AILERON THERAPEUTICS INC 4
4 · AILERON THERAPEUTICS INC · Filed Jul 5, 2017
Insider Transaction Report
Form 4
ROCHE HOLDING LTD
10% Owner
Transactions
- Conversion
Series E-2 Preferred Stock
2017-07-05−735,775→ 0 total→ Common Stock (74,043 underlying) - Conversion
Series F Preferred Stock
2017-07-05−989,594→ 0 total→ Common Stock (99,586 underlying) - Conversion
Common Stock
2017-07-05+579,093→ 582,963 total - Conversion
Series D Preferred Stock
2017-07-05−3,390,885→ 0 total→ Common Stock (341,238 underlying) - Purchase
Common Stock
2017-07-05$15.00/sh+119,400$1,791,000→ 702,363 total - Conversion
Series E-3 Preferred Stock
2017-07-05−638,194→ 0 total→ Common Stock (64,224 underlying)
Footnotes (2)
- [F1]The 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 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]Roche Finance Ltd is the direct beneficial owner of these securities of the Issuer, except for 3,870 shares of Common Stock held by Genentech, Inc., for which Roche Finance Ltd exercises voting and investment control. Roche Finance Ltd is a wholly owned subsidiary of Roche Holding Ltd. Roche Holding Ltd is the indirect beneficial owner of these securities of the Issuer. Each Reporting Person disclaims beneficial ownership of the securities except to the extent of its pecuniary interest therein, if any. Each Reporting Person also disclaims beneficial ownership of any securities of the Issuer that may be or are beneficially owned by any other person or persons other than such Reporting Person. This Form 4 shall not be deemed an admission that any Reporting Person or other person is a beneficial owner of any securities of the Issuer for any purpose, other than the securities reported in this Form 4.