# EDGAR Filing Document

**Accession Number:** 0001600847
**File Stem:** 0001104659-23-028406
**Filing Date:** 2023-3
**Character Count:** 20527
**Document Hash:** 4bb90ac45748be17654f5aaac0783ac6
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-23-028406.hdr.sgml**: 20230303

**ACCESSION NUMBER**: 0001104659-23-028406

**CONFORMED SUBMISSION TYPE**: SC 13D/A

**PUBLIC DOCUMENT COUNT**: 2

**FILED AS OF DATE**: 20230303

**DATE AS OF CHANGE**: 20230303

**GROUP MEMBERS**: NOVARTIS AG

**SUBJECT COMPANY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Gamida Cell Ltd.
- **CENTRAL INDEX KEY:** 0001600847
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** L3
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SC 13D/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 005-90706
- **FILM NUMBER:** 23703713

**BUSINESS ADDRESS:**
- **STREET 1:** 5 NAHUM HAFZADI STREET
- **CITY:** JERUSALEM
- **STATE:** L3
- **ZIP:** 95484
- **BUSINESS PHONE:** 97226595666

**MAIL ADDRESS:**
- **STREET 1:** 5 NAHUM HAFZADI STREET
- **CITY:** JERUSALEM
- **STATE:** L3
- **ZIP:** 95484
**FILED BY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** NOVARTIS PHARMA AG
- **CENTRAL INDEX KEY:** 0001030617

**FILING VALUES:**
- **FORM TYPE:** SC 13D/A

**BUSINESS ADDRESS:**
- **STREET 1:** LICHTSTRASSE 35
- **STREET 2:** CH-4002
- **CITY:** BASEL
- **STATE:** V8
- **BUSINESS PHONE:** 212-830-2474

**MAIL ADDRESS:**
- **STREET 1:** LICHTSTRASSE 35
- **STREET 2:** CH-4002
- **CITY:** BASEL
- **STATE:** V8

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** NOVARTIS INC
- **DATE OF NAME CHANGE:** 19970114

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**SCHEDULE 13D**

**Under the Securities Exchange Act of 1934<br> (Amendment No. 3)\***

**Gamida Cell Ltd.**

(Name of Issuer)

**Ordinary shares, par value NIS 0.01 per share ("Ordinary Shares")**

(Title of Class of Securities)

**M47364100**

(CUSIP Number)

**Karen Hale<br> Chief Legal Officer<br> Novartis AG<br> Lichtstrasse 35<br> CH-4056 Basel<br> Switzerland**

**With a copy to:**

**David M. Lynn<br> Morrison & Foerster LLP<br> 2100 L Street NW, Suite 900<br> Washington, D.C. 20037<br> (202) 887-1500**

(Name, Address and Telephone Number of Person<br> Authorized to Receive Notices and Communications)

**December 30, 2022**

(Date of Event Which Requires Filing of this Statement)<br>

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-l(f) or 240.13d-l(g), check the following box. ◻

\*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, *see the Notes*).

