo Nordisk will provide a system for the eCRF. This system and support services to the system 
will be provided by an external supplier.
Ensure that all relevant questions are answered, and that no empty data field exists. If a test or an 
assessment has not been done and will not be available, or if the question is irrelevant (e.g. is not 
applicable), indicate this according to the data entry instructions.
The following will be provided as paper CRFs:
!
Pregnancy forms
The following will be provided as paper CRFs to be used when access to the eCRF is revoked or if 
the eCRF is unavailable:
!
AE forms 
!
Safety information forms 
!
Technical complaint forms (also to be used to report complaints that are not subject related (e.g. 
discovered at trial site before allocation) 
On the paper CRF forms print legibly, using a ballpoint pen. Ensure that all questions are answered, 
and that no empty data blocks exist. Ensure that no information is recorded outside the data blocks. 
If a test/assessment has not been done and will not be available, indicate this by writing “ND” (not 
done) in the appropriate answer field in the CRF. If the question is irrelevant (e.g. is not applicable) 
indicate this by writing “NA” (not applicable) in the appropriate answer field. Further guidance can 
be obtained from the instructions in the CRF.
The investigator must ensure that all information is consistent with the source documentation. By 
electronically signing the case book in the eCRF, the investigator confirms that the information in 
the eCRF and related forms is complete and correct.
13.1
Corrections to case report forms 
Corrections to the eCRF data may be made by the investigator or the investigator’s delegated staff. 
An audit trail will be maintained in the eCRF application containing as a minimum: the old and the 
new data, identification of the person entering the data, date and time of the entry and reason for the 
correction.
If corrections are made by the investigator’s delegated staff after the date the investigator has signed 
the case book, the case book must be signed and dated again by the investigator.
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13.2
Case report form flow 
The investigator must ensure that data is recorded in the eCRF as soon as possible, preferably 
within 5 days after the visit. Once data has been entered, it will be available to Novo Nordisk for 
data verification and validation purposes.
The pregnancy forms are paper based CRFs. Also, the AE forms, technical complaint forms, and
safety information forms will be provided in paper but are only to be used if for any reason the
eCRF is unavailable.
The investigator must ensure that data is recorded in these forms as soon as possible after the visit.
At the end of the trial the investigator must ensure that all remaining data have been entered into the
eCRF no later than 3 days after LPLV at the site in order to ensure the planned lock of the database.
Site specific eCRF data (in an electronic readable format) will be provided to the trial site before 
access to the eCRF is revoked. This data must be retained at the trial site.
13.3
Electronic collection of questionnaires
Novo Nordisk will use a tablet at sites for electronic recording of PRO questionnaires (see Section 
8.6.2). The tablet and related support services will be supplied by an external vendor.
Subjects will be instructed in the use of the tablet before entering any data. The tablet will contain 
built-in edit checks, to ensure that all relevant questions are answered. The tablet is not intended to 
support the subsequent review and modification of completed entries. In case of need for 
corrections to the transferred data, a query flow must be initiated by the investigator or delegate. An 
audit trail will be maintained.
All data entered will be transferred automatically from the tablet to a database hosted by the 
supplier which is considered as source data. Data entered on the devices will upon confirmation of 
successful backup be deleted from the devices.
Data in this database will be viewable to relevant site and Novo Nordisk personnel through a secure 
and password-protected web portal. Data will be transferred to the Novo Nordisk clinical database 
at defined intervals.
Site-specific electronic questionnaire data (in an electronic readable format) will be provided to the 
trial site before access to the supplier database is revoked. This data must be retained at the trial site.
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14 Monitoring procedures 
During the course of the trial, the monitor will visit the trial site to ensure that the protocol is 
adhered to, that all issues have been recorded, to perform source data verification and to monitor 
drug accountability. The first monitoring visit will be performed as soon as possible after FPFV at 
the trial site and no later than 4 weeks after. The monitoring visit intervals will depend on the 
outcome of the remote monitoring of the eCRFs, the trial site's recruitment rate and the compliance 
of the trial site to the protocol and GCP, but will not exceed 12 weeks for trial sites with active 
subjects (defined as subjects in screening, treatment or follow-up).
The monitor must be given direct access to all source documents (original documents, data and 
records). Direct access includes permission to examine, analyse, verify and reproduce any record(s) 
and report(s) that are important to the evaluation of the trial. If the electronic medical record does 
not have a visible audit trail, the investigator must provide the monitor with signed and dated 
printouts. In addition, the relevant trial site staff should be available for discussions at monitoring 
visits and between monitoring visits (e.g. by telephone).
All data must be verifiable in source documentation other than the eCRF.
For all data recorded the source document must be defined in a source document agreement at each 
trial site. There must only be one source defined at any time for any data element.
Source data generated by the trial site can be corrected by another person than the person entering 
the source data if accepted by local regulations; any correction must be explained, signed and dated 
by the person making the correction.
The original of the completed diaries and ePROs (tablets) must not be removed from the trial site, 
unless they form part of the CRF/eCRF and a copy is kept at the site.
All data entered will be automatically transferred from the tablet to the ePRO database hosted by 
the supplier which is considered as source data. The monitor will ensure that the eCRFs are 
completed and that paper CRFs are collected.
The following data will be source data verified for screening failures: 
!
Date for obtaining informed consent
!
Reason for screening failure 
Monitors will review the subject’s medical records and other source data (e.g. the diaries and 
ePROs) to ensure consistency and/or identify omissions compared to the eCRF. If discrepanies are 
found, the investigator must be questioned about these.
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A follow-up letter (paper or electronic) will be sent to the investigator following each monitoring 
visit. This should address any action to be taken.
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15 Data management
Data management is the responsibility of Novo Nordisk. Data management may be delegated under 
an agreement of transfer of responsibilities to a contract research organisation.
In cases where data management activities are delegated to external vendors, there will be regular 
transfers of data during the trial.
Appropriate measures, including encryption of data files containing person identifiable data, will be 
used to ensure confidentiality of subject data, when they are transmitted over open networks. 
Data from central laboratories will be transferred electronically. In cases where data is transferred 
via non-secure electronic networks, data will be encrypted during transfer.
The subject and any biological material obtained from the subject will be identified by subject 
number and trial ID. Appropriate measures such as encryption or leaving out certain identifiers will 
be enforced to protect the identity of subjects in all presentations and publications as required by 
local, regional and national requirements.
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16 Computerised systems
Novo Nordisk will capture and process clinical data using computerised systems that are described 
in Novo Nordisk Standard Operating Procedures and IT architecture documentation. The use and 
control of these systems are documented.
Investigators working on the trial may use their own electronic systems to capture source data.
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17 Statistical considerations
17.1
General considerations
No interim analyses or other analyses of unblinded or between group data will be performed before 
the database lock.
If necessary, a statistical analysis plan (SAP) may be written in addition to the protocol, including a 
more technical and detailed elaboration of the statistical analyses. The SAP will be finalised before 
database lock. 
Laboratory values below the lower limit of quantification (LLOQ) will be set to ½LLOQ. 
Data from all trial sites will be analysed and reported together. 
In statistical analyses where stratification is included, the anti-diabetic background medication used 
at screening (SU or not) will be included based on the actual information collected in the eCRF. In 
case of missing eCRF information the information collected from the IWRS system will be used. In 
the statistical analyses the stratification factor will refer to anti-diabetic background medication at 
screening only. The stratification factor country (Japan/other) will be included in the statistical 
analyses as part of the categorical factor region, where Japan will represents its own region. The 
regions used in the statistical analyses are defined as:
!
USA and Canada
!
Russia
!
Austria and Norway
!
Japan
Results from a statistical analysis will be presented by the estimated treatment contrast at week 30 
with associated two-sided 95% confidence interval and p-value corresponding to two-sided test of 
no difference if not otherwise specified. 
The comparison evaluated by a statistical analysis is:
!
semaglutide s.c. 1.0 mg versus placebo
If no statistical analysis is specified, data will be presented using relevant summary statistics.
17.1.1
Data transformations 
A number of the continuous parameters will be log-transformed prior to statistical analysis. The 
output tables and figures will show the results of the analysis back-transformed to the original scale, 
implying that log-treatment-differences are reported as treatment ratios. Confidence intervals for the 
treatment ratios will be calculated as exponentiated upper and lower limits for log-treatment 
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difference confidence intervals. The standard errors (SE) of the back-transformed mean and ratio to 
baseline estimates are also provided; these SEs are calculated using the delta-method (first order 
Taylor approximation), whereby the SE on the original scale is calculated as the product of the SE 
on log-scale and the exponentiated estimate of the mean (geometric mean).
17.1.2
Definition of baseline
For each assessment, the baseline assessment is defined as the latest available measurement at or 
prior to the randomisation visit. This specifically implies that if a visit 2 assessment is missing 
(whether it was planned or not planned) then the screening assessment (from visit 1), if available, 
will be used as the baseline assessment. If no measurement(s) have been obtained, at or prior to 
randomisation, the baseline value will be left missing.
17.1.3
Primary estimand
To further detail the trial objective an estimand is defined which is a de-jure (efficacy) estimand:
!
Primary estimand
–
The treatment difference (semaglutide versus placebo) at week 30 for all randomised 
subjects if all subjects completed treatment and did not initiate rescue medication.
This primary de-jure estimand is considered clinically relevant as it assesses the expected 
glycaemic benefit a person with T2D is expected to achieve if initiating and continuing treatment 
with semaglutide. Accordingly, only data collected prior to discontinuation of trial product or 
initiation of rescue medication will be used to draw inference. This will avoid confounding from 
rescue medication.
17.1.4
Trial completion
Unless subjects withdraw their informed consent, data collection will continue for the full duration 
of the trial. The full duration of the trial is defined as up to and including the follow-up visit (P10). 
Subjects completing the follow-up visit (P10) will be considered trial completers.
17.1.5
Missing data considerations at week 30
The rate of actual missing data at week 30 is expected to be maximum 10% based on the rate of trial 
completers from the s.c. semaglutide phase 3a clinical development program. The frequency of 
missing data is expected to be similar in the semaglutide and the placebo groups.
When estimating the primary estimand, the combined rate of missing data, subjects discontinuing 
treatment prematurely or initiating rescue medication on top of trial product is expected to be 
maximum 20%. This is based on the results from the s.c. semaglutide phase 3a clinical development 
program. Based on these data, premature treatment discontinuation due to gastrointestinal AEs is 
expected to be low but more frequent with semaglutide compared to placebo. In contrast, with 
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placebo more subjects are expected to initiate rescue medication. Other reasons for discontinuing 
treatment are assumed to be unrelated to treatment and therefore occur with similar rates in both 
treatment groups, so overall the frequency of missing data or data not used at week 30 in the 
primary analysis is expected to be similar across treatment groups.
To document the extent and reason(s) for missing data, descriptive summaries and graphical 
representation of extent, reason(s) for and pattern of missing data will be presented by treatment 
group.
17.2
Sample size calculation
Both the primary endpoint, change from baseline to week 30 in HbA1c and the confirmatory 
secondary endpoint, change from baseline to week 30 in body weight (kg) are planned to be tested 
for superiority of semaglutide vs. placebo.
A total of 300 subjects will be randomised in a 1:1 manner to receive either semaglutide 1.0 mg or 
placebo. The sample size is determined based on the need to collect safety data from subjects 
treated with the combination of semaglutide and SGLT-2 inhibitors with either metformin or SU for 
the safety evaluation of this treatment combination.
With 300 subjects randomised the power for meeting HbA1c superiority of semaglutide vs. placebo 
out of the two pre-specified confirmatory hypotheses shown in Figure 17–1 is >99% across 
plausible assumptions. The closed testing procedure described in Bretz et al. (2011)47 is used to 
control the overall type I error at a nominal two sided 5% level equivalent to controlling at a one-
sided 2.5% level. The statistical testing strategy is built on the principle that glycaemic effect will 
have to be established in terms of HbA1c superiority before testing for added benefits in terms of 
body weight superiority.
The power is calculated using the calcPower function in the R package, gMCP48 using 10000 
simulations. The two pre-specified confirmatory tests are assumed to be independent. Since the tests 
are positively correlated, the assumption of independence is viewed as conservative. 
The sample size assumptions for efficacy based on ‘on-treatment without rescue medication’ data 
and a treatment effect based on in-trial data (see 17.4.1) together with the standard deviation (SD) 
are given in Table 17–1. These are based on the efficacy results and an observed reduction of 
approximately 15% in the treatment effect based on in-trial data compared to efficacy based on ‘on-
treatment without rescue medication’ data in the placebo controlled trials in the s.c. semaglutide 
phase 3a clinical development programme.
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Table 17–1
Assumptions used in the power calculation
semaglutide vs. placebo 
HbA1c
Body weight
Efficacy
-1.0%-point
-3.0 kg
In-trial treatment effect
-0.85%-point
-2.7 kg
SD
1.1%-point
4.0 kg
Calculated powers for individual hypotheses are presented in Table 17–2.
Table 17–2
Calculated powers for meeting individual hypotheses:
Statistical test
HbA1c superiority
Body weight superiority
Efficacy power (%)
>99%
>99%
In-trial effect power (%)
>99%
>99%
Figure 17–1
Graphical illustration of the closed testing procedure. 
The overall significance level of α = 0.05 (two-sided) is initially allocated to the HbA1c superiority 
test. Only if this hypothesis is rejected the body weight superiority test is carried out at the same 
significance level.
17.3
Confirmatory hypotheses 
For the primary HbA1c endpoint and the secondary confirmatory body weight endpoint, the 
following confirmatory one-sided hypotheses is planned to be tested for semaglutide versus 
placebo. Let the mean treatment difference is defined as μ = (semaglutide minus placebo):
!
HbA1c superiority
–
H0: μ>=0.0%-point against Ha: μ<0.0%-point
!
Body weight superiority
HbA1c (%-point)
Superiority vs. placebo
 = 0.05
 = 0
Body weight (kg)
Superiority vs. placebo
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–
H0: μ>=0.0kg against Ha: μ <0.0kg
Operationally, the hypotheses will be evaluated by two-sided test. This is equivalent to using a one-
sided p-value (nominal alpha = 0.025) and a one-sided 2.5 % overall significance level in the closed 
testing procedure.
Multiplicity and criteria for confirming hypotheses
The Type-I error rate for testing the two confirmatory hypotheses related to HbA1c and body weight 
endpoints will be preserved in the strong sense at 5% (two-sided) using the weighted Bonferroni-
based closed testing procedure described in Bretz et al47 and outlined in Figure 17–1. The first 
hypothesis to be tested is superiority of HbA1c. It will be tested at the overall significance level 
(5%).
Superiority will be considered confirmed if the mean treatment difference is supporting the 
corresponding alternative hypothesis and the two-sided p-value from the primary analysis of the 
primary estimand is strictly below the 5% two-sided significance level. 
17.4
Definition of analysis sets
The following analysis sets will be defined:
!
Full analysis set (FAS): includes all randomised subjects. Subjects in the FAS will contribute 
to evaluation “as randomised”.
!
Safety analysis set (SAS): includes all subjects exposed to at least one dose of trial product. 
Subjects in the SAS will contribute to the evaluation based on the trial product received for the 
majority of the period they were on treatment. This will be referred to as contributing to the 
evaluation “as treated”.
17.4.1
Data selections and observation periods
Subjects and data to be used in an analysis will be selected in a two-step manner:
!
Firstly, subjects will be selected based on the specified analysis set.
!
Secondly, data points on the selected subjects from first step will be selected based on the 
specified observation period.
Definition of the observation periods:
In-trial: This observation period represents the time period where subjects are considered to be in 
the trial after randomisation, regardless of discontinuation of trial product or initiation of rescue 
medication. The in-trial observation period starts at randomisation (as registered in IWRS) and ends 
at the date of:
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!
the last direct subject-site contact, which is scheduled to take place 5 weeks after planned last 
dose of trial product at a follow-up visit 
!
withdrawal for subjects who withdraw their informed consent
!
the last subject-investigator contact as defined by the investigator for subjects who are lost to 
follow-up
!
death for subjects who dies before any of the above
For subjects not randomised but exposed to trial product the in-trial period starts at the date of first 
dose of trial product.
On-treatment: This observation period represents the time period where subjects are considered 
exposed to trial product. The observation period is a subset of the in-trial observation period. It 
starts at the date of first dose of trial product. Two slightly different end dates will be needed to 
cover all assessments appropriately according to the flow chart. For adjudicated events, ECGs and 
AEs including hypoglycaemic episodes, the observation period ends at the first date of any of the 
following:
!
the follow-up visit (P10)
!
the follow-up prematurely discontinuation visit (P10A)
!
the last date on trial product + 42 days 
!
the end-date for the in-trial observation period
The follow-up visit is scheduled to take place 5 weeks after the last date on trial product 
corresponding to approximately five half-lives of s.c. semaglutide. The visit window for the follow-
