Filing Details

Accession Number:
0000899243-17-018092
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-07-07 19:16:02
Reporting Period:
2017-07-05
Filing Date:
2017-07-07
Accepted Time:
2017-07-07 19:16:02
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
1552293 Edward S. Torres C/O Lilly Ventures
115 West Washington Street, Suite 1680-S
Indianapolis IN 46204
No No No Yes
1575852 Lilly Ventures Fund I Llc 115 West Washington Street
Suite 1680-South
Indianopolis IN 46204
No No No Yes
1602732 Edward Steven Hall C/O Lilly Ventures
115 West Washington Street, Suite 1680-S
Indianapolis IN 46204
No No No Yes
1681884 Lv Management Group, Llc 115 West Washington Street
Suite 1680-South
Indianapolis IN 46204
No No No Yes
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 2017-07-05 844,987 $0.00 844,987 No 4 C Indirect By Fund
Common Stock Acquisiton 2017-07-05 250,000 $15.00 1,094,987 No 4 P Indirect By Fund
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect By Fund
No 4 P Indirect By Fund
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series D Preferred Stock Disposition 2017-07-05 3,390,885 $0.00 341,238 $0.00
Common Stock Series E-2 Preferred Stock Disposition 2017-07-05 1,907,373 $0.00 191,946 $0.00
Common Stock Series E-3 Preferred Stock Disposition 2017-07-05 1,654,411 $0.00 166,489 $0.00
Common Stock Series F Preferred Stock Disposition 2017-07-05 1,443,972 $0.00 145,312 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
Footnotes
  1. The 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 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. These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of Ed Torres, Dr. Steve Hall and Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its respective pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports.