4//SEC Filing
AILERON THERAPEUTICS INC 4
Accession 0000899243-17-017853
$RNTXCIK 0001420565operating
Filed
Jul 4, 8:00 PM ET
Accepted
Jul 5, 6:13 PM ET
Size
26.7 KB
Accession
0000899243-17-017853
Insider Transaction Report
Form 4
Ambros Reinhard J.
Director
Transactions
- Purchase
Common Stock
2017-07-05$15.00/sh+266,667$4,000,005→ 2,544,182 total(indirect: See Footnote) - Conversion
Series E-2 Preferred Stock
2017-07-05−2,644,558→ 0 total(indirect: See Footnote)→ Common Stock (266,132 underlying) - Conversion
Series F Preferred Stock
2017-07-05−3,705,882→ 0 total(indirect: See Footnote)→ Common Stock (372,937 underlying) - Conversion
Common Stock
2017-07-05+2,277,515→ 2,277,515 total(indirect: See Footnote) - Conversion
Series C Preferred Stock
2017-07-05−2,967,025→ 0 total(indirect: See Footnote)→ Common Stock (298,583 underlying) - Conversion
Series D Preferred Stock
2017-07-05−6,781,770→ 0 total(indirect: See Footnote)→ Common Stock (682,476 underlying) - Conversion
Series E-3 Preferred Stock
2017-07-05−2,293,829→ 0 total(indirect: See Footnote)→ Common Stock (230,837 underlying) - Conversion
Series C-2 Preferred Stock
2017-07-05−4,238,607→ 0 total(indirect: See Footnote)→ Common Stock (426,547 underlying)
Footnotes (3)
- [F1]The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C, Series C-2, Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.
- [F2]The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. The board of directors of Novartis Bioventures Ltd. has sole voting and investment power over such shares. None of the members of its board of directors has individual voting or investment power with respect to such shares and each disclaims beneficial ownership of such shares. The Reporting Person is an employee of a corporation that is affiliated with Novartis Bioventures Ltd., a position from which he will retire effective September 1, 2017. Dr. Ambros disclaims beneficial ownership of the shares held by Novartis Bioventures Ltd., except to the extent of his pecuniary interest arising as a result of his employment by such affiliate of Novartis Bioventures Ltd.
- [F3]Novartis Bioventures Ltd., a wholly-owned indirect subsidiary of Novartis AG, acquired 266,667 shares of Common Stock in the Issuer's initial public offering.
Issuer
AILERON THERAPEUTICS INC
CIK 0001420565
Entity typeoperating
Related Parties
1- filerCIK 0001420565
Filing Metadata
- Form type
- 4
- Filed
- Jul 4, 8:00 PM ET
- Accepted
- Jul 5, 6:13 PM ET
- Size
- 26.7 KB