SEC Form 4 · accession 0000899243-17-018014

AILERON THERAPEUTICS INC · ALRN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Jul 5, 2017

Accepted (ET)

Jul 6, 2017 · 6:26 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 Stock^F1,F2	Jul 5, 2017	C	1,158,186	—	A	1,158,186	I	See Footnote
Common Stock^F2	Jul 5, 2017	P	273,333	$15.00	A	1,431,519	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series D Preferred Stock^F2,F1	—	Jul 5, 2017	C	6,781,770	D	—	—	Common Stock	682,476	I
Series E-2 Preferred Stock^F2,F1	—	Jul 5, 2017	C	1,471,551	D	—	—	Common Stock	148,088	I
Series E-3 Preferred Stock^F2,F1	—	Jul 5, 2017	C	1,276,389	D	—	—	Common Stock	128,448	I
Series F Preferred Stock^F2,F1	—	Jul 5, 2017	C	1,979,188	D	—	—	Common Stock	199,173	I

F1The Series D, Series E-2, Series E-3 and Series F Preferred 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 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.
F2S.R. One, Limited, an indirect wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares. Dr. Brian M. Gallagher, Jr. is a partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect wholly-owned subsidiary of GlaxoSmithKline plc. Dr. Gallagher disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.

Exhibit Index: 24.1 Power of Attorney