SEC Form 4 · accession 0000899243-17-018092

AILERON THERAPEUTICS INC · ALRN

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

Reporting owners

Other

Other

Other

Other

Period of report

Jul 5, 2017

Accepted (ET)

Jul 7, 2017 · 7:16 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	844,987	—	A	844,987	I	By Fund
Common Stock^F2	Jul 5, 2017	P	250,000	$15.00	A	1,094,987	I	By Fund

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	3,390,885	D	—	—	Common Stock	341,238	I
Series E-2 Preferