AILERON THERAPEUTICS INC 4

Accession 0000899243-17-018092

$RNTXCIK 0001420565operating

Filed

Jul 6, 8:00 PM ET

Accepted

Jul 7, 7:16 PM ET

Size

21.8 KB

Accession

0000899243-17-018092

Form 4

Period: 2017-07-05

Other

Transactions

Purchase
Common Stock
2017-07-05$15.00/sh+250,000$3,750,000→ 1,094,987 total(indirect: By Fund)
Conversion
Series E-2 Preferred Stock
2017-07-05−1,907,373→ 0 total(indirect: By Fund)
→ Common Stock (191,946 underlying)
Conversion
Series F Preferred Stock
2017-07-05−1,443,972→ 0 total(indirect: By Fund)
→ Common Stock (145,312 underlying)
Conversion
Common Stock
2017-07-05+844,987→ 844,987 total(indirect: By Fund)
Conversion
Series D Preferred Stock
2017-07-05−3,390,885→ 0 total(indirect: By Fund)
→ Common Stock (341,238 underlying)
Conversion
Series E-3 Preferred Stock
2017-07-05−1,654,411→ 0 total(indirect: By Fund)
→ Common Stock (166,489 underlying)

Other

Transactions

Conversion
Common Stock
2017-07-05+844,987→ 844,987 total(indirect: By Fund)
Purchase
Common Stock
2017-07-05$15.00/sh+250,000$3,750,000→ 1,094,987 total(indirect: By Fund)
Conversion
Series E-3 Preferred Stock
2017-07-05−1,654,411→ 0 total(indirect: By Fund)
→ Common Stock (166,489 underlying)
Conversion
Series F Preferred Stock
2017-07-05−1,443,972→ 0 total(indirect: By Fund)
→ Common Stock (145,312 underlying)
Conversion
Series D Preferred Stock
2017-07-05−3,390,885→ 0 total(indirect: By Fund)
→ Common Stock (341,238 underlying)
Conversion
Series E-2 Preferred Stock
2017-07-05−1,907,373→ 0 total(indirect: By Fund)
→ Common Stock (191,946 underlying)

Other

Transactions

Conversion
Series F Preferred Stock
2017-07-05−1,443,972→ 0 total(indirect: By Fund)
→ Common Stock (145,312 underlying)
Purchase
Common Stock
2017-07-05$15.00/sh+250,000$3,750,000→ 1,094,987 total(indirect: By Fund)
Conversion
Series E-2 Preferred Stock
2017-07-05−1,907,373→ 0 total(indirect: By Fund)
→ Common Stock (191,946 underlying)
Conversion
Common Stock
2017-07-05+844,987→ 844,987 total(indirect: By Fund)
Conversion
Series D Preferred Stock
2017-07-05−3,390,885→ 0 total(indirect: By Fund)
→ Common Stock (341,238 underlying)
Conversion
Series E-3 Preferred Stock
2017-07-05−1,654,411→ 0 total(indirect: By Fund)
→ Common Stock (166,489 underlying)

Other

Transactions

Conversion
Common Stock
2017-07-05+844,987→ 844,987 total(indirect: By Fund)
Conversion
Series E-2 Preferred Stock
2017-07-05−1,907,373→ 0 total(indirect: By Fund)
→ Common Stock (191,946 underlying)
Conversion
Series F Preferred Stock
2017-07-05−1,443,972→ 0 total(indirect: By Fund)
→ Common Stock (145,312 underlying)
Purchase
Common Stock
2017-07-05$15.00/sh+250,000$3,750,000→ 1,094,987 total(indirect: By Fund)
Conversion
Series E-3 Preferred Stock
2017-07-05−1,654,411→ 0 total(indirect: By Fund)
→ Common Stock (166,489 underlying)
Conversion
Series D Preferred Stock
2017-07-05−3,390,885→ 0 total(indirect: By Fund)
→ Common Stock (341,238 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]These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of Ed Torres, Dr. Steve Hall and Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its respective pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports.

Documents

1 file

AILERON THERAPEUTICS INC

CIK 0001420565

Entity typeoperating