---

| | | | |
|:---|:---|:---|:---|
| CUSIP No. M47364100 | CUSIP No. M47364100 | CUSIP No. M47364100 | CUSIP No. M47364100 |
| <br>1.<br>| Names of Reporting Persons<br> Novartis Pharma AG | Names of Reporting Persons<br> Novartis Pharma AG | Names of Reporting Persons<br> Novartis Pharma AG |
| <br>2.<br>| Check the Appropriate Box if a Member of a Group (See Instructions) | Check the Appropriate Box if a Member of a Group (See Instructions) | Check the Appropriate Box if a Member of a Group (See Instructions) |
|  | (a) | (a) | ◻ |
|  | (b) | (b) | ◻ |
| <br>3.<br>| SEC Use Only | SEC Use Only | SEC Use Only |
| <br>4.<br>| Source of Funds (See Instructions)<br> WC | Source of Funds (See Instructions)<br> WC | Source of Funds (See Instructions)<br> WC |
| <br>5.<br>| Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) □ | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) □ | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) □ |
| <br>6.<br>| Citizenship or Place of Organization<br> Switzerland | Citizenship or Place of Organization<br> Switzerland | Citizenship or Place of Organization<br> Switzerland |
| Number of<br> Shares<br> Beneficially<br> Owned by<br> Each<br> Reporting<br> Person <br> With | 7. | Sole Voting Power <br> 0 | Sole Voting Power <br> 0 |
| Number of<br> Shares<br> Beneficially<br> Owned by<br> Each<br> Reporting<br> Person <br> With | 8. | Shared Voting Power <br> 4,336,759 | Shared Voting Power <br> 4,336,759 |
| Number of<br> Shares<br> Beneficially<br> Owned by<br> Each<br> Reporting<br> Person <br> With | 9. | Sole Dispositive Power <br> 0 | Sole Dispositive Power <br> 0 |
| Number of<br> Shares<br> Beneficially<br> Owned by<br> Each<br> Reporting<br> Person <br> With | 10. | Shared Dispositive Power <br> 4,336,759 | Shared Dispositive Power <br> 4,336,759 |
| <br>11.<br>| Aggregate Amount Beneficially Owned by Each Reporting Person <br> 4,336,759 | Aggregate Amount Beneficially Owned by Each Reporting Person <br> 4,336,759 | Aggregate Amount Beneficially Owned by Each Reporting Person <br> 4,336,759 |
| <br>12.<br>| Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ◻ | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ◻ | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ◻ |
| <br>13.<br>| Percent of Class Represented by Amount in Row (11) <br> 5.8%\* | Percent of Class Represented by Amount in Row (11) <br> 5.8%\* | Percent of Class Represented by Amount in Row (11) <br> 5.8%\* |
| <br>14.<br>| Type of Reporting Person (See Instructions)<br> CO | Type of Reporting Person (See Instructions)<br> CO | Type of Reporting Person (See Instructions)<br> CO |

---

\* This calculation is based on an aggregate of 74,583,026 Ordinary Shares issued and outstanding as of January 5, 2023, as reported by the Issuer in its Schedule 14A proxy statement filed with the Securities and Exchange Commission on January 10, 2023.

---

| | | | |
|:---|:---|:---|:---|
| CUSIP No. M47364100 | CUSIP No. M47364100 | CUSIP No. M47364100 | CUSIP No. M47364100 |
| <br>1.<br>| Names of Reporting Persons<br> Novartis AG | Names of Reporting Persons<br> Novartis AG | Names of Reporting Persons<br> Novartis AG |
| <br>2.<br>| Check the Appropriate Box if a Member of a Group (See Instructions) | Check the Appropriate Box if a Member of a Group (See Instructions) | Check the Appropriate Box if a Member of a Group (See Instructions) |
|  | (a) | (a) | ◻ |
|  | (b) | (b) | ◻ |
| <br>3.<br>| SEC Use Only | SEC Use Only | SEC Use Only |
| <br>4.<br>| Source of Funds (See Instructions)<br> WC | Source of Funds (See Instructions)<br> WC | Source of Funds (See Instructions)<br> WC |
| <br>5.<br>| Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) ◻ | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) ◻ | Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e) ◻ |
| <br>6.<br>| Citizenship or Place of Organization<br> Switzerland | Citizenship or Place of Organization<br> Switzerland | Citizenship or Place of Organization<br> Switzerland |
| Number of<br> Shares<br> Beneficially<br> Owned by<br> Each<br> Reporting<br> Person <br> With | 7. | Sole Voting Power <br> 0 | Sole Voting Power <br> 0 |
| Number of<br> Shares<br> Beneficially<br> Owned by<br> Each<br> Reporting<br> Person <br> With | 8. | Shared Voting Power <br> 4,336,759 | Shared Voting Power <br> 4,336,759 |
| Number of<br> Shares<br> Beneficially<br> Owned by<br> Each<br> Reporting<br> Person <br> With | 9. | Sole Dispositive Power <br> 0 | Sole Dispositive Power <br> 0 |
| Number of<br> Shares<br> Beneficially<br> Owned by<br> Each<br> Reporting<br> Person <br> With | 10. | Shared Dispositive Power <br> 4,336,759 | Shared Dispositive Power <br> 4,336,759 |
| <br>11.<br>| Aggregate Amount Beneficially Owned by Each Reporting Person <br> 4,336,759 | Aggregate Amount Beneficially Owned by Each Reporting Person <br> 4,336,759 | Aggregate Amount Beneficially Owned by Each Reporting Person <br> 4,336,759 |
| <br>12.<br>| Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ◻ | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ◻ | Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) ◻ |
| <br>13.<br>| Percent of Class Represented by Amount in Row (11) <br> 5.8%\* | Percent of Class Represented by Amount in Row (11) <br> 5.8%\* | Percent of Class Represented by Amount in Row (11) <br> 5.8%\* |
| <br>14.<br>| Type of Reporting Person (See Instructions)<br> CO, HC | Type of Reporting Person (See Instructions)<br> CO, HC | Type of Reporting Person (See Instructions)<br> CO, HC |

---

\* This calculation is based on an aggregate of 74,583,026 Ordinary Shares issued and outstanding as of January 5, 2023, as reported by the Issuer in its Schedule 14A proxy statement filed with the Securities and Exchange Commission on January 10, 2023.

**Explanatory Note**

This Amendment No. 3 (the "Amendment No. 3") amends the statement on Schedule 13D originally filed by the Reporting Persons on November 8, 2018, as amended on August 14, 2020 and March 11, 2021 (the "Schedule 13D"). This Amendment No. 3 is being filed to reflect a reduction in the Reporting Persons' beneficial ownership of more than 1% of the Issuer's outstanding Ordinary Shares, resulting from the expiration of warrants representing 857,295 issuable Ordinary Shares by the Reporting Persons and an increase in the Issuer's outstanding Ordinary Shares. The Items below amend the information disclosed under the corresponding Item of the Schedule 13D as described below. Except as specifically provided herein, this Amendment No. 3 does not modify any of the information previously reported in the Schedule 13D. Capitalized terms used but not defined herein shall have the meanings attributed to them in the Schedule 13D.

**Item 2. Identity and Background**

Item 2 of the Schedule 13D is hereby amended such that all references to Schedule I contained within Item 2 and otherwise within the Schedule 13D shall refer to the Schedule I included in this Amendment No. 3.

**Item 5. Interest in Securities of the Issuer**

Items 5(a) and (b) of the Schedule 13D are hereby amended and restated in their entirety to read as follows:

"(a) — (b) As of the date hereof, each of the Reporting Persons may be deemed, for purposes of Rule 13d-3 of the Act, directly or indirectly, including by reason of their mutual affiliation, to be the beneficial owners of 4,336,759 Ordinary Shares. Each Reporting Person has shared voting and dispositive power with the other Reporting Person.

Based on the 74,583,026 Ordinary Shares issued and outstanding as of January 5, 2023, as reported by the Issuer in its Schedule 14A proxy statement filed with the Securities and Exchange Commission on January 10, 2023, the Ordinary Shares beneficially owned by the Reporting Persons constituted 5.8% of the issued and outstanding Ordinary Shares of the Issuer.

Novartis Pharma AG is a wholly owned direct subsidiary of Novartis AG. Novartis AG, as the publicly owned parent company of Novartis Pharma AG, may be deemed to beneficially own all of the Ordinary Shares held directly by Novartis Pharma AG."

**Item 7. Materials to be Filed as Exhibits**

<u>Exhibit Number</u> <u>Description</u> <br> [4](tm238437d1_ex4.htm) [Evidence of Signatory Authority](tm238437d1_ex4.htm)

**SIGNATURE**

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Pursuant to Rule 13d-1(k)(1)(iii) of Regulation 13D-G of the General Rules and Regulations of the Securities Exchange Act of 1934, as amended, the undersigned agree that the attached statement is filed on behalf of each of them.

Dated: March 3, 2023

---

| | | |
|:---|:---|:---|
| **NOVARTIS PHARMA AG** | **NOVARTIS PHARMA AG** | **NOVARTIS PHARMA AG** |
| By: | /s/ Lukas Förtsch | /s/ Lukas Förtsch |
|  | Name: | Lukas Förtsch |
|  | Title: | Authorized Signatory |
| By: | /s/ Bertrand Bugnon | /s/ Bertrand Bugnon |
|  | Name: | Bertrand Bugnon |
|  | Title: | Authorized Signatory |
| **NOVARTIS AG** | **NOVARTIS AG** | **NOVARTIS AG** |
| By: | /s/ Lukas Förtsch | /s/ Lukas Förtsch |
|  | Name: | Lukas Förtsch |
|  | Title: | Authorized Signatory |
| By: | /s/ Bertrand Bugnon | /s/ Bertrand Bugnon |
|  | Name: | Bertrand Bugnon |
|  | Title: | Authorized Signatory |

