4//SEC Filing
RTW INVESTMENTS, LP 4
Accession 0001231919-25-000449
CIK 0001964979other
Filed
Nov 6, 7:00 PM ET
Accepted
Nov 7, 5:18 PM ET
Size
30.7 KB
Accession
0001231919-25-000449
Insider Transaction Report
Form 4
RTW INVESTMENTS, LP
Director10% Owner
Transactions
- Conversion
Common Stock, $0.0001 par value per share
2025-11-05$3.35/sh+822,722$2,756,119→ 2,147,254 total(indirect: See footnotes) - Conversion
Common Stock, $0.0001 par value per share
2025-11-05$3.35/sh+631,954$2,117,046→ 1,659,241 total(indirect: See footnotes) - Conversion
Common Stock, $0.0001 par value per share
2025-11-05$3.35/sh+37,863$126,841→ 202,096 total(indirect: See footnotes) - Award
Convertible Note
2025-11-05$2756117.00/sh(indirect: See Footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (822,722 underlying) - Conversion
Convertible Note
2025-11-05$2756117.00/sh(indirect: See Footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (822,722 underlying) - Award
Convertible Note
2025-11-05$2117044.00/sh(indirect: See footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (631,954 underlying) - Conversion
Convertible Note
2025-11-05$2117044.00/sh→ 0 total(indirect: See footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (631,954 underlying) - Award
Convertible Note
2025-11-05$126839.00/sh(indirect: See footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (37,863 underlying) - Conversion
Convertible Note
2025-11-05$126839.00/sh(indirect: See footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (37,863 underlying)
Holdings
- 26,551(indirect: See footnotes)
Common Stock, $0.0001 par value per share
WONG RODERICK
Director10% Owner
Transactions
- Conversion
Common Stock, $0.0001 par value per share
2025-11-05$3.35/sh+631,954$2,117,046→ 1,659,241 total(indirect: See footnotes) - Conversion
Convertible Note
2025-11-05$2756117.00/sh(indirect: See Footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (822,722 underlying) - Conversion
Convertible Note
2025-11-05$2117044.00/sh→ 0 total(indirect: See footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (631,954 underlying) - Award
Convertible Note
2025-11-05$126839.00/sh(indirect: See footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (37,863 underlying) - Conversion
Convertible Note
2025-11-05$126839.00/sh(indirect: See footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (37,863 underlying) - Conversion
Common Stock, $0.0001 par value per share
2025-11-05$3.35/sh+822,722$2,756,119→ 2,147,254 total(indirect: See footnotes) - Conversion
Common Stock, $0.0001 par value per share
2025-11-05$3.35/sh+37,863$126,841→ 202,096 total(indirect: See footnotes) - Award
Convertible Note
2025-11-05$2756117.00/sh(indirect: See Footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (822,722 underlying) - Award
Convertible Note
2025-11-05$2117044.00/sh(indirect: See footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (631,954 underlying)
Holdings
- 26,551(indirect: See footnotes)
Common Stock, $0.0001 par value per share
RTW MASTER FUND, LTD.
Director10% Owner
Transactions
- Conversion
Common Stock, $0.0001 par value per share
2025-11-05$3.35/sh+822,722$2,756,119→ 2,147,254 total(indirect: See footnotes) - Conversion
Common Stock, $0.0001 par value per share
2025-11-05$3.35/sh+631,954$2,117,046→ 1,659,241 total(indirect: See footnotes) - Conversion
Common Stock, $0.0001 par value per share
2025-11-05$3.35/sh+37,863$126,841→ 202,096 total(indirect: See footnotes) - Award
Convertible Note
2025-11-05$2756117.00/sh(indirect: See Footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (822,722 underlying) - Award
Convertible Note
2025-11-05$2117044.00/sh(indirect: See footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (631,954 underlying) - Conversion
Convertible Note
2025-11-05$2756117.00/sh(indirect: See Footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (822,722 underlying) - Conversion
Convertible Note
2025-11-05$2117044.00/sh→ 0 total(indirect: See footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (631,954 underlying) - Award
Convertible Note
2025-11-05$126839.00/sh(indirect: See footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (37,863 underlying) - Conversion
Convertible Note
2025-11-05$126839.00/sh(indirect: See footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (37,863 underlying)
Holdings
- 26,551(indirect: See footnotes)
Common Stock, $0.0001 par value per share
RTW Innovation Master Fund Ltd.
