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Filing Details

Accession Number:: 0000899243-17-017853
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-07-05 18:13:21
Reporting Period:: 2017-07-05

Filing Date:: 2017-07-05
Accepted Time:: 2017-07-05 18:13:21
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1420565	Aileron Therapeutics Inc	ALRN	Pharmaceutical Preparations (2834)	000000000

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1709690	J. Reinhard Ambros	C/O Novartis International Ag Wsj-200.220 Basel V8 CH-4002		Yes	No	No	No

Reported Non-Derivative Transactions

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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	Indirect	See Footnote
Common Stock	Acquisiton	2017-07-05	266,667	$15.00	2,544,182	No	4	P	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See Footnote
No	4	P	Indirect	See Footnote

Reported Derivative Transactions

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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

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect

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. The board of directors of Novartis Bioventures Ltd. has sole voting and investment power over such shares. None of the members of its board of directors has individual voting or investment power with respect to such shares and each disclaims beneficial ownership of such shares. The Reporting Person is an employee of a corporation that is affiliated with Novartis Bioventures Ltd., a position from which he will retire effective September 1, 2017. Dr. Ambros disclaims beneficial ownership of the shares held by Novartis Bioventures Ltd., except to the extent of his pecuniary interest arising as a result of his employment by such affiliate of Novartis Bioventures Ltd.
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.