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
- 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.
- 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.