---

**Schedule I**

**DIRECTORS AND EXECUTIVE OFFICERS OF**

**NOVARTIS AG AND NOVARTIS PHARMA AG**

DIRECTORS AND EXECUTIVE OFFICERS OF NOVARTIS AG

The name, function, citizenship and present principal occupation or employment of each of the directors and executive officers of Novartis AG are set forth below. Unless otherwise indicated below, (i) each occupation set forth opposite an individual's name refers to employment with Novartis AG and (ii) the business address of each director and executive officer of Novartis AG is Novartis Campus, Lichtstrasse 35, CH-4056, Basel, Switzerland.

---

| | | | |
|:---|:---|:---|:---|
| **Name** | **Relationship to<br> Novartis AG** | **Present Principal Occupation** | **Citizenship** |
| Joerg Reinhardt, Ph.D. | Chairman of the Board of Directors | Chairman of the Board of Directors | German |
| Simon Moroney, D.Phil. | Vice Chairman of the Board of Directors | Independent Director | German/New Zealander |
| Nancy C. Andrews, M.D., Ph.D. | Director | Dean emerita, vice chancellor emerita for academic affairs, Duke University School of Medicine, US; Nanaline H. Duke Professor of pediatrics, pharmacology and cancer biology, Duke University, US | American/Swiss |
| Ton Buechner | Director | Independent Director | Dutch/Swiss |
| Patrice Bula | Director | Lead Independent Director | Swiss |
| Elizabeth (Liz) Doherty | Director | Independent Director | British |
| Bridgette Heller | Director | Co-founder and Chief Executive Officer, Shirley Proctor Puller Foundation, US | American |
| Daniel Hochstrasser | Director | Independent Director | Swiss |
| Frans van Houten | Director | Chief Executive Officer and chairman of the executive committee and the board of management, Royal Philips NV, Netherlands | Dutch |

---

---

| | | | |
|:---|:---|:---|:---|
| Andreas von Planta, Ph.D.<sup>1</sup> | Director | Senior Counsel, Lenz & Staehelin, Switzerland | Swiss |
| Ana de Pro Gonzalo | Director | Independent Director | Spanish |
| Charles L. Sawyers, M.D. | Director | Chair of the Human Oncology and Pathogenesis Program, Memorial Sloan-Kettering Cancer Center, US; Professor of Medicine and of Cell and Developmental Biology, Weill Cornell Graduate School of Medical Sciences, US | American |
| William T. Winters | Director | Chief Executive Officer and director of Standard Chartered PLC, UK | British/American |
| Vasant (Vas) Narasimhan, M.D. | Member of the Executive Committee; Chief Executive Officer | Member of the Executive Committee; Chief Executive Officer | American |
| Shreeram Aradhye, M.D. | Member of the Executive Committee; Chief Medical Officer | Member of the Executive Committee; Chief Medical Officer | American |
| Victor Bulto | Member of the Executive Committee; President, Innovative Medicines US | Member of the Executive Committee; President, Innovative Medicines US | American |
| Aharon (Ronny) Gal, Ph.D. | Member of the Executive Committee; Chief Strategy Officer | Member of the Executive Committee; Chief Strategy Officer | Israeli/American |
| Karen L. Hale | Member of the Executive Committee; Chief Legal Officer | Member of the Executive Committee; Chief Legal Officer | American |
| Harry Kirsch | Member of the Executive Committee; Chief Financial Officer | Member of the Executive Committee; Chief Financial Officer | German/Swiss |
| Robert (Rob) Kowalski | Member of the Executive Committee; Chief People & Organization Officer | Member of the Executive Committee; Chief People & Organization Officer | American |
| Steffen Lang, Ph.D. | Member of the Executive Committee; President, Operations | Member of the Executive Committee; President, Operations | German/Swiss |

---

<sup>1</sup> Mr. von Planta will not stand for re-election at the 2023 Annual General Meeting.

