SEC Form 4 · accession 0000899243-17-018090

AILERON THERAPEUTICS INC · ALRN

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

Reporting owner

10% Owner

Period of report

Jul 5, 2017

Accepted (ET)

Jul 7, 2017 · 7:13 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	443,973	—	A	443,973	I	See Footnote
Common Stock^F1,F3	Jul 5, 2017	C	48,656	—	A	492,629	I	See Footnote
Common Stock^F2	Jul 5, 2017	P	24,929	$15.00	A	517,558	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series E-3 Preferred Stock^F2,F1	—	Jul 5, 2017	C	4,411,765	D	—	—	Common Stock	443,973	0	I
Series F Preferred Stock^F3,F1	—	Jul 5, 2017	C	483,501	D	—	—	Common Stock	48,656	0	I

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.
F2The shares reported herein are held of record by AJU Life Science Overseas Expansion Platform Fund, which is managed by AJU IB Investment (the "Reporting Person").
F3The shares reported herein are held of record by AJU Growth & Healthcare Fund, which is managed by the Reporting Person.