Filing Details
- Accession Number:
- 0000899243-17-017838
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-07-05 18:05:21
- Reporting Period:
- 2017-07-05
- Filing Date:
- 2017-07-05
- Accepted Time:
- 2017-07-05 18:05:21
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1420565 | Aileron Therapeutics Inc | ALRN | Pharmaceutical Preparations (2834) | V8 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1114448 | Ag Novartis | Lichtstrasse 35 Basel V8 CH 4056 | No | No | Yes | No | |
1297709 | Ltd Bioventures Novartis | C/O Novartis International Ag Wsj-200.220 Basel V8 CH-4002 | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2017-07-05 | 2,277,515 | $0.00 | 2,277,515 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2017-07-05 | 266,667 | $15.00 | 2,544,182 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Direct | |
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series C Preferred Stock | Disposition | 2017-07-05 | 2,967,025 | $0.00 | 298,583 | $0.00 |
Common Stock | Series C-2 Preferred Stock | Disposition | 2017-07-05 | 4,238,607 | $0.00 | 426,547 | $0.00 |
Common Stock | Series D Preferred Stock | Disposition | 2017-07-05 | 6,781,770 | $0.00 | 682,476 | $0.00 |
Common Stock | Series E-2 Preferred Stock | Disposition | 2017-07-05 | 2,644,558 | $0.00 | 266,132 | $0.00 |
Common Stock | Series E-3 Preferred Stock | Disposition | 2017-07-05 | 2,293,829 | $0.00 | 230,837 | $0.00 |
Common Stock | Series F Preferred Stock | Disposition | 2017-07-05 | 3,705,882 | $0.00 | 372,937 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Direct | ||
0 | No | 4 | C | Direct | ||
0 | No | 4 | C | Direct | ||
0 | No | 4 | C | Direct | ||
0 | No | 4 | C | Direct | ||
0 | No | 4 | C | Direct |
Footnotes
- 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.
- 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.
- 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.