Print Page  E-mail Page  RSS  E-mail Alerts  Tearsheet 

SEC Filings

Form SC TO-T
ADVANCED ACCELERATOR APPLICATIONS S.A. filed this Form SC TO-T on 12/07/2017
Document Outline
Entire Document (2808.9 KB)
Subdocument 1 - SC TO-T - SC TO-T
Page 1 - SECURITIES AND EXCHANGE COMMISSION
Page 2 - Schedule TO
Page 3 - Item 3. Identity and Background of Filing Person.
Page 4 - Item 11. Additional Information.
Page 5 - Item 13. Information Required by Schedule 13E-3.
Page 6 - EXHIBIT INDEX
Page 7 - N/A
Page 8 - SIGNATURE
Page 9 - N/A
Subdocument 2 - EX-99.(1)(1)(A) - EX-99.(1)(1)(A)
Page 1 - Exhibit 99(a)(1)(A)
Page 2 - HSR Act
Page 3 - The Information Agent for the Offer is:
Page 4 - IMPORTANT INFORMATION
Page 5 - If you are unable to perform the procedures described above before 12:00 midnight, New York City tim
Page 6 - TABLE OF CONTENTS
Page 7 - SUMMARY TERM SHEET
Page 8 - The distribution of this Offer to Purchase may, in some jurisdictions, be restricted by law. This Of
Page 9 - Questions and Answers
Page 10 - When will I be paid for my Ordinary Shares or ADSs tendered into the Offer?
Page 11 - If I decide not to tender, how will the Offer affect my Ordinary Shares or ADSs?
Page 12 - What is the "Minimum Condition" to the Offer?
Page 13 - Is the Offer subject to a financing condition?
Page 14 - I am a registered holder of uncertificated ADSs. How do I participate in the Offer?
Page 15 - Is Purchaser's financial condition relevant to my decision to tender into the Offer?
Page 16 - Can I tender Ordinary Shares and ADSs that are subject to restrictions or forfeiture conditions, suc
Page 17 - How will I be notified if the Offer is extended?
Page 18 - Directeur G n ral
Page 19 - Before deciding whether to tender, you should obtain a current market quotation for ADSs
Page 20 - Free shares
Page 21 - NYSE
Page 22 - To the Holders of Ordinary Shares and ADSs Representing Ordinary Shares
Page 23 - NASDAQ
Page 24 - Tender and Support Agreement
Page 25 - THE TENDER OFFER
Page 26 - Outside Date
Page 27 - Withdrawal Rights
Page 28 - an Ordinary Share or ADS will be purchased from any holder and all payments to tendering holders of
Page 29 - DO NOT DELIVER ANY DOCUMENTS TO AAA, PARENT, PURCHASER, THE INFORMATION AGENT, THE ADS DEPOSITARY OR
Page 30 - Agent's Message
Page 31 - Guaranteed Delivery Procedures
Page 32 - Matters Concerning Validity, Eligibility and Acceptance
Page 33 - Backup United States Federal Income Tax Withholding
Page 34 - 4. Withdrawal Rights
Page 35 - 5. Tax Considerations
Page 36 - The tax consequences of the Offer depend on the holder's particular tax situation. Holders are stron
Page 37 - Information Reporting and Backup Withholding
Page 38 - French Holders That Are Individuals
Page 39 - Non-French Holders
Page 40 - All shareholders (including ADS holders) are urged to obtain current market quotations for the ADSs
Page 41 - Reporting Obligations and Registration under the Exchange Act
Page 42 - 8. Certain Information Concerning AAA
Page 43 - Business Plan Product Assumptions
Page 44 - In light of the foregoing factors and the uncertainties inherent in this Selected Financial Informat
Page 45 - 9. Certain Information Concerning Parent and Purchaser
Page 46 - Available Information
Page 47 - 10. Background of the Offer; Past Contacts or Negotiations with AAA
Page 48 - Second IOI
Page 49 - 11. Purpose of the Offer; Plans for AAA
Page 50 - Directeur G n ral
Page 51 - The Offer
Page 52 - Company Share Options Plan
Page 53 - Free Share Liquidity Mechanism
Page 54 - Company Warrant Plans
Page 55 - N/A
Page 56 - Material Adverse Effect
Page 57 - Works Council Consultation and Company Board Recommendation
Page 58 - Company Board Recommendation
Page 59 - Conduct of Business
Page 60 - N/A
Page 61 - No Solicitation or Alternate Proposal
Page 62 - Alternate Proposal
Page 63 - Indemnification and D O Insurance
Page 64 - Other Covenants and Agreements
Page 65 - Condition to Consummation of the Offer
Page 66 - Company Board Recommendation
Page 67 - Expense Reimbursement
Page 68 - Expenses
Page 69 - (b) Confidentiality Agreement
Page 70 - (d) AAA Management Employment Agreements
Page 71 - Agreed Services
Page 72 - 14. Dividends and Distributions
Page 73 - 16. Legal Matters; Required Regulatory Approvals
Page 74 - et seq.
Page 75 - Neither Parent nor Purchaser has authorized any person to give any information or to make any repres
Page 76 - SCHEDULE 1
Page 77 - N/A
Page 78 - N/A
Page 79 - N/A
Page 80 - N/A
Page 81 - N/A
Page 82 - N/A
Page 83 - N/A
Page 84 - N/A
Page 85 - N/A
Page 86 - N/A
Page 87 - N/A
Page 88 - N/A
Page 89 - N/A
Page 90 - N/A
Page 91 - N/A
Page 92 - N/A
Page 93 - SCHEDULE 2
Page 94 - N/A
Page 95 - N/A
Page 96 - The Information Agent for the Offer is:
Subdocument 3 - EX-99.(A)(1)(B) - EX-99.(A)(1)(B)
Page 1 - Exhibit 99(a)(1)(B)
Page 2 - N/A
Subdocument 4 - EX-99.(A)(1)(C) - EX-99.(A)(1)(C)
Page 1 - Exhibit 99(a)(1)(C)
Page 2 - PLEASE REVIEW AND COMPLETE (IF NECESSARY) THE FOLLOWING INFORMATION
Page 3 - PLEASE READ THE INSTRUCTIONS ACCOMPANYING THIS ORDINARY SHARE ACCEPTANCE FORM CAREFULLY BEFORE COMPL
Page 4 - INSTRUCTIONS
Page 5 - N/A
Subdocument 5 - EX-99.(A)(1)(D) - EX-99.(A)(1)(D)
Page 1 - Exhibit 99(a)(1)(D)
Page 2 - N/A
Page 3 - What documents do I need to participate in the Offer?
Page 4 - form if you are a US Person
Page 5 - How do I participate in the Offer?
Page 6 - In order to be valid, your instructions must be complete (as described above) and received by Banque
Page 7 - Questions and answers
Page 8 - If you choose to transfer your proceeds in another currency than USD or Euro, Banque Transatlantique
Subdocument 6 - EX-99.(A)(1)(E) - EX-99.(A)(1)(E)
Page 1 - Exhibit 99(a)(1)(E)
Page 2 - CHECK HERE IF ADR CERTIFICATES HAVE BEEN MUTILATED, LOST, STOLEN OR DESTROYED. SEE INSTRUCTION 6.
Page 3 - Instructions for Completing this ADS Letter of Transmittal and Tendering your ADSs
Page 4 - INSTRUCTIONS FOR COMPLETING THE ADS LETTER OF TRANSMITTAL
Page 5 - Wire Payment Form Please read this form carefully
Page 6 - Print or type.
Page 7 - Note:
Page 8 - Line 2
Page 9 - Exempt payee code,
Page 10 - N/A
Subdocument 7 - EX-99.(A)(1)(F) - EX-99.(A)(1)(F)
Page 1 - Exhibit 99(a)(1)(F)
Page 2 - Expiration Date
Page 3 - The Information Agent for the Offer is
Page 4 - N/A
Subdocument 8 - EX-99.(A)(1)(G) - EX-99.(A)(1)(G)
Page 1 - Exhibit 99(a)(1)(G)
Page 2 - Expiration Date
Page 3 - THE MATERIALS RELATING TO THE OFFER ARE BEING FORWARDED TO YOU AS THE BENEFICIAL OWNER OF THE ADSs H
Page 4 - INSTRUCTION FORM WITH RESPECT TO
Page 5 - N/A
Subdocument 9 - EX-99.(A)(1)(H) - EX-99.(A)(1)(H)
Page 1 - Exhibit 99(a)(1)(H)
Page 2 - Expiration Date
Page 3 - N/A
Page 4 - N/A
Page 5 - N/A
Page 6 - N/A
Page 7 - DELIVERY OF THIS NOTICE OF GUARANTEED DELIVERY TO AN EMAIL ADDRESS, OTHER THAN AS SET FORTH FOR THE
Page 8 - N/A
Subdocument 10 - EX-99.(A)(1)(I) - EX-99.(A)(1)(I)
Page 1 - Exhibit 99(a)(1)(I)
Page 2 - Purchaser
Page 3 - Outside Date
Page 4 - Autorit des March s Financiers
Page 5 - N/A
Page 6 - The foregoing tax-related information is only a summary of the applicable tax rules, and is given as
Page 7 - The Offer to Purchase, the Ordinary Share Acceptance Form, the ADS Letter of Transmittal and the Sch
Subdocument 11 - EX-99.(A)(1)(J) - EX-99.(A)(1)(J)
Page 1 - Exhibit 99(a)(1)(J)
Page 2 - N/A
Page 3 - IN WITNESS whereof this Power of Attorney has been duly executed by the Company this 23'd day of Nov
Subdocument 12 - EX-99.(A)(1)(K) - EX-99.(A)(1)(K)
Page 1 - Exhibit 99(a)(1)(k)
Page 2 - N/A
Page 3 - This Power of Attorney has been executed and takes effect on the date stated at the beginning of it.
Subdocument 13 - EX-99.(A)(5)(A) - EX-99.(A)(5)(A)
Page 1 - Exhibit 99(a)(5)(a)
Page 2 - Additional Information
Page 3 - About Novartis
Subdocument 14 - EX-99.(D)(2) - EX-99.(D)(2)
Page 1 - Exhibit 99(d)(2)
Page 2 - Section 2.2.4
Page 3 - Section 2.5.3
Page 4 - N/A
Page 5 - ACKNOWLEDGED AND AGREED TO: NOVARTIS AG By: /s/ Augusto Lima Name: Augusto Lima Title: As Attorney B
Subdocument 15 - EX-99.(D)(3) - EX-99.(D)(3)
Page 1 - Exhibit 99(d)(3)
Page 2 - N/A
Page 3 - N/A
Page 4 - N/A
Page 5 - N/A
Page 6 - N/A
Page 7 - N/A
Page 8 - N/A
Page 9 - N/A
Page 10 - N/A
Page 11 - Very truly yours, ADVANCED ACCELERATOR APPLICATIONS S.A. By: Name: Title: Accepted and agreed: ATION
Subdocument 16 - EX-99.(D)(4) - EX-99.(D)(4)
Page 1 - Exhibit 99(d)(4)
Page 2 - Subject Securities
Page 3 - Return of Subject Securities
Page 4 - Non-Contravention; Consents
Page 5 - SECTION 6. REPRESENTATIONS AND WARRANTIES OF PARENT
Page 6 - directeur g n ral
Page 7 - New Board Members
Page 8 - SECTION 9. MISCELLANEOUS
Page 9 - vice versa
Page 10 - Governing Law
Page 11 - N/A
Page 12 - N/A
Page 13 - Exhibit A
Page 14 - Exhibit B
Page 15 - directeur g n ral
Subdocument 17 - EX-99.(D)(5) - EX-99.(D)(5)
Page 1 - Exhibit 99(d)(5)
Page 2 - Exhibit A
Page 3 - N/A
Page 4 - N/A
Page 5 - N/A
Page 6 - N/A
Page 7 - N/A
Page 8 - N/A
Page 9 - N/A
Page 10 - N/A
Page 11 - N/A
Page 12 - N/A
Page 13 - ACKNOWLEDGED AND AGREED TO: NOVARTIS AG By: /s/ Augusto Lima Name: Augusto Lima Title: As Attorney B
Subdocument 18 - EX-99.(D)(6) - EX-99.(D)(6)
Page 1 - Exhibit 99(d)(6)
Page 2 - Remainder of page intentionally left blank; signature page follows
Page 3 - [Signature Page for BER Letter]
Page 4 - EXHIBIT A
Page 5 - employee, agent, independent contractor or otherwise, to terminate the employment or engagement with
Subdocument 19 - EX-99.(D)(7) - EX-99.(D)(7)
Page 1 - Exhibit 99(d)(7)
Page 2 - Exhibit A
Page 3 - [Signature Page for
Page 4 - EXHIBIT A
Page 5 - employee, agent, independent contractor or otherwise, to terminate the employment or engagement with