Director10% Owner
Transactions
- Conversion
Common Stock, $0.0001 par value per share
2025-11-05$3.35/sh+631,954$2,117,046→ 1,659,241 total(indirect: See footnotes) - Conversion
Common Stock, $0.0001 par value per share
2025-11-05$3.35/sh+822,722$2,756,119→ 2,147,254 total(indirect: See footnotes) - Conversion
Common Stock, $0.0001 par value per share
2025-11-05$3.35/sh+37,863$126,841→ 202,096 total(indirect: See footnotes) - Award
Convertible Note
2025-11-05$126839.00/sh(indirect: See footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (37,863 underlying) - Award
Convertible Note
2025-11-05$2756117.00/sh(indirect: See Footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (822,722 underlying) - Conversion
Convertible Note
2025-11-05$2756117.00/sh(indirect: See Footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (822,722 underlying) - Award
Convertible Note
2025-11-05$2117044.00/sh(indirect: See footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (631,954 underlying) - Conversion
Convertible Note
2025-11-05$2117044.00/sh→ 0 total(indirect: See footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (631,954 underlying) - Conversion
Convertible Note
2025-11-05$126839.00/sh(indirect: See footnotes)Exercise: $3.35Exp: 2031-04-16→ Common Stock (37,863 underlying)
Holdings
- 26,551(indirect: See footnotes)
Common Stock, $0.0001 par value per share
Footnotes (6)
- [F1]RTW Investments, LP (the "Adviser") manages certain funds that directly hold the securities reported herein, including RTW Master Fund, Ltd. ("Master Fund"), RTW Innovation Master Fund, Ltd. ("RTW Innovation") and other funds or accounts managed by the Adviser (each, an "Other RTW Fund"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of the Adviser. Each Reporting Person disclaims beneficial ownership of the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- [F2]Held directly by Master Fund.
- [F3]Held directly by RTW Innovation.
- [F4]Held by an Other RTW Fund.
- [F5]On November 5, 2025, pursuant to the terms of that certain Note Purchase Agreement dated April 14, 2024 as amended through April 15, 2025 (the "Amended Note Purchase Agreement"), the Reporting Persons delivered, and the Issuer accepted, conversion notices to convert $5.0 million aggregate principal amount of the convertible senior secured notes (the "Notes") held by the Reporting Persons at the floor conversion price of $3.35 per share. The remaining outstanding amount of the Notes remains convertible at a conversion price of $40.50 per share, as well as additional conversion prices in the discretion of the Issuer (the "Discretionary Conversions").
- [F6]The Notes bear interest at an annual rate of 6.0%, which is payable quarterly in cash, or, at the Issuer's option, in kind for the first three years. The reported amount of shares does not give effect to any increase in principal amount as a result of PIK interest payments. The maturity date of the Notes is April 16, 2031. Pursuant to the Amended Note Purchase Agreement, the RTW Funds may not convert the Notes to the extent that such conversion would result in the RTW Funds beneficially owning more than 9.99% of the Issuer's common stock after giving effect to such conversion, unless converted pursuant to a Discretionary Conversion.
Documents
Issuer
ALLURION TECHNOLOGIES, INC.
CIK 0001964979
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001493215
Filing Metadata
- Form type
- 4
- Filed
- Nov 6, 7:00 PM ET
- Accepted
- Nov 7, 5:18 PM ET
- Size
- 30.7 KB