up visit is + 7 days, which is the reason for the 42 days specified in the bullet above.  Hence, for 
those assessments this period reflects the period in which subjects are exposed.
For efficacy and other safety assessments (laboratory assessments, physical examination and vital 
signs) the observation period ends at the last date on trial product + 7 days. This ascertainment 
window corresponds to the dosing interval and will be used to avoid attenuation of a potential 
treatment effect on endpoints for which the effect is reversible shortly after treatment. Hence, for 
those assessments this period reflects the period in which subjects are treated.
On-treatment without rescue medication: This observation period is a subset of the on-treatment 
observation period, where subjects are considered treated with trial product, but has not initiated 
any rescue medications. Specifically it starts at date of first dose of trial product and the observation 
period ends at the first date of any of the following:
!
the last dose of trial product +7 days
!
initiation of rescue medication
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The ‘on-treatment without rescue medication’ observation period will be the primary observation 
period for efficacy evaluations. The in-trial observation period will be considered supportive for 
efficacy evaluations. Safety will be evaluated based on the in-trial and the on-treatment observation 
periods.
Data points collected outside an observation period will be treated as missing in the analysis. 
Baseline data will always be included in an observation period. For adjudicated events, the onset 
date will be the EAC adjudicated onset date.
Before data are locked for statistical analysis, a review of all data will take place. Any decision to 
exclude either a subject or single observations from the statistical analysis is the joint responsibility 
of the members of the Novo Nordisk study group. 
Exclusion of data from analyses will be used restrictively and normally no data should be excluded 
from the FAS. The subjects or observations to be excluded, and the reasons for their exclusion will 
be documented and signed by those responsible before database lock. The subjects and observations 
excluded from analysis sets, and the reason for this, will be described in the clinical trial report.
17.5
Primary endpoint
The primary endpoint is change from baseline to week 30 in HbA1c.
17.5.1
Primary analysis for the primary estimand
The primary estimand will be estimated based on the FAS using post-baseline measurements up to 
and including week 30 from the ’on-treatment without rescue medication’ observation period. 
Imputation of missing data will be handled using multiple imputation assuming that missing data is 
missing at random (MAR). Missing data will be imputed using observed data within the same group 
defined by the randomised treatment (semaglutide/placebo). It is hereby assumed that the likely 
values of what the missing data would have been if available are best described by information from 
subjects who receive the same treatment.
Technically missing values will be imputed as follows:
!
Intermittent missing values are imputed using a Markov Chain Monte Carlo (MCMC) method, 
in order to obtain a monotone missing data pattern. This imputation is done for each of the 
treatment groups separately and 200 copies of the dataset will be generated
!
A sequential regression approach for imputing monotone missing values at planned visits will 
be implemented starting with the first visit after baseline and sequentially continuing to the last
planned visit at week 30. A model used to impute missing values at each planned visit will be 
fitted for each of the treatment groups using observed data. The model will include stratification 
factor and region as categorical effects and baseline and post-baseline HbA1c values observed 
prior to the visit in question as covariates. 
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!
An analysis of covariance (ANCOVA) with treatment, stratification factor and region as 
categorical effects and baseline HbA1c as a covariate will be used to analyse HbA1c values at 
week 30 for each of the 200 complete data sets generated as part of the imputation of missing 
values. Rubin’s rule will be used to combine the analysis results in order to draw inference.
From this analysis, the estimated treatment difference between semaglutide and placebo at week 30 
will be presented together with the associated two-sided 95% confidence interval and unadjusted 
two sided p-value for testing superiority.
17.5.2
Statistical subgroup analyses of HbA1c
Five subgroups based on baseline HbA1c values are defined as follows:
1. ≤ 7.5%
2. > 7.5% to 8.0% (inclusive)
3. > 8.0% to 8.5% (inclusive)
4. > 8.5% to 9.0% (inclusive)
5. > 9.0%
Change from baseline in HbA1c at week 30 for subgroups based on baseline HbA1c values will be 
analysed for the primary estimand using a similar multiple imputation approach as described in 
section 17.5.1. The complete data sets from the primary analysis will be reused. However the 
ANCOVA model used to analyse the 200 complete data sets will additionally include the 
interaction effect of subgroup and treatment as a categorical effect. Rubin’s rule will then be used to 
combine the results and p-value for the interaction effect and estimated treatment differences at 
week 30 with corresponding two-sided 95% confidence intervals for each subgroup will be 
presented.
17.5.3
Sensitivity analyses
In order to investigate the robustness of the conclusion from the primary analysis and to stress test 
the sensitivity of the results with regards to the MAR assumption for missing data tipping-point 
sensitivity analyses will be performed for the primary estimand.
17.5.3.1
Sensitivity analysis for the primary estimand
The estimation of the primary estimand will be repeated using the following sensitivity analysis:
!
Tipping-point analysis (pattern mixture model-based). This analysis will be based on the FAS 
using the ‘on-treatment without rescue medication’ observation period. In this analysis, subjects 
from the semaglutide group with missing observations will be given a penalty, i.e., it is assumed 
that subjects with missing observations who are randomised to semaglutide will receive a 
treatment that is worse than subjects with observed values who are randomised to semaglutide . 
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The idea is to gradually increase the penalty to evaluate at which level the superiority 
conclusion of the analyses in terms of statistical significance is changed. The tipping point is the 
penalty level, at which the magnitude of efficacy reduction in subjects with missing data creates 
a shift in the overall treatment effect of semaglutide from being statistically significantly better 
than placebo to being non-statistically significantly better. Technically, this analysis will be 
implemented by replicating the primary analysis including the assumption of MAR but 
subsequently adding increasing penalty values at week 30 to imputed observations in the 
semaglutide group before applying an ANCOVA on the 200 complete dataset.
17.5.3.2
Other sensitivity analyses
The following additional sensitivity analysis is specified:
!
In-trial treatment policy analysis based on the FAS using post-baseline measurements up to and 
including week 30 from the in-trial observation period. Missing data will be imputed using the 
same approach as described for the primary analysis of the primary estimand. However the 
imputation will be done within the same group defined not only by the randomised treatment  
(semaglutide/placebo) but also the status of treatment completion (still on randomised treatment 
at week 30 yes/no) (4 groups in total). It is hereby assumed that the likely values of what the 
missing data would have been if available are best described by information from subjects who 
at week 30 are similar in terms of randomised treatment and treatment completion status. In 
addition in the imputation step stratification factor and region is not included in the model in 
order to avoid potential issues with sparse data. This analysis could be considered addressing an 
effectiveness estimand.
17.6
Secondary endpoints
17.6.1
Confirmatory secondary endpoints 
Change from baseline to week 30 in body weight (kg) will be a confirmatory secondary endpoint.
The primary estimand will be estimated using the same approach as described for the primary 
HbA1c endpoint. Baseline and post-baseline body weight will be used as covariates instead of 
HbA1c in the analyses.
Superiority will be considered confirmed if the mean treatment difference is supporting the 
corresponding hypothesis and the two-sided p-value from the primary analysis of the primary 
estimand is strictly below the significance level of 5% equivalent to a one-sided superiority test at a 
2.5% level.
The tipping-point sensitivity analysis pre-specified to evaluate the robustness of the conclusion 
from the primary analysis of HbA1c will also be performed to evaluate the robustness of the 
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conclusions from the body weight superiority test. In addition, the in-trial sensitivity analysis will 
also be performed for body weight. 
17.6.2
Supportive secondary endpoints
No sensitivity analyses are planned for the supportive secondary endpoints. 
17.6.2.1
Efficacy endpoints
Continuous endpoints
The continuous endpoints are change from baseline to week 30 in: 
!
FPG
!
SMPG, 7-point profile:
–
Mean 7-point profile
–
Mean post prandial increment (over all meals)
!
Fasting blood lipids (total cholesterol, LDL cholesterol, HDL cholesterol, triglycerides)
!
Body weight (%)
!
Body mass index and waist circumference
!
Systolic and diastolic blood pressure
BMI will be calculated based on body weight and height based on the formulae:
!
BMI kg/m2 = body weight (kg)/(Height (m) x Height (m)) or (kg/m2 = [lb/in2 x 703])
The above continuous endpoints will be analysed for the primary estimand separately using a 
similar model approach as for the primary endpoint with the associated baseline and post-baseline 
responses as covariates instead of HbA1c for their respective analyses. 
Fasting lipid profile endpoints will be log-transformed prior to analysis with the associated log-
transformed baseline value as a covariate.
Mean 7-point profile (SMPG) definition
Subjects will be asked to perform SMPG measurements before and 90 minutes after breakfast, 
lunch, dinner, and at bedtime. 
Mean of the 7-point profile is defined as the area under the profile, calculated using the trapezoidal 
method, and divided by the measurement time.
Binary endpoints
The binary endpoints are subjects who after 30 weeks treatment achieve (yes/no):
!
HbA1c <7.0% (53 mmol/mol), American Diabetes Association (ADA) target
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!
HbA1c ≤6.5% (48 mmol/mol), American Association of Clinical Endocrinologists (AACE target
!
Weight loss ≥3%
!
Weight loss ≥5%
!
Weight loss ≥10%
!
HbA1c <7.0% (53 mmol/mol) without severe or BG confirmed symptomatic hypoglycaemia 
episodes and no weight gain
!
HbA1c reduction ≥1%-point
!
HbA1c reduction ≥1%-point and weight loss ≥3%
!
HbA1c reduction ≥1%-point and weight loss ≥5%
!
HbA1c reduction ≥1%-point and weight loss ≥10%
The above 10 binary endpoints will be analysed for the primary estimand. The analyses for the 
primary estimand for all 10 endpoints will be based on the ’on-treatment without rescue 
medication’ observation period. They will be analysed separately using the same type of logistic 
regression model with treatment, stratification factor and region as categorical effects and baseline 
response(s) as covariate (i.e. HbA1c responses for binary HbA1c endpoints, body weight responses 
for body weight endpoints and both HbA1c and body weight responses for the binary endpoint that 
combines both parameters). To account for missing data, the analysis will be made using a 
sequential multiple imputation approach as described below:
!
Multiple imputed data sets (200) will be created in which missing values for the underlying 
continuous assessments are imputed by treatment group assuming MAR similar to the approach 
described for the primary analysis in section 17.5.1.
!
The binary endpoint will be created for each of the 200 complete data sets.
!
Each of the created complete data sets will be analysed using the logistic regression model. 
Estimated odds ratios will be log transformed and inference will be drawn using Rubin’s rule 49.
The results after applying Rubin’s rule will be back-transformed and described by the odds ratio 
between treatments and the associated 95% confidence interval and p-value for no treatment 
difference.
17.6.2.2
Safety endpoints
The safety endpoints will be evaluated based on SAS using the on-treatment observation period and 
the in-trial observation period unless otherwise stated.  
Adverse events 
The following endpoint related to AEs is used to support the safety objective:
!
Number of TEAEs
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A TEAE is defined as an event that has onset date (or increase in severity) during the on-treatment 
observation period (see definition of observation periods in Section 17.4.1). These will therefore be 
referred to as ‘on-treatment AEs’ hereafter.
On-treatment AEs are summarised descriptively in terms of the number of subjects with at least one 
event (N), the percentage of subjects with at least one event (%), the number of events (E) and the 
event rate per 100 years (R). These summaries are replicated by outputs including all ‘in-trial’ AEs
(i.e., AEs with onset date [or increase in severity] during the ‘in-trial’ observation period). AEs with 
onset after the end of the ‘in-trial’ observation period will be reported in a listing. The development 
over time in gastrointestinal AEs will be presented graphically.
The most frequent AEs will be defined as preferred terms (PTs) that are experienced by at least 5% 
of the subjects in any of the treatment groups. 
All AEs will be coded using the most recent version of the Medical Dictionary for Regulatory 
Activities (MedDRA) coding. 
Hypoglycaemic episodes
The following endpoints related to hypoglycaemic episodes are used to support the safety objective:
!
Number of treatment-emergent severe or BG-confirmed symptomatic hypoglycaemic episodes 
!
Treatment-emergent severe or BG-confirmed symptomatic hypoglycaemic episodes (yes/no)
Data on treatment-emergent hypoglycaemic episodes are presented in terms of the number of 
subjects with at least one episode, the percentage of subjects with at least one episode (%), the total 
number of episodes and the episode rate per 100 years of exposure. Summaries of treatment-
emergent hypoglycaemic episodes will be presented as an overview including all episodes and 
episodes by severity.
Hypoglycaemic episodes will be summarised for the SAS and the on-treatment observation period 
only.
Classification of Hypoglycaemia
Treatment emergent: hypoglycaemic episodes will be defined as treatment emergent if the onset of 
the episode occurs within the on-treatment observation period (see definition of observation periods 
in Section 17.4.1).
Nocturnal hypoglycaemic episodes: episodes occurring between 00:01 and 05.59 both inclusive.   
Hypoglycaemic episodes are classified according to the Novo Nordisk classification of 
hypoglycaemia (see Figure 17–2) and the ADA classification of hypoglycaemia (see Figure 17–3). 
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Novo Nordisk classification of hypoglycaemia
In normal physiology, symptoms of hypoglycaemia occur below a PG level of 3.1 mmol/L (56 
mg/dL)50. Therefore, Novo Nordisk has included hypoglycaemia with PG levels below this cut-off 
point in the definition of BG confirmed hypoglycaemia.
Novo Nordisk uses the following classification in addition to the ADA classification:
–
Severe or BG-confirmed symptomatic hypoglycaemia: An episode that is severe according 
to the ADA classification41 or BG-confirmed by a PG value < 3.1 mmol/L (56 mg/dL) with 
symptoms consistent with hypoglycaemia. 
Hypoglycaemic
episode
PG ≤ 3.9 mmol/L 
(70 mg/dL) 
or 
Alleviation of 
symptoms 
or
Seizure, coma or 
fatal 
SMPG
measurement
PG < 3.1 mmol/L
(56 mg/dL)
with symptoms
PG < 3.1 mmol/L
(56 mg/dL)
without
symptoms
Symptomatic BG 
confirmed 
hypoglycaemia
Asymptomatic BG 
confirmed 
hypoglycaemia
Yes
No
Severe or 
BG confirmed 
symptomatic 
hypoglycaemia
BG confirmed 
hypoglycaemia
Severe or BG 
confirmed 
hypoglycaemia
Note: Glucose measurements are performed with capillary blood calibrated to plasma equivalent glucose values
BG: blood glucose  PG: plasma glucose  SMPG: Self-measured plasma glucose  
Subject 
able to 
treat him/
herself
Severe 
hypoglycaemia
(ADA 2013)
Figure 17–2
Novo Nordisk classification of hypoglycaemia
ADA classification41 of hypoglycaemia 
!
Severe hypoglycaemia: An episode requiring assistance of another person to actively administer 
carbohydrate, glucagon, or take other corrective actions. PG concentrations may not be 
available during an event, but neurological recovery following the return of PG to normal is 
considered sufficient evidence that the event was induced by a low PG concentration.
!
Asymptomatic hypoglycaemia: An episode not accompanied by typical symptoms of 
hypoglycaemia, but with a measured PG concentration ≤ 3.9 mmol/L (70 mg/dL).
!
Documented symptomatic hypoglycaemia: An episode during which typical symptoms of 
hypoglycaemia are accompanied by a measured PG concentration ≤ 3.9 mmol/L (70 mg/dL).
!
Pseudo-hypoglycaemia: An episode during which the person with diabetes reports any of the 
typical symptoms of hypoglycaemia with a measured PG concentration > 3.9 mmol/L (70 
mg/dL) but approaching that level.
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!
Probable symptomatic hypoglycaemia: An episode during which symptoms of hypoglycaemia 
are not accompanied by a PG determination but that was presumably caused by a PG
concentration ≤ 3.9 mmol/L (70 mg/dL).
Hypoglycaemic 
episode 
PG ≤ 3.9 mmol/L 
(70 mg/dL) 
or 
Alleviation of 
symptoms 
or
Seizure, coma or 
fatal 
SMPG
measurement
Asymptomatic 
hypoglycaemia
Documented 
symptomatic 
hypoglycaemia
Pseudo-
hypoglycaemia
Probable 
symptomatic 
hypoglycaemia
No
Yes
No measurement 
with symptoms
PG > 3.9 mmol/L 
(70 mg/dL)
with symptoms
PG ≤3.9 mmol/L 
(70 mg/dL)
with symptoms
PG ≤3.9 mmol/L 
(70 mg/dL)
without symptoms
No
Yes
Note: Glucose measurements are performed with capillary blood calibrated to plasma equivalent glucose values
PG: plasma glucose  SMPG: Self-measured plasma glucose  
Subject 
able to 
treat him/
herself
Severe 
hypoglycaemia
(ADA 2013)
Figure 17–3
ADA classification of hypoglycaemia
Number of treatment emergent severe or blood glucose confirmed symptomatic 
hypoglycaemic episodes
Number of treatment emergent severe or BG confirmed symptomatic hypoglycaemic episodes 
during 35 weeks will be analysed using a negative binomial regression model with a log-link 
function and the logarithm of the time period, from the randomisation and up to the time point in 
which an occurrence of a hypoglycaemic episode is considered treatment emergent as offset
assuming MAR. The model will include factors for treatment and stratification factor as categorical 
factors and baseline HbA1c as covariate. The SAS will be used for the analysis.
The results will be described by the rate ratio between treatments and the associated 95% 
confidence interval and p-value for no treatment difference.
Treatment emergent severe or blood glucose confirmed symptomatic hypoglycaemia episodes 
(yes/no)
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The binary endpoint indicating whether a subject has no treatment-emergent severe or BG 
confirmed symptomatic hypoglycaemic episodes or at least one will be analysed using a logistic 
regression model. The model will include factors for treatment and stratification factor as 
categorical factors and baseline HbA1c as covariate. The SAS will be used for the analysis.
The results will be described by the odds ratio between treatments and the associated 95% 
confidence interval and p-value for no treatment difference.
Laboratory assessments
The laboratory assessments are change from baseline to week 30 in:
!
Haematology
!
Biochemistry
!
Calcitonin
The above continuous laboratory assessments will be summarised and evaluated by descriptive 
statistics.
In addition amylase and lipase will be analysed separately using an analysis similar to the primary 
analysis of the primary endpoint. However this analysis will be based on SAS using the ’on-
treatment’ observation period
Both analyses will use the associated baseline and post-baseline responses as covariates instead of 
HbA1c. Lipase and amylase values will be log-transformed prior to the analysis.
Pulse
Change from baseline to week 30 in pulse will be analysed separately with the same model 
approach as for amylase and lipase but with the pulse value at baseline and post-baseline as 
covariates instead of HbA1c.
Categorical safety assessments
The categorical assessments are change from baseline to week 30 in:
!
ECG category
!
Physical examination
!
Eye examination category
