SEC Form 4 · accession 0000899243-17-017895
AILERON THERAPEUTICS INC · ALRN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
CVF, LLC
10% Owner
Period of report
Jul 5, 2017
Accepted (ET)
Jul 5, 2017 · 8:26 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001420565
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jul 5, 2017 | C | 536,180 | — | A | 536,180 | D | |
| Common StockF2 | Jul 5, 2017 | P | 180,000 | $15.00 | A | 716,180 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series E-3 Preferred StockF2,F1 | — | Jul 5, 2017 | C | 4,411,765 | D | — | — | Common Stock | 443,973 | 0 | D |
| Series F Preferred StockF2,F1 | — | Jul 5, 2017 | C | 916,262 | D | — | — | Common Stock | 92,207 | 0 | D |
Explanation of responses
- F1The 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 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 public offering. The shares had no expiration date.
- F2Richard H. Robb, manager of CVF, LLC, exercises voting and investment power with respect to shares held by CVF, LLC. Mr. Robb disclaims beneficial ownership of all shares held by CVF, LLC, except to the extent of his pecuniary interest therein.