SEC Form 4 · accession 0000899243-17-018013
AILERON THERAPEUTICS INC · ALRN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sigma Emerging Markets Ltd.
10% Owner
Period of report
Jul 5, 2017
Accepted (ET)
Jul 6, 2017 · 6:25 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 | Jul 5, 2017 | C | 233,086 | — | A | 233,086 | D | |
| Common Stock | Jul 5, 2017 | P | 190,000 | $15.00 | A | 423,086 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series F Preferred StockF1 | — | Jul 5, 2017 | C | 2,316,176 | D | — | — | Common Stock | 233,086 | 0 | D |
Explanation of responses
- F1The 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 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.