The above assessments will be summarised descriptively.
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17.7
Health economics and/or patient reported outcomes
Change from baseline to week 30 in:
Scores for selected patient reported outcomes:
!
SF-36v2TM: Total scores (physical component and mental component) and scores from the 8 
domains.
!
DTSQ: Treatment satisfaction score (sum of 6 of 8 items) and the 8 items separately.
The ePRO questionnaires, SF-36v2™ and DTSQ will be used to evaluate the objective regarding 
Quality of Life. Each of the ePRO endpoints will be analysed separately as the other continuous 
efficacy endpoints for the primary estimand using a similar model approach as for the primary 
endpoint with the associated baseline and post-baseline responses as covariates.
17.8
Interim analysis 
No interim analyses will be performed before the database is locked.
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18 Ethics
18.1
Benefit-risk assessment of the trial
18.1.1
Risks and precautions
The nonclinical safety programme of semaglutide has not revealed any safety issues precluding use 
in humans. 
The sections below describe the important identified and potential risks and precautions associated 
with semaglutide treatment. These are based on findings in nonclinical studies and clinical trials 
with semaglutide as well as other GLP-1 RAs. For each of these risks and precautions, mitigating 
actions have been implemented to minimise the risks for subjects enrolled in this trial.
18.1.2
Identified risks
Gastrointestinal adverse events 
Consistent with findings with other GLP-1 RAs, the most frequently reported AEs in clinical trials 
with semaglutide have been gastrointestinal disorders (nausea, vomiting, diarrhoea, dyspepsia and 
constipation). Clinical trials have indicated that a low starting dose and gradual dose escalation 
mitigates the risk of gastrointestinal AEs. Consequently, a low starting dose and dose escalation 
with 4 week dose-escalation steps have been implemented in the trial.
18.1.3
Potential risks
Medullary thyroid cancer 
The human relevance of the proliferative C-cell changes found in rodents treated with GLP-1 RAs 
is unknown, but data suggest that rodents are more sensitive to the mode of action of GLP-1 RAs 
for induction of C-cell tumours. However, as a precaution, subjects with a family or personal 
history of MEN 2 or MTC will not be enrolled in the trial. During the trial, calcitonin will be 
measured on a regular basis, and the guidance for investigators on further evaluation and action on 
elevated calcitonin concentrations is included in appendix A. 
Acute pancreatitis
Acute pancreatitis has been reported in subjects treated with GLP-1 RAs including semaglutide. As 
a precaution, subjects with a history of acute or chronic pancreatitis will not be enrolled in the trial. 
Also, subjects will be informed about the symptoms of acute pancreatitis and serum levels of lipase 
and amylase will be monitored throughout the trial.
Pancreatic cancer
Patients with T2D have an increased risk of certain types of cancer such as pancreatic cancer. There 
is currently no support from nonclinical studies or clinical trials or post marketing data that GLP-1-
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based therapies increase the risk of pancreatic cancer. However, pancreatic cancer has been 
included as a separate potential risk due to the scientific debate surrounding a potential association 
to GLP-1-based therapies and the unknown long-term effects of stimulation of β-cells and 
suppression of α-cells. Pancreatic cancer has been classified as a potential class risk of GLP-1 RAs 
by EMA. 
Allergic reactions and injection site reaction
As in the case with all protein-based pharmaceuticals, treatment with semaglutide may evoke 
allergic reactions. These may include localized injection site reactions or generalized reactions, 
including urticaria, rash, pruritus as well as anaphylactic reactions. As a precaution, subjects with 
known or suspected hypersensitivity to trial product(s) or related products will not be enrolled in the 
trial. In addition, subjects will be instructed to contact the site staff as soon as possible for further 
guidance if suspicion of a hypersensitivity reaction to the trial product occurs.
Hypoglycaemia
Based on current knowledge about the GLP-1 RA drug class, there is a risk of hypoglycaemic 
episodes. Hypoglycaemic episodes have mainly been observed when semaglutide is combined with 
SU or insulin. 
Acute renal impairment
In subjects treated with GLP-1 RAs, including semaglutide, gastrointestinal AEs such as nausea, 
vomiting and diarrhoea may lead to significant dehydration and secondary acute renal impairment. 
Subjects with gastrointestinal AEs are recommended to drink plenty of fluids to avoid volume 
depletion. Also, serum creatinine and other markers of kidney function will be monitored 
throughout the trial.
SGLT-2 inhibitors, a background medication in this trial, have also been associated with volume 
depletion. It is recommended to monitor renal function and for signs and symptoms of fluid loss 
during therapy. Severe dehydration may be a risk factor for ketoacidosis.
Impaired renal function may increase the risk of metformin associated lactic acidosis when GLP-1 
RAs are co-administered with metformin. As a precaution, serum creatinine will be measured 
regularly. In subjects treated with metformin who experience prolonged or severe nausea and 
vomiting, the investigator should monitor serum creatinine, and if clinically indicated, withhold 
metformin until resolution of renal dysfunction. The use of the background medication should be in 
accordance with the current, approved labels.
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18.1.4
Other safety considerations
Teratogenicity (embryo-foetal development toxicity)
Semaglutide caused embryo-foetal malformations in the rat through a GLP-1 receptor mediated 
effect on the inverted yolk sac placenta leading to impaired nutrient supply to the developing 
embryo. Primates do not have an inverted yolk sac placenta which makes this mechanism unlikely 
to be of relevance to humans. However, as a precaution, females who are pregnant, breast-feeding 
or intend to become pregnant or are of childbearing potential and not using an adequate 
contraceptive method will not be enrolled in the trial. In addition, pregnancy tests will be performed 
according to flowchart in Section 2 and at any time during the trial if a menstrual period is missed, 
or as required by local law.
Diabetic retinopathy
A transient worsening of diabetic retinopathy is a recognised complication in selected patients with 
diabetes after initiation of intensive anti-diabetic treatment51 . Risk factors for these events include 
long-standing poor glycaemic control and presence of proliferative retinopathy, and initial large 
improvements in BG may be an additional aggravating factor. Several studies have, however, 
documented long-term beneficial effects of intensive glycaemic treatment in reducing retinopathy 
progression52, 53 even in intensively treated patients who experienced early worsening54. In a 
cardiovascular outcomes trial with s.c. semaglutide, results indicate an increased risk of events 
related to diabetic retinopathy in subjects treated with semaglutide compared to placebo. As a 
precaution in this trial, all subjects are required to have a fundus photography or dilated fundoscopy 
performed before enrolment into the trial; moreover, subjects with proliferative retinopathy or 
maculopathy requiring acute treatment will be excluded. As part of good diabetes management the 
investigator is encouraged to ensure adequate monitoring and treatment of diabetic retinopathy in 
subjects enrolled into the trial 55.
General precautions 
All subjects will be included after a thorough evaluation in regards to in- and exclusion criteria 
defined in order to ensure that subjects are eligible for trial enrolment. 
There are also strict glycaemic rescue criteria in place to ensure acceptable glycaemic control 
during the trial, see Section 6.4. If rescue medication is required, it should be in accordance with 
ADA/European Association for the Study of Diabetes33, 34 (excluding GLP-1 RAs, DPP-4 inhibitors 
and amylin analogues). 
It is the responsibility of the investigator to ensure the best possible care according to the principles 
outlined in Diabetes Care 2016 Standards of Medical Care in Diabetes55.
Further details with regards to safety of trial product are described in the current edition of the IB 
for semaglutide (NN9535) 56, or any updates thereto.
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18.1.5
Benefits 
In this trial, subjects will be randomised in a 1:1 manner to either semaglutide or semaglutide 
placebo as add-on to their current background medication (SGLT-2 inhibitor alone or in 
combination with metformin or SU). Subjects will therefore, for the majority of the trial period, be 
treated with a regimen anticipated to be better than or equal to the treatment they receive at the time 
of entry into the trial. Based on the results of the phase 3a trials, semaglutide is expected to provide 
clinically relevant improvements in glycaemic control and body weight in subjects with T2D
diabetes. 
In addition, it is expected that all subjects, including subjects randomised to placebo, will benefit 
from participation through close contact with the study site, with close follow-up of their T2D and a 
careful medical examination, all of which will most likely result in an intensified management of 
their T2D.
Finally, data from two cardiovascular outcomes trials investigating treatment with GLP-1 RAs 
compared to placebo have indicated that there might be a potential beneficial effect of these drugs 
on cardiovascular outcomes when added to standard of care in subjects with T2D at high risk of 
cardiovascular events (see Section 3.1.5.3).
All subjects in this trial will receive trial products and auxiliary supplies free of charge. 
18.2
Risk and benefit conclusion 
The safety profile for semaglutide generated from the clinical and nonclinical development 
programme has not revealed any safety issues that would prohibit administration of semaglutide in 
accordance with the planned clinical trial. The phase 3a results indicate that semaglutide will 
provide clinically relevant improvements in glycaemic control and body weight. 
Safety and efficacy will be monitored regularly and acceptable glycaemic control will be reinforced 
at all times during the trial.
In conclusion, the potential risk to the subjects in this trial is considered low and acceptable in view 
of the anticipated benefits semaglutide will provide to subjects with T2D.  
18.3
Informed consent 
In seeking and documenting informed consent, the investigator must comply with applicable 
regulatory requirement(s) and adhere to ICH GCP1 and the requirements in the Declaration of 
Helsinki2.
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Before any trial-related activity, the investigator must give the subject verbal and written 
information about the trial and the procedures involved in a form that the subject can read and 
understand. 
The subjects must be fully informed of their rights and responsibilities while participating in the 
trial as well as possible disadvantages of being treated with the trial products.
The investigator must ensure the subject ample time to come to a decision whether or not to 
participate in the trial. 
A voluntary, signed and personally dated informed consent must be obtained from the subject 
before any trial-related activity.  
The responsibility for seeking informed consent must remain with the investigator, but the 
investigator may delegate the task to a medically qualified person, in accordance with local 
requirements. The written informed consent must be signed and personally dated by the person who 
seeks the informed consent before any trial-related activity.
If information becomes available that may be relevant to the subject’s willingness to continue 
participating in the trial, the investigator must inform the subject in a timely manner, and a revised 
written subject information must be provided and a new informed consent must be obtained.
In order to avoid missing data, the subjects will be informed about the importance of completing the 
trial also if the subjects discontinue treatment with trial product.
18.4
Data handling
If the subject withdraws from the trial or is lost to follow up, then the subject’s data will be handled 
as follows:
!
Data already collected and any data collected at the end-of-trial visit including follow up visits 
will be retained by Novo Nordisk, entered into the database and used for the clinical trial report. 
!
Safety events will be reported to Novo Nordisk and regulatory authorities according to 
local/national requirements.
If data is used, it will always be in accordance with local regulations and IRBs/IECs.
18.5
Information to subjects during trial
All written information to subjects must be sent to IRB/IEC for approval/favourable opinion and to 
regulatory authorities for approval or notification according to local regulations.
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18.6
Premature termination of the trial and/or trial site
Novo Nordisk, the IRBs/IECs or a regulatory authority may decide to stop the trial, part of the trial 
or a trial site at any time, but agreement on procedures to be followed must be obtained.
If the trial is suspended or prematurely terminated, the investigator must inform the subjects 
promptly and ensure appropriate therapy and follow-up. The investigator and/or Novo Nordisk must 
also promptly inform the regulatory authorities and IRBs/IECs and provide a detailed written 
explanation. 
If, after the termination of the trial, the benefit-risk analysis changes, the new evaluation must be 
provided to the IRBs/IECs in case it has an impact on the planned follow-up of subjects who have 
participated in the trial. If it has an impact, the actions needed to inform and protect the subjects 
should be described.
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19 Protocol compliance
19.1
Protocol deviations
Deviations from the protocol should be avoided.
If deviations do occur, the investigator must inform the monitor and the implications of the 
deviation must be reviewed and discussed.
Deviations must be documented and explained in a protocol deviation by stating the reason, date, 
and the action(s) taken. Some deviations, for which corrections are not possible, can be 
acknowledged and confirmed via edit checks in the eCRF .
Documentation on protocol deviations must be kept in the investigator trial master file and sponsor 
trial master file.
19.2
Prevention of missing data
The importance of subject retention will be addressed by Novo Nordisk in the training and 
communication with the trial sites. 
The subjects will be carefully informed about the trial procedures before signing informed consent, 
so that they know the implications of participating in the trial. 
Close surveillance of subject retention will be performed throughout the trial by Novo Nordisk with 
focus on reasons for premature discontinuation of trial product or withdrawal of consent to secure 
early mitigations in collaboration with the trial sites. 
The investigator will make every effort to ensure that all assessments are performed and data is 
collected. If missing data does occur the reason will be collected via the protocol deviation process, 
see Section 19.1. Novo Nordisk will monitor protocol deviations on an on-going basis throughout 
the trial followed by appropriate actions (e.g. re-training of site staff).
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20 Audits and inspections
Any aspect of the clinical trial may be subject to audits conducted by Novo Nordisk or inspections 
from domestic or foreign regulatory authorities or from IRBs/IECs. Audits and inspections may 
take place during or after the trial. The investigator and the site staff as well as Novo Nordisk staff 
have an obligation to cooperate and assist in audits and inspections. This includes giving auditors 
and inspectors direct access to all source documents and other documents at the trial site relevant to 
the clinical trial. This includes permission to examine, analyse, verify and reproduce any record(s) 
and report(s) that are relevant to the evaluation of the trial.
21 Critical documents
Before a trial site is allowed to start screening subjects, written notification from Novo Nordisk 
must be received and the following documents must be available to Novo Nordisk:
!
Regulatory approval and/or acknowledgement of notification as required
!
Approval/favourable opinion from IRBs/IECs clearly identifying the documents reviewed as 
follows: protocol, any protocol amendments, subject information/informed consent form, any 
other written information to be provided to the subject and subject recruitment materials
!
List of IRB/IEC members and/or constitution (or a general assurance number/statement of 
compliance)
!
Curricula vitae of investigator and sub-investigator(s) (current, dated and signed - must include 
documented GCP training or a certificate)
!
Signed receipt of IB, summary of product characteristics (SmPC) or similar labelling 
!
Signed and dated Agreement on Protocol
!
Signed and dated Agreement on Protocol Amendment, if applicable
!
Contract, signed by the investigator and/or appropriate parties on behalf of the investigator’s site 
and Novo Nordisk
!
Source document agreement
!
Central laboratory certification and normal ranges
!
Insurance statement, if applicable
!
Financial disclosure form from investigator and sub-investigator(s)
Only applicable for US trial sites: 
!
For US trial sites: verification under disclosures per Code of Federal Regulations (CFR) of 
Financial Conflict of Interest
!
For US trial sites: U.S. Food and Drug Administration (FDA) form 1572 must be completed and 
signed by the investigator at each site
For Japan only: A seal is accepted as signature
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FDA form 1572:
For US sites:
!
Intended for US sites
!
Conducted under the IND
!
All US investigators, as described above, will sign FDA Form 1572
For sites outside the US:
!
Intended for participating sites outside of the US
!
Not conducted under the IND
!
All investigators outside of the US will not sign FDA form 1572
Novo Nordisk will analyse and report data from all sites together if more than one site is involved 
in the trial.
By signing the protocol agreement, each investigator agrees to comply fully with ICH GCP1
applicable regulatory requirements and the Declaration of Helsinki2. 
By signing the protocol agreement, each investigator also agrees to allow Novo Nordisk to make 
investigator’s name and information about site name and address publically available if this is 
required by national or international regulations.
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22 Responsibilities
The investigator is accountable for the conduct of the trial at his/her site and must ensure adequate 
supervision of the conduct of the trial at the trial site. If any tasks are delegated, the investigator 
must maintain a log of appropriately qualified persons to whom he/she has delegated specified trial-
related duties. The investigator must ensure that there is adequate and documented training for all 
staff participating in the conduct of the trial. It is the investigator’s responsibility to supervise the 
conduct of the trial and to protect the rights, safety, and well-being of the subjects.
A qualified physician, who is an investigator or a sub-investigator for the trial, must be responsible 
for all trial-related medical decisions.
The investigator will follow instructions from Novo Nordisk when processing data.
The investigator is responsible for filing essential documents (i.e. those documents which 
individually and collectively permit evaluation of the conduct of a trial and the quality of the data 
produced) in the investigator trial master file. The documents including the subject identification 
code list must be kept in a secure locked facility, so no unauthorized persons can get access to the 
data. 
The investigator will take all necessary technical and organisational safety measures to prevent 
accidental or wrongful destruction, loss or deterioration of data. The investigator will prevent any 
unauthorised access to data or any other processing of data against applicable law. The investigator 
must be able to provide the necessary information or otherwise demonstrate to Novo Nordisk that 
such technical and organisational safety measures have been taken.
During any period of unavailability, the investigator must delegate responsibility for medical care 
of subjects to a specific qualified physician who will be readily available to subjects during that 
time.
If the investigator is no longer able to fulfil the role as investigator (e.g. if he/she moves or retires), 
a new investigator will be appointed in consultation with Novo Nordisk. 
The investigator and other site personnel must have sufficient English skills according to their 
assigned task(s).
CONFIDENTIAL

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Date:
21 October 2016
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Version:
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UTN: U1111-1180-1213 
Status:
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23 Reports and publications
The information obtained during the conduct of this trial is considered confidential, and may be 
used by or on behalf of Novo Nordisk for regulatory purposes as well as for the general 
development of the trial product. All information supplied by Novo Nordisk in connection with this 
trial shall remain the sole property of Novo Nordisk and is to be considered confidential 
information. 
No confidential information shall be disclosed to others without prior written consent from Novo 
Nordisk. Such information shall not be used except in the performance of this trial. The information 
obtained during this trial may be made available to other physicians who are conducting other 
clinical trials with the trial product, if deemed necessary by Novo Nordisk. Provided that certain 
conditions are fulfilled, Novo Nordisk may grant access to information obtained during this trial to 
researchers who require access for research projects studying the same disease and/or trial product 
studied in this trial.
Novo Nordisk may publish on its clinical trials website a redacted clinical trial report for this trial.
One or two investigators will be appointed by Novo Nordisk to review and sign the clinical trial 
report (signatory investigator) on behalf of all participating investigators. The signatory investigator 
will be appointed based upon the criteria defined by the International Committee of Medical Journal 
Editors for research publications57.
23.1
Communication of results
Novo Nordisk commits to communicating, and otherwise making available for public disclosure,
results of trials regardless of outcome. Public disclosure includes publication of a paper in a 
scientific journal, abstract submission with a poster or oral presentation at a scientific meeting, or 
disclosure by other means.
The results of this trial will be subject to public disclosure on external web sites according to 
international and national regulations, as reflected in the Novo Nordisk Code of Conduct for 
Clinical Trial Disclosure35.
Novo Nordisk reserves the right to defer the release of data until specified milestones are reached, 
for example when the clinical trial report is available. This includes the right not to release the 
results of interim analyses, because the release of such information may influence the results of the 
entire trial.
At the end of the trial, one or more scientific publications may be prepared collaboratively by the 
investigator(s) and Novo Nordisk. Novo Nordisk reserves the right to postpone publication and/or 
communication for up to 60 days to protect intellectual property.
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In all cases the trial results will be reported in an objective, accurate, balanced and complete 
manner, with a discussion of the strengths and limitations. All authors will be given the relevant 
statistical tables, figures, and reports needed to evaluate the planned publication. In the event of any 
disagreement on the content of any publication, both the investigators’ and Novo Nordisk opinions 
will be fairly and sufficiently represented in the publication.
Where required by the journal, the investigator from each trial site will be named in an 
acknowledgement or in the supplementary material, as specified by the journal. 
Novo Nordisk maintains the right to be informed of plans by any investigator to publish and to 
review any scientific paper, presentation, communication or other information concerning the 
investigation described in this protocol. Any such communication must be submitted in writing to 
Novo Nordisk before submission for comments. Comments will be given within four weeks from 
receipt of the planned communication.
23.1.1
Authorship
Authorship of publications should be in accordance with the Uniform Requirements of the 
International Committee of Medical Journal Editors57 (sometimes referred to as the Vancouver 
Criteria).
Novo Nordisk will appoint investigator(s) to prepare publications in collaboration with Novo 
Nordisk. 
23.1.2
Site-specific publication(s) by investigator(s)
For a multi-centre clinical trial, analyses based on single-site data usually have significant statistical 
limitations and frequently do not provide meaningful information for healthcare professionals or 
subjects, and therefore may not be supported by Novo Nordisk. It is a Novo Nordisk policy that 
such individual reports do not precede the primary manuscript and should always reference the 
primary manuscript of the trial.
Novo Nordisk reserves the right to prior review of such publications. Further to allow for the 
primary manuscript to be published as the first, Novo Nordisk asks for deferment of publication of 
individual site results until the primary manuscript is accepted for publication. As Novo Nordisk 
wants to live up to the industry publication policy, submission of a primary publication will take 
place no later than 18 months after trial completion. 
23.2
Investigator access to data and review of results
As owner of the trial database, Novo Nordisk has the discretion to determine who will have access 
to the database. 
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21 October 2016
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Individual investigators will have their own research subjects' data, and will be provided with the 
randomisation code after results are available.
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24 Retention of clinical trial documentation
24.1
Retention of clinical trial documentation
Subject’s medical records must be kept for the maximum period permitted by the hospital, 
institution or private practice.
The investigator must agree to archive the documentation (this includes both electronic and paper-
based records) pertaining to the trial in an archive after completion or discontinuation of the trial if 
not otherwise notified. The investigator should not destroy any documents without prior permission 
from Novo Nordisk. If the investigator cannot archive the documents at the trial site, Novo Nordisk 
can refer the investigator to an independent archive provider that has a system in place to allow only 
the investigator to access the files.
The investigator must be able to access his/her trial documents without involving Novo Nordisk in 
any way. Site-specific CRFs and other subject data (in an electronic readable format or as paper 
copies or prints) will be provided to the investigator before access is revoked to the systems and
electronic devices supplied by Novo Nordisk. These data must be retained by the trial site. If the 
provided data (e.g. the CD-ROM) is not readable during the entire storage period, the investigator 
can request a new copy. A copy of all data will be stored by Novo Nordisk.
Novo Nordisk will maintain Novo Nordisk documentation pertaining to the trial for at least 20 years 
after discontinuation of the marketing authorisation, termination of the trial or cancellation of the 
research project whichever is longest.
The files from the trial site/institution must be retained for 15 years after end of trial as defined in 
Section 7, or longer if required by local regulations or Novo Nordisk. In any case trial files cannot 
be destroyed until the trial site/institution is notified by Novo Nordisk. The deletion process must 
ensure confidentiality of data and must be done in accordance with local regulatory requirements.  
CONFIDENTIAL

