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
  1. 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.
  2. 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.
  3. 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.