---

| | | | |
|:---|:---|:---|:---|
| Fiona H. Marshall, Ph.D. | Member of the Executive Committee; President, Novartis Institutes for BioMedical Research (NIBR) | Member of the Executive Committee; President, Novartis Institutes for BioMedical Research (NIBR) | British |
| Klaus Moosmayer, Ph.D. | Member of the Executive Committee; Chief Ethics, Risk and Compliance Officer | Member of the Executive Committee; Chief Ethics, Risk and Compliance Officer | German |
| Marie-France Tschudin | Member of the Executive Committee; President, Novartis Pharmaceuticals | Member of the Executive Committee; President, Novartis Pharmaceuticals | Swiss |

---

DIRECTORS AND EXECUTIVE OFFICERS OF NOVARTIS PHARMA AG

The name, function, citizenship and present principal occupation or employment of each of the directors and executive officers of Novartis Pharma AG are set forth below. Unless otherwise indicated below, (i) each occupation set forth opposite an individual's name refers to employment with Novartis Pharma AG and (ii) the business address of each director and executive officer of Novartis Pharma AG is Novartis Campus, Lichtstrasse 35, CH-4056, Basel, Switzerland.

---

| | | | |
|:---|:---|:---|:---|
| **Name** | **Relationship to Novartis<br> Pharma AG** | **Present Principal Occupation** | **Citizenship** |
| Joerg Reinhardt, Ph.D. | President of the Board of Directors | Chairman of the Board of Directors of Novartis AG | German |
| Karen L. Hale | Director | Member of the Novartis AG Executive Committee; Chief Legal Officer of Novartis AG | American |
| Harry Kirsch | Director | Member of the Novartis AG Executive Committee; Chief Financial Officer of Novartis AG | German/Swiss |

---

## Ex-4

**EXHIBIT 4**

**EVIDENCE OF SIGNATORY AUTHORITY**

<u>Excerpt from Commercial Register of Novartis Pharma AG</u>

---

| | | | | |
|:---|:---|:---|:---|:---|
| Identification number | Legal status | Entry | Cancelled |  |
|  |  |  |  | **1** |
| **CHE-106.052.527** | **Limited or Corporation** | 25.10.1989 | | |

---

All data

---

| | | | | |
|:---|:---|:---|:---|:---|
| In | Ca | Business name | Ref | Legal seat |
| 1 |  | **Novartis Pharma AG** | 1 | Basel |
| 1 | | (Novartis Pharma SA) (Novartis Pharma Inc.) | | |

---

---

| | | | | |
|:---|:---|:---|:---|:---|
| **CHE-106.052.527** | | **Novartis Pharma AG** | | **Basel** |
| All data |  |  |  |  |
| In | Mo Ca | Personal Data | Function | Signature |
|  | 43 | Bugnon, Bertrand Richard René, von Montagny (FR), in Belfaux |  | joint signature at two |

---

---

| | | | | |
|:---|:---|:---|:---|:---|
| **CHE-106.052.527** | | **Novartis AG** | | **Basel** |
| All data |  |  |  |  |
| In | Mo Ca | Personal Data | Function | Signature |
|  | 55 | Förtsch, Lukas, von Zürich, in Sissach |  | joint signature at two |

---

<u>Excerpt from Commercial Register of Novartis AG</u>

---

| | | | | |
|:---|:---|:---|:---|:---|
| Identification number | Legal status | Entry | Cancelled |  |
|  |  |  |  | **1** |
| **CHE-103.867.266** | **Limited or Corporation** | 01.03.1996 | | |

---

All data

---

| | | | | |
|:---|:---|:---|:---|:---|
| In | Ca | Business name | Ref | Legal seat |
| 1 |  | **Novartis AG** | 1 | Basel |
| 1 | | (Novartis SA) (Novartis Inc.) | | |

---

---

| | | | | |
|:---|:---|:---|:---|:---|
| **CHE-103.867.266** | | **Novartis AG** | | **Basel** |
| All data |  |  |  |  |
| In | Mo Ca | Personal Data | Function | Signature |
|  | 23 | Bugnon, Bertrand Richard René, von Montagny (FR), in Belfaux |  | joint signature at two |

---

---

| | | | | |
|:---|:---|:---|:---|:---|
| **CHE-103.867.266** | | **Novartis AG** | | **Basel** |
| All data |  |  |  |  |
| In | Mo Ca | Personal Data | Function | Signature |
|  | 14 | Förtsch, Lukas, von Zürich, in Sissach |  | joint signature at two |

---