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21 October 2016
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Trial ID: NN9535-4269
Version:
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25 Institutional Review Boards/Independent Ethics Committees and 
regulatory authorities
IRB/IEC:
Written approval or favourable opinion must be obtained from IRB/IEC prior to commencement of 
the trial.
During the trial, the investigator or Novo Nordisk, as applicable, must promptly report the 
following to the IRB/IEC, in accordance with local requirements: updates to Investigator’s 
Brochure, unexpected SAEs where a causal relationship cannot be ruled out, protocol amendments 
according to local requirements, deviations to the protocol implemented to eliminate immediate 
hazards to the subjects, new information that may affect adversely the safety of the subjects or the 
conduct of the trial (including new benefit-risk analysis in case it will have an impact on the 
planned follow-up of the subjects), annually written summaries of the trial status, and other 
documents as required by the local IRB/IEC.
The investigator must ensure submission of the clinical trial report synopsis to the IRB/IEC.
Protocol amendments must not be implemented before approval or favourable opinion according to 
local regulations, unless necessary to eliminate immediate hazards to the subjects.
The investigator must maintain an accurate and complete record of all submissions made to the 
IRB/IEC. The records must be filed in the investigator trial master file and copies must be sent to 
Novo Nordisk.
Regulatory Authorities:
Regulatory authorities will receive the clinical trial application, protocol amendments, reports on 
SAEs, and the clinical trial report according to national requirements.
CONFIDENTIAL

Protocol
CONFIDENTIAL
Date:
21 October 2016
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Trial ID: NN9535-4269
Version:
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26 Indemnity statement
Novo Nordisk carries product liability for its products, and liability as assumed under the special 
laws, acts and/or guidelines for conducting clinical trials in any country, unless others have shown 
negligence.
Novo Nordisk assumes no liability in the event of negligence, or any other liability of the sites or 
investigators conducting the trial, or by persons for whom the said site or investigator are 
responsible.
Novo Nordisk accepts liability in accordance with: 
For Russia only: Federal law of 12 April 2010 No. 61-FZ ‘On Medicinal Drugs’ Circulation.
CONFIDENTIAL

Protocol
CONFIDENTIAL
Date:
21 October 2016
Novo Nordisk
Trial ID: NN9535-4269
Version:
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UTN: U1111-1180-1213 
Status:
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27 References
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21 October 2016
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Trial ID: NN9535-4269
Version:
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UTN: U1111-1180-1213 
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
Nauck MA. Incretin-based therapies for type 2 diabetes mellitus: properties, functions, and
clinical implications. Am J Med. 2011;124(1 Suppl):S3-18.

Toft-Nielsen MB, Damholt MB, Madsbad S, Hilsted LM, Hughes TE, Michelsen BK, et al.
Determinants of the impaired secretion of glucagon-like peptide-1 in type 2 diabeticpatients. 
J Clin Endocrinol Metab. 2001;86(8):3717-23.

Nauck MA, Petrie JR, Sesti G, Mannucci E, CourrègesJP, Lindegaard ML, et al. A Phase 2,
Randomized, Dose-Finding Study of the Novel Once-Weekly Human GLP-1 Analog,
Semaglutide, Compared With Placebo and Open-Label Liraglutide in Patients With Type 2
Diabetes. Diabetes Care. 2016;39(2):231-41.

Lau J, Bloch P, Schäffer L, Pettersson I, Spetzler J, Kofoed J, et al. Discovery of the Once-
Weekly Glucagon-Like Peptide-1 (GLP-1) Analogue Semaglutide. J Med Chem.
2015;58(18):7370-80.

ICH Harmonised Tripartite Guideline. Guidance on non-clinical safety studies for the
conduct of human clinical trials and marketing authorization for pharmaceuticals M3(R2).
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
Waser B, Blank A, Karamitopoulou E, Perren A, Reubi JC. Glucagon-like-peptide-1
receptor expression in normal and diseased human thyroid and pancreas. Mod Pathol.
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
Investigator's Brochure for s.c. Semaglutide (NN9535), Edition11 or any updates hereof.
2016.

Sorli C HS, Tsoukas G, Unger J, Derving Karsbol J, Hansen T, Bain S. Efficacy and safety
of once-weekly semaglutidemonotherapy versus placebo in subjects with type 2 diabetes
(SUSTAIN 1).  ENDO 2016 -98th Annual Meeting of the Endocrine Society2016.

Ahmann A CM, Charpentier G, Dotta F, Henkel E, Lingvay I, Gaarsdal Holst A, Chang D,
Aroda V. Efficacy and Safety of Once-weekly Semaglutide vs Exenatide ER After 56Weeks 
in Subjects With Type 2 Diabetes (SUSTAIN 3). Diabetes. 2016.

Ahrén B CL, Kumar H, Sargin M, Derving Karsbøl J, Jacobsen SH, Chow F. Efficacy and
Safety of Once-weekly Semaglutide vs Sitagliptin as add-on to Metformin and/or
Thiazolidinediones After 56 Weeks in Subjects With Type 2 Diabetes (SUSTAIN 2).
Diabetes. 2016.

Aroda V BS, Cariou B, Piletic M, Rose L, Axelsen MB, Everton R, de Vries JH. Efficacy
and safety of once-weekly semaglutide vsonce-daily insulin glargine in insulin-naïve
subjects with type 2 diabetes (SUSTAIN 4). Endocrine practice. 2016.

Novo Nordisk A/S. Company Announcement: SUSTAIN 6. 2016.

Marso SP, Daniels GH, Brown-Frandsen K, Kristensen P, Mann JF, Nauck MA, et al.
Liraglutide and Cardiovascular Outcomes in Type 2 Diabetes. N Engl J Med.
2016;375(4):311-22.

Fulcher G, Matthews DR, Perkovic V, de Zeeuw D, Mahaffey KW, Mathieu C, et al.
Efficacy and safety of canagliflozin when used in conjunction with incretin-mimetic therapy
in patients with type 2 diabetes. Diabetes Obes Metab. 2016;18(1):82-91.

KDIGO 2012 Clinical Practice Guideline for the Evaluation and Management of Chronic
Kidney Disease. http://www.kidney-international.org. 2013.

Inzucchi SE, Bergenstal RM, Buse JB, Diamant M, Ferrannini E, Nauck M, et al.
Management of hyperglycemia in type 2 diabetes: a patient-centered approach: position 
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Protocol
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Date:
21 October 2016
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Version:
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statement of the American Diabetes Association (ADA) and the European Association for 
the Study of Diabetes (EASD). Diabetes Care. 2012;35(6):1364-79.

Inzucchi SE, Bergenstal RM, Buse JB, Diamant M, Ferrannini E, Nauck M, et al.
Management of hyperglycaemia in type 2 diabetes, 2015: a patient-centred approach.
Update to a position statement of the American Diabetes Association and the European
Association for the Study of Diabetes. Diabetologia. 2015;58(3):429-42.

Novo Nordisk A/S. http://www.novonordisk-trials.com/website/content/how-we-disclose-
trial-information.aspx.

De Angelis C, Drazen JM, Frizelle FA, Haug C, Hoey J, Horton R, et al. Clinical trial
registration: a statement from the International Committee of Medical Journal Editors. N
Engl J Med. 2004;351(12):1250-1.

U.S. Department of Health and Human Services, Food and Drug Administration. Food and
Drug Administration Amendments Act of 2007. 27 September 2007.

The European Parliament and the Council of the European Council. Directive 2001/20/EC
of the European Parliament and of the Council of 4 April 2001 on the approximation of the
laws, regulations and administrative provisions of the Member States relating to the
implementation of good clinical practice in the conduct of clinical trials on medicinal
products for human use, article 11. Official Journal of the European Communities. 01 May
2001.

The European Parliament and the Council of the European Council. Regulation (EC) No
726/2004 of the European Parliament and of the Council of 31 March 2004 laying down
Community procedures for the authorisation and supervision of medicinal products for
human and veterinary use and establishing a European Medicines Agency, article 57. 30
April 2004.

Clarke WL, Cox DJ, Gonder-Frederick LA, Julian D, Schlundt D, Polonsky W. Reduced
awareness of hypoglycemia in adults with IDDM. A prospective study of hypoglycemic
frequency and associated symptoms. Diabetes Care. 1995;18(4):517-22.

Seaquist ER, Anderson J, Childs B, Cryer P, Dagogo-Jack S, Fish L, et al. Hypoglycemia
and diabetes: a report of a workgroup of the American Diabetes Association and the
Endocrine Society. Diabetes Care. 2013;36(5):1384-95.

McAulay V, Deary IJ, Frier BM. Symptoms of hypoglycaemia in people with diabetes.
Diabet Med. 2001;18(9):690-705.

U.S. Department of Health and Human Services, Food and Drug Administration. Guidance
for Industry. Patient-Reported Outcome Measures: Use in Medical Product Development to
Support Labeling Claims. December 2009.

Stull DE, Leidy NK, Parasuraman B, Chassany O. Optimal recall periods for patient-
reported outcomes: challenges and potential solutions. Curr Med Res Opin. 
2009;25(4):929-42.

European Commission. The Rules Governing Medicinal Products in the European Union,
Volume 4, Annex 13, Investigational Medicinal Products (ENTR/F/2/AM/an D[2010]
3374). 03 Feb 2010.

Hicks KA, Hung HMJ, Mahaffey KW, Mehran R, Nissen SE, Strockbridge NL,et al.
Standardized Definitions for Cardiovascular and Stroke End Point Events in Clinical Trials
(Draft). 20 Aug 2014. 
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Protocol
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21 October 2016
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
Bretz F, Posch M, Glimm E, Klinglmueller F, Maurer W, Rohmeyer K. Graphical
approaches for multiple comparison procedures using weighted Bonferroni, Simes, or
parametric tests. Biometrical Journal. 2011;53(6):894-913.

Rohmeyer K, Klinglmueller F. gMCP: Graph Based Multiple Test Procedures. R package
version 0.8-8. 3 Oct 2014.

Little RJA, Rubin DB. Statistical analysis with missing data: New York: John Wiley &Sons. 
1987.

Schwartz NS, Clutter WE, Shah SD, Cryer PE. Glycemic thresholds for activation ofglucose 
counterregulatory systems are higher than the threshold for symptoms. J Clin Invest.
1987;79(3):777-81.

Dahl-Jørgensen K, Brinchmann-Hansen O, Hanssen KF, Sandvik L, Aagenaes O. Rapid
tightening of blood glucose control leads to transient deterioration of retinopathy in insulin
dependent diabetes mellitus: the Oslo study. Br Med J (Clin Res Ed). 1985;290(6471):811-5.

Effect of intensive blood-glucose control with metformin on complications in overweight
patients with type 2 diabetes (UKPDS 34). UK Prospective Diabetes Study (UKPDS)Group. 
Lancet. 1998;352(9131):854-65.

The Action to Control Cardiovascular Risk in Diabetes Follow-On (ACCORDION) Eye
Study Group and the Action to Control Cardiovascular Risk in Diabetes Follow-On
(ACCORDION) Study Group. Persistent Effects of Intensive Glycemic Control on
Retinopathy in Type 2 Diabetes in the Action to Control Cardiovascular Risk in Diabetes
(ACCORD) Follow-On Study. Diabetes Care. 2016;39(7):1089-100.

The Diabetes Control and Complications Trial Research Group. Early worsening of diabetic
retinopathy in the Diabetes Control and Complications Trial. Arch Ophthalmol.
1998;116(7):874-86.

American Diabetes Association. Standards of medical care in diabetes -2016. DiabetesCare. 
2016;39 (Suppl. 1):S1-S109.

Novo Nordisk A/S. Investigators Brochure for oral Semaglutide (NN9924), Edition 6 or any
updates hereof. 2015.

International Committee of Medical Journal Editors. Recommendations for the Conduct,
Reporting, Editing and Publication of Scholarly Work in Medical Journals; current version
available at www.icmje.org. 
CONFIDENTIAL

Protocol - Appendix A
CONFIDENTIAL
Date:
21 October 2016
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Trial ID: NN9535-4269
Version:
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Appendix A
Monitoring of Calcitonin
This confidential document is the property of Novo Nordisk. No unpublished information contained herein may be 
disclosed without prior written approval from Novo Nordisk. Access to this document must be restricted to relevant 
parties
CONFIDENTIAL
This confidential document is the property of Novo Nordisk. No unpublished information contained herein may be 
disclosed without prior written approval from Novo Nordisk. Access to this document must be restricted to relevant 
parties.

Protocol - Appendix A
CONFIDENTIAL
Date:
21 October 2016
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Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213
Status:
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1
Background
Treatment with GLP-1 receptor agonists has been shown to be associated with thyroid C-cell 
changes in rodents but not in non-human primates. The human relevance of this finding is 
unknown. However, based on the findings in rodents, monitoring of serum calcitonin (a sensitive 
biomarker for C-cell activation) is currently being performed in clinical trials with semaglutide.
While there is general agreement on the clinical interpretation of substantially elevated calcitonin 
levels (greater than 100 ng/L) as likely indicative of C-cell neoplasia, the interpretation of values 
between upper normal range (5.0 and 8.4 ng/L for women and men, respectively) and 100 ng/L is 
less clear with regards to indication of disease.
There are several known confounding factors affecting calcitonin levels, e.g.:
!
renal dysfunction
!
smoking
!
autoimmune thyroiditis
!
several drug classes (e.g. proton pump inhibitors, beta-blockers, H2-blockers and 
glucocorticoids)
Physiology of C-cell activation in various clinical conditions and in different patient populations 
(i.e. with various co-morbidities) is poorly understood. There may be various clinical conditions not 
identified so far which mildly or moderately affect calcitonin secretion by C-cells.
CONFIDENTIAL

Protocol - Appendix A
CONFIDENTIAL
Date:
21 October 2016
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Trial ID: NN9535-4269
Version:
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UTN: U1111-1180-1213
Status:
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2
Calcitonin monitoring
A blood sample will be drawn at pre-specified trial visits for measurement of calcitonin.
In case a subject has a calcitonin value ≥ 10 ng/L, the algorithm outlined in Figure 1 and described 
below should be followed. The algorithm applies for all calcitonin values in the trial.
Calcitonin < 10ng/L
Calcitonin  ≥ 10 ng/L and 
< 50 ng/L
Calcitonin  ≥ 50 ng/L and 
< 100 ng/L
Calcitonin  ≥ 100 ng/L
Evaluation of 
calcitonin results
Calcitonin  ≥ 10 ng/L and 
last measurement in the 
trial
No action
●Investigate potential confounding 
factors
●Continue sampling of calcitonin 
according to protocol
●Refer to thyroid specialist
●Discontinue trial product
●Refer to thyroid specialist
●Refer to thyroid specialist
Figure 1
Flow of calcitonin monitoring
2.1
Calcitonin ≥ 100 ng/L  
Action: The subject must immediately be referred to a thyroid specialist for further evaluation and 
the trial product must be discontinued (see protocol Section 6.5 premature discontinuation of trial 
CONFIDENTIAL

Protocol - Appendix A
CONFIDENTIAL
Date:
21 October 2016
Novo Nordisk
Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213
Status:
Final
EudraCT No.: 2016-000904-27
Page:
4 of 6
product). The subject should remain in the trial; however, all medications suspected to relate to this 
condition must be discontinued until diagnosis has been established.
Background: These values were found in 9 (0.15%) of a population of 5817 patients with thyroid 
nodular disease 1. All of these patients were diagnosed with MTC, resulting in a positive predictive 
value of 100 %.
Diagnostic evaluation should include:
!
thyroid ultrasound examination
!
fine needle aspiration of any nodules > 1 cm 
!
potentially, surgery with neck dissection
In case a subject is diagnosed with MTC, it is common clinical practice to explore the family 
history of MTC or MEN2 and perform a genetic test for RET proto-oncogene mutation.
2.2
Calcitonin ≥ 50 and < 100 ng/L
Action: The subject should be referred to a thyroid specialist for further evaluation. The subject 
should remain in the trial and continuation on trial product should be based on the evaluation done 
by the thyroid specialist. 
Background: These values were found in 8 (0.14%) of the population of 5817 patients with thyroid 
nodular disease 1. Two of these subjects were diagnosed with MTC and two were diagnosed with 
C-cell hyperplasia, resulting in a positive predictive value of a C-cell anomaly of 50%.
Diagnostic evaluation should include: 
!
thyroid ultrasound examination 
!
if available, and if there are no contraindications, a pentagastrin stimulation test should be done. 
For subjects with positive pentagastrin stimulation test, surgery should be considered.
!
if pentagastrin stimulation test is not available, thyroid ultrasound and fine needle aspiration 
biopsy may add important clinical information about the need for surgery.
2.3
Calcitonin ≥ 10 and < 50 ng/L
Action: The subject can continue in the trial on trial product. Continue sampling of calcitonin 
according to the protocol.
If the value is from the last sample taken in the trial, the subject should be referred to a thyroid 
specialist for further evaluation.
Background: Calcitonin values from 20–50 ng/L were found in up to 1% of subjects of the 
population of 5817 patients with thyroid nodular disease 1. The predictive value of a C-cell anomaly 
CONFIDENTIAL

Protocol - Appendix A
CONFIDENTIAL
Date:
21 October 2016
Novo Nordisk
Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213
Status:
Final
EudraCT No.: 2016-000904-27
Page:
5 of 6
for this calcitonin level was 8.3%. However, the likelihood of having a medullary carcinoma >1 cm 
with calcitonin in this range is extremely low.
For calcitonin values between 10-20 ng/L Costante et al.1 identified 216 (3.7%) patients. One 
patient out of the 216 had a subsequent basal (unstimulated) calcitonin value of 33 ng/L, and had C-
cell hyperplasia at surgery. Two other studies used a cut-off of calcitonin > 10 ng/L to screen for C-
cell disease, but they do not provide sufficient information on patients with basal CT > 10 and < 20 
ng/L to allow conclusions 2, 3.
CONFIDENTIAL

Protocol - Appendix A
CONFIDENTIAL
Date:
21 October 2016
Novo Nordisk
Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213
Status:
Final
EudraCT No.: 2016-000904-27
Page:
6 of 6
3
References
1.
Costante G, Meringolo D, Durante C, Bianchi D, Nocera M, Tumino S, et al. Predictive 
value of serum calcitonin levels for preoperative diagnosis of medullary thyroid carcinoma 
in a cohort of 5817 consecutive patients with thyroid nodules. J Clin Endocrinol Metab. 
2007;92(2):450-5.
2.
Scheuba C, Kaserer K, A m, drosten R. Sporadic hypercalcitoninemia: clinica and 
therapeutic consequences. Endocrine Related Cancer. 2009;16(1):243-53.
3.
Verga U, Ferrero S, Vicentini L, Brambilla T, Cirello V, Muzza M, et al. Histopathological 
and molecular studies in patients with goiter and hypercalcitoninemia: reactive or neoplastic 
C-cell hyperplasia? Endocr Relat Cancer. 2007;14(2):393-403.
CONFIDENTIAL

Protocol - Appendix B
CONFIDENTIAL
Date:
21 October 2016
Novo Nordisk
Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
1 of 9
Appendix B
Adverse events requiring additional data collection
Marta Czeczot, International Trial Manager
Trial Operations 1, Semaglutide Diabetes & Diabetes Outcomes 
, 
Trial Operations 1, Semaglutide Diabetes & Diabetes Outcomes 
This confidential document is the property of Novo Nordisk. No unpublished information contained herein may be 
disclosed without prior written approval from Novo Nordisk. Access to this document must be restricted to relevant 
parties
CONFIDENTIAL
This confidential document is the property of Novo Nordisk. No unpublished information contained herein may be 
disclosed without prior written approval from Novo Nordisk. Access to this document must be restricted to relevant 
parties.

Protocol - Appendix B
CONFIDENTIAL
Date:
21 October 2016
Novo Nordisk
Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
2 of 9
Table of Contents
Table of Contents..............................................................................................................................................2
1
Adverse events requiring additional data collection..............................................................................3
1.1
Acute coronary syndrome (myocardial infarction or hospitalisation for unstable angina)............3
1.2
Cerebrovascular event (stroke or TIA) ..........................................................................................3
1.3
Heart failure...................................................................................................................................4
1.4
Hypersensitivity reactions..............................................................................................................4
1.5
Neoplasm .......................................................................................................................................5
1.6
Pancreatitis.....................................................................................................................................5
1.7
Renal event ....................................................................................................................................6
1.8
Thyroid disease..............................................................................................................................6
1.9
Hepatic event .................................................................................................................................7
1.10
Diabetic retinopathy.......................................................................................................................7
1.11
Laboratory outlier ..........................................................................................................................8
2
References..................................................................................................................................................9
CONFIDENTIAL

Protocol - Appendix B
CONFIDENTIAL
Date:
21 October 2016
Novo Nordisk
Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
3 of 9
1
Adverse events requiring additional data collection
For the following AEs, additional data collection is required and specific event forms must be 
completed in addition to the AE form. In case any of these events fulfil the criteria for an SAE, 
please report accordingly, see Section 12.1.2.
!
Acute coronary syndrome (myocardial infarction or hospitalisation for unstable angina)
!
Cerebrovascular event (stroke or transient ischaemic attack [TIA])
!
Heart failure
!
Hypersensitivity reaction
!
Neoplasm (excluding thyroid neoplasm)
!
Pancreatitis
!
Renal event
!
Thyroid disease (including thyroid neoplasm)
!
Hepatic event
!
Diabetic retinopathy
!
Laboratory outlier 
Additional information on a specific form is also required for hypoglycaemic episode and 
medication errors. The hypoglycaemia form is described in protocol section 8.4.6 and medication 
errors are described in protocol section 8.4.5.1. and 12.1.4.
1.1
Acute coronary syndrome (myocardial infarction or hospitalisation for unstable 
angina)
If an event of acute coronary syndrome (ranging from unstable angina pectoris to myocardial 
infarction) is observed during the trial, the following additional information must be reported if 
available:
!
Duration of symptoms
!
Changes in ECG
!
Collection of cardiac biomarkers
!
Cardiac imaging
!
Cardiac stress testing
!
Angiography
!
Use of thrombolytic drugs
!
Revascularisation procedures
1.2
Cerebrovascular event (stroke or TIA)
If a cerebrovascular event (e.g. TIA, stroke) is observed during the trial, the following additional 
information must be reported if available:
CONFIDENTIAL

Protocol - Appendix B
CONFIDENTIAL
Date:
21 October 2016
Novo Nordisk
Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
4 of 9
!
Type of event (e.g. TIA, stroke)
!
Contributing condition
!
Neurologic signs and symptoms
!
History of neurologic disease
!
Imaging supporting the condition
!
Treatment given for the condition
1.3
Heart failure
If an event of heart failure is observed during the trial, the following additional information must be
reported if available:
!
Signs and symptoms of heart failure
!
NYHA class
!
Supportive imaging
!
Supportive laboratory measurements
!
Initiation or intensification of treatment for this condition
1.4
Hypersensitivity reactions
All events of hypersensitivity reactions must be reported and the following additional information 
must be reported if available:
!
Signs and symptoms associated with the event
!
Time of appearance after administration of trial drug
!
Relevant immunological tests performed
!
Treatment given for the reaction
!
Previous history of similar reactions
!
Risk or confounding factors identified
Assessments in case of suspicion of hypersensitivity reactions
In case of suspicion of a severe immediate systemic hypersensitivity reaction1 to the trial product, 
the subject must be discontinued from trial product but should remain in the trial (see Section 6.5
and 8.1.6).
If suspicion of a hypersensitivity reaction occurs, the subjects should be instructed to contact the 
site staff as soon as possible for further guidance.
To assist in the diagnostic evaluation it is recommended to draw a blood sample for measurement of 
tryptase (total and/or mature tryptase, local assessment) within 3 hours of onset of the 
hypersensitivity reaction, and if this is achieved, a tryptase sample should also be drawn 2 weeks 
after the event.
CONFIDENTIAL

Protocol - Appendix B
CONFIDENTIAL
Date:
21 October 2016
Novo Nordisk
Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
5 of 9
Furthermore, a blood sample for assessment of anti-semaglutide IgE antibodies should be drawn 
after 2 weeks and sent to central laboratory (see attachment I). Tryptase concentrations, if 
available, should be included in the specific event form when reporting the AE.
In case of suspicion of immune complex disease1, the subject must be discontinued from trial 
product but should remain in the trial (see Section 6.5 and 8.1.6). It is recommended to draw a 
blood sample for local assessment of complement levels (C3 and C4) to assist in the diagnostic 
evaluation. Complementlevel results should be included in the specific event form when reporting 
the AE.
1.5
Neoplasm
All events of neoplasms (excluding thyroid neoplasms, which will be reported under thyroid 
disease) must be reported during the trial and the following additional information must be reported 
if available:
!
Type of neoplasm
!
Symptoms leading to identification of event
!
Diagnostic imaging
!
Pathological examination results
!
Treatment for the event
!
Participation in screening programs
!
Risk factors associated with the event
1.6
Pancreatitis
For all confirmed events of pancreatitis the following additional information must be reported if 
available:
!
Signs and symptoms of pancreatitis
!
Specific laboratory test supporting a diagnosis of pancreatitis:
!
Imaging performed and consistency with pancreatic disease
!
Treatment for and complications of the event
!
Relevant risk factors for pancreatic disease
!
Family history of pancreatitis
Assessments in case of suspicion of acute pancreatitis
Most patients with acute pancreatitis experience severe abdominal pain that is located generally in 
the epigastrium and radiates to the back. The onset of the pain may be swift, reaching maximum 
intensity within 30 min, is frequently unbearable, and characteristically persists for more than 24 
hours without relief2.The pain is often associated with nausea and vomiting. Physical examination 
usually reveals severe upper abdominal tenderness at times associated with guarding.
CONFIDENTIAL

Protocol - Appendix B
CONFIDENTIAL
Date:
21 October 2016
Novo Nordisk
Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
6 of 9
In general, both amylase and lipase are elevated during the course of acute pancreatitis. The serum 
lipase may remain elevated slightly longer than amylase. The level of the serum amylase and/or 
lipase does not correlate with the severity of acute pancreatitis2. In general, serum lipase is thought 
to be more sensitive and specific than serum amylase in the diagnosis of acute pancreatitis.
In case of suspicion of acute pancreatitis, the trial product should promptly be interrupted (no 
treatment discontinuation call should be made in IWRS before diagnosis of acute pancreatitis is 
confirmed). Appropriate additional examinations must be performed, including local measurement 
of amylase and lipase.
The diagnosis of acute pancreatitis requires two of the following three features3:
!
abdominal pain consistent with acute pancreatitis (acute onset of a persistent, severe, epigastric 
pain often radiating to the back)
!
serum lipase activity (and/or amylase activity) at least three times greater than the upper normal 
limit
!
characteristic findings of acute pancreatitis on imaging.
If acute pancreatitis is ruled out, trial product should be re-initiated.
If acute pancreatitis is confirmed, appropriate treatment and careful monitoring of the subject 
should be initiated. The subject must be discontinued from trial product (treatment discontinuation 
call in IWRS), but should remain in the trial (see Section 6.5 and 8.1.6).
1.7
Renal event
If a renal event is observed during the trial, the following additional information must be reported if 
available:
!
Signs and symptoms of renal failure
!
Specific laboratory tests supporting the diagnosis
!
Imaging performed supporting the diagnosis
!
Kidney biopsy results
Risk or confounding factors identified including exposure to nephrotoxic agents
1.8
Thyroid disease
If an event of thyroid disease, including any thyroid neoplasms, is observed during the trial, the 
following additional information must be reported if available:
CONFIDENTIAL

Protocol - Appendix B
CONFIDENTIAL
Date:
21 October 2016
Novo Nordisk
Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
7 of 9
!
History of thyroid disease
!
Signs and symptoms leading to investigations of thyroid disease
!
Specific laboratory tests describing thyroid function
!
Diagnostic imaging performed and any prior imaging supporting the disease history
!
Pathologic examinations
!
Treatment given for the condition
!
Risk factors identified
!
Family history of thyroid disease
1.9
Hepatic event
!
ALT or AST > 5 × UNL and total bilirubin ≤ 2 × UNL
!
ALT or AST > 3 × UNL and total bilirubin > 2 × UNL*
!
Hepatic event leading to trial product discontinuation
If one of the above events is observed during the trial, the following additional information must be 
reported if available:
!
Signs and symptoms associated with the event
!
Risk factors
!
Relevant laboratory test results
!
Diagnostic imaging performed
!
Possible cause(s) of the event
!
Assessments in case of increased levels of aminotransferases
The above mentioned hepatic events should prompt repeat testing (at the central laboratory) 
including ALT, AST, ALP and total bilirubin, and discontinuation of trial product should be 
considered. Thereafter, repeat testing (at the central laboratory) of ALT, AST, ALP and total 
bilirubin should be done regularly until the abnormalities return to normal or baseline state. 
Additional clinical information such as related symptoms, risk factors and contributing conditions 
(e.g. viral hepatitis, autoimmune hepatitis, alcoholic hepatitis, hepatobiliary or pancreatic disorders) 
should be gathered to seek a possible cause of the observed laboratory test abnormalities.
*Please note that risk of liver injury defined as ALT or AST > 3 × UNL and total bilirubin > 2 × 
UNL, where no alternative aetiology exits (Hy’s law), should also be reported as a SAE (important 
medical event, according to Section 12.1.2).
1.10
Diabetic retinopathy
If an event of diabetic retinopathy (new onset or worsening of) is observed during the trial the 
following additional information must be reported if available on the diabetic retinopathy form: 
CONFIDENTIAL

Protocol - Appendix B
CONFIDENTIAL
Date:
21 October 2016
Novo Nordisk
Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
8 of 9
!
Signs and symptoms associated with the event 
!
Results of the eye examination
!
Treatment for and complications of the event
!
Contributing conditions
1.11
Laboratory outlier
As a minimum but not limiting to the specified cut-offs for the following laboratory parameters a 
value above or below are considered to be clinically significant4 and should be reported as a 
laboratory outlier by completing both an AE and a Laboratory outlier form. 
!
Alkaline phosphatase: > 20x ULN
!
Total bilirubin: > 10x ULN 
!
Serum creatinine: > 6x ULN 
!
Leucocyte count: < 1000/mm3 or 1x109/L
!
Thrombocyte count: < 25000/mm3 or 25x109/L
!
Total calcium (serum corrected): <1.5 mmol/L or > 3.4 mmol/L
!
Potassium:< 2.5 mmol/L or > 7 mmol/L
!
Sodium: < 120 mmol/L or > 160  mmol/L
If a laboratory outlier is observed, the following additional information must be reported, if 
available:
!
Signs and symptoms associated with the event
!
Risk factors
!
Relevant laboratory test results
!
Treatment for the event
!
Possible cause(s) of the event
Furthermore, repeated laboratory assessments should be obtained at the central laboratory until the 
value is within the normal range or back to baseline values. 
CONFIDENTIAL

Protocol - Appendix B
CONFIDENTIAL
Date:
21 October 2016
Novo Nordisk
Trial ID: NN9535-4269
Version:
2.0
UTN: U1111-1180-1213
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
9 of 9
2
References

Food and Drug Administration. Guidance for Industry:Immunogenicity Assessment for
Therapeutic Protein Products. 8/2015 2015.

Banks PA, Freeman ML, Practice Parameters Committee of the American College of
Gastroenterology. Practice guidelines in acute pancreatitis. Am J Gastroenterol.
2006;101(10):2379-400.

Banks PA, Bollen TL, Dervenis C, Gooszen HG, Johnson CD, Sarr MG, et al. Classification
of acute pancreatitis-2012: revision of the Atlanta classification and definitions by
international consensus. Gut. 2013;62(1):102-11.

National Cancer Institute. Common Terminology Criteria for Adverse Events v4.03 (NIH
publication # 09-7473). http://evsncinihgov/ftp1/CTCAE/CTCAE_403_2010-06-
14_QuickReference_5x7pdf. 2010. 
CONFIDENTIAL

Global and country key Novo Nordisk staff
Attachments I and II (if applicable) to the protocol are located in the Trial Master File.
Content: Global key staff and Country key staff
CONFIDENTIAL
Date:
Novo Nordisk
Version:
Status:
Semaglutide
Trial ID: NN9535-4269
Clinical Trial Report
Appendix 16.1.1
18 February 2019
1.0
Final
CONFIDENTIAL

Protocol Amendment no 1
CONFIDENTIAL
Date:
21 March 2018
Novo Nordisk
Trial ID: NN9535-4269
Version:
1.0
UTN: U1111-1180-1213 
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
1 of 5
Protocol Amendment
no 1
to Protocol, version 2
dated 21 October 2016
Trial ID: NN9535-4269
SUSTAIN 9 – Add-on to SGLT-2i
Efficacy and safety of semaglutide once-weekly versus placebo as add-
on to SGLT-2i in subjects with type 2 diabetes mellitus
A 30-week randomised, double-blind, placebo-controlled trial
Trial phase: Phase 3b
Applicable to Japan
Amendment originator:
, 
Clinical Operations Dept., Novo Nordisk Pharma Ltd.
This confidential document is the property of Novo Nordisk. No unpublished information contained herein may be 
disclosed without prior written approval from Novo Nordisk. Access to this document must be restricted to relevant 
parties.
CONFIDENTIAL
This confidential document is the property of Novo Nordisk. No unpublished information contained herein may be 
disclosed without prior written approval from Novo Nordisk. Access to this document must be restricted to relevant 
parties.

Protocol Amendment no 1
CONFIDENTIAL
Date:
21 March 2018
Novo Nordisk
Trial ID: NN9535-4269
Version:
1.0
UTN: U1111-1180-1213 
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
2 of 5
Table of Contents
1
Introduction including rationale for the protocol amendment...........................................................3
2
Changes ................................................................................................................................................3
2.1
Section 1, Summary ..................................................................................................................3
2.2
Section 3, Background information and rationale for the trial ....................................................3
2.3
Section 8.5, Laboratory assessments..........................................................................................3
2.4
Section 12.7.2, Event adjudication committee............................................................................3
2.5
Section 17.4.1, Data selections and observation periods.............................................................4
2.6
Section 18.4, Data handling.......................................................................................................4
2.7
Section 20, Audits and inspections ............................................................................................4
2.8
Section 23, Reports and publications .........................................................................................4
2.9
Section 23.1, Communication of results.....................................................................................4
2.10
Section 25, Institutional Review Boards/Independent Ethics Committees and regulatory 
authorities .................................................................................................................................5
CONFIDENTIAL

Protocol Amendment no 1
CONFIDENTIAL
Date:
21 March 2018
Novo Nordisk
Trial ID: NN9535-4269
Version:
1.0
UTN: U1111-1180-1213 
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
3 of 5
1
Introduction including rationale for the protocol amendment
This protocol amendment introduces:
!
Other clarifications
It has been clarified that the trial will be classified as post marketing clinical trial after getting the 
marketing approval for treatment of Type 2 diabetes mellitus in Japan, and then the term “clinical 
trial” will be properly replaced with “clinical trial or post marketing clinical trial” in the protocol 
and other related materials/documents.
In this protocol amendment:
!
Any new text is written in italics.
!
Any text deleted from the protocol is written using strike through.
2
Changes
2.1
Section 1, Summary
Total trial duration for the individual subjects is approximately 37 weeks.
Classification of trial in Japan: 
The trial will be classified as post marketing clinical trial after getting the marketing approval for 
treatment of Type 2 diabetes mellitus.
2.2
Section 3, Background information and rationale for the trial
In this document, the term investigator refers to the individual responsible for the overall conduct of 
the clinical trial at a trial site. The term “clinical trial” will be properly replaced with “clinical trial 
or post marketing clinical trial” in the protocol.
2.3
Section 8.5, Laboratory assessments
All laboratory samples will be destroyed at the latest at the completion of the post marketing 
clinical trial clinical trial report or according to local regulation.
2.4
Section 12.7.2, Event adjudication committee
The assessment made by the EAC will be included in the post marketing clinical trial clinical trial
report as well as the assessments made by the investigator.
CONFIDENTIAL

Protocol Amendment no 1
CONFIDENTIAL
Date:
21 March 2018
Novo Nordisk
Trial ID: NN9535-4269
Version:
1.0
UTN: U1111-1180-1213 
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
4 of 5
2.5
Section 17.4.1, Data selections and observation periods
Exclusion of data from analyses will be used restrictively and normally no data should be excluded 
from the FAS. The subjects or observations to be excluded, and the reasons for their exclusion will 
be documented and signed by those responsible before database lock. The subjects and observations 
excluded from analysis sets, and the reason for this, will be described in the post marketing clinical 
trial clinical trial report.
2.6
Section 18.4, Data handling
!
Data already collected and any data collected at the end-of-trial visit including follow up visits 
will be retained by Novo Nordisk, entered into the database and used for the post marketing 
clinical trial clinical trial report.
2.7
Section 20, Audits and inspections
Any aspect of the post marketing clinical trial clinical trial may be subject to audits conducted by 
Novo Nordisk or inspections from domestic or foreign regulatory authorities or from IRBs/IECs. 
Audits and inspections may take place during or after the trial. The investigator and the site staff as 
well as Novo Nordisk staff have an obligation to cooperate and assist in audits and inspections. This 
includes giving auditors and inspectors direct access to all source documents and other documents 
at the trial site relevant to the post marketing clinical trial clinical trial. This includes permission to 
examine, analyse, verify and reproduce any record(s) and report(s) that are relevant to the 
evaluation of the trial.
2.8
Section 23, Reports and publications
Novo Nordisk may publish on its clinical trials website a redacted post marketing clinical trial
clinical trial report for this trial.
One or two investigators will be appointed by Novo Nordisk to review and sign the post marketing 
clinical trial clinical trial report (signatory investigator) on behalf of all participating investigators. 
The signatory investigator will be appointed based upon the criteria defined by the International 
Committee of Medical Journal Editors for research publications57.
2.9
Section 23.1, Communication of results
Novo Nordisk reserves the right to defer the release of data until specified milestones are reached, 
for example when the post marketing clinical trial clinical trial report is available. This includes the 
right not to release the results of interim analyses, because the release of such information may 
influence the results of the entire trial.
CONFIDENTIAL

Protocol Amendment no 1
CONFIDENTIAL
Date:
21 March 2018
Novo Nordisk
Trial ID: NN9535-4269
Version:
1.0
UTN: U1111-1180-1213 
Status:
Final
EudraCT no.: 2016-000904-27 
Page:
5 of 5
2.10
Section 25, Institutional Review Boards/Independent Ethics Committees and 
regulatory authorities
The investigator must ensure submission of the post marketing clinical trial clinical trial report 
synopsis to the IRB/IEC.
Regulatory Authorities:
Regulatory authorities will receive the post marketing clinical trial clinical trial application, 
protocol amendments, reports on SAEs, and the post marketing clinical trial clinical trial report 
according to national requirements.
CONFIDENTIAL