Filing Details
- Accession Number:
- 0000895345-20-000689
- Form Type:
- 13G Filing
- Publication Date:
- 2020-06-08 17:16:50
- Filed By:
- Kapnick Scott
- Company:
- Aileron Therapeutics Inc. (NASDAQ:ALRN)
- Filing Date:
- 2020-06-08
- SEC Url:
- 13G Filing
Ownership Summary
Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.
Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
---|---|---|---|---|---|---|
Scott B. Kapnick | 3,377,222 | 0 | 3,377,222 | 0 | 3,377,222 | 8.8% |
Filing
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO
§ 240.13d-2
Aileron Therapeutics, Inc.
(Name of Issuer)
Common Stock, $0.001 par value per share
(Title of Class of Securities)
00887A105
(CUSIP Number)
April 2, 20191
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
☐ | Rule 13d-1(b) |
☑ | Rule 13d-1(c) |
☐ | Rule 13d-1(d) |
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which
would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that
section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
(1) The reporting person first acquired beneficial ownership of greater than 5% of the Issuer’s outstanding Common Stock on April 2, 2019. As of that date, the reporting person beneficially owned 2,013,586 shares of the Issuer’s Common
Stock, which represented 7.5% of the Issuer’s outstanding Common Stock, based upon 26,713,617 shares of Common Stock outstanding as of April 2, 2019, as reflected in the Form 10-K filed by the Issuer with the Securities and Exchange Commission (“SEC”)
on March 29, 2019 (indicating that there were 14,875,035 shares outstanding as of March 26, 2019) and the Current Report on Form 8-K filed by the Issuer with the SEC on April 3, 2019 (indicating that the Issuer had issued an additional 11,838,582
shares in a private placement that closed on April 2, 2019). An initial Schedule 13G was inadvertently not filed within 10 days of April 2, 2019. There were no changes to the reporting person’s beneficial ownership as of December 31, 2019 and the
reporting person is filing this Schedule 13G to reflect both its initial acquisition of greater than 5% of the Issuer’s outstanding Common Stock and its current beneficial ownership. Included in the shares beneficially owned by the reporting person, as of both April 2, 2019 and today, are 66,666 shares held by Jake86 LLC, for which the reporting person serves as investment manager. The reporting person disclaims beneficial ownership of the shares held by Jake86 LLC, except to the extent of his indirect pecuniary interest therein.
1 | NAMES OF REPORTING PERSONS | | | ||
Scott B. Kapnick | | | |||
| | ||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | ||||
(a)☐ | |||||
(b)☐ | | | |||
3 | SEC USE ONLY | | | ||
| | | |||
| | ||||
4 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | ||
United State of America | | | |||
| | ||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER | | | |
3,377,222(1) | | | |||
| | ||||
6 | SHARED VOTING POWER | | | ||
0 | | | |||
| | ||||
7 | SOLE DISPOSITIVE POWER | | | ||
3,377,222(1) | | | |||
| | ||||
8 | SHARED DISPOSITIVE POWER | | | ||
0 | | | |||
| | ||||
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | ||
3,377,222(1) | | | |||
| | ||||
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) | | | ||
☐ | | | |||
| | ||||
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | | | ||
8.8%(1)(2) | | | |||
| | ||||
12 | TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) | | | ||
IN | | | |||
|
(1) Included in the shares beneficially owned by the reporting person are 66,666 shares held by Jake86 LLC, for which the reporting person serves as investment manager. The reporting person disclaims beneficial ownership of the shares held by Jake86 LLC, except to the extent of his indirect pecuniary interest therein.
(2) Based upon 38,177,377 shares of the Issuer’s Common Stock outstanding as of June 8, 2020, as reflected in the prospectus supplement filed by
the Issuer with the SEC on June 5, 2020 (indicating that there were 29,086,467 shares outstanding as of May 31, 2020 and that an additional 9,090,910 shares were being issued by the Issuer in a public offering expected to close on June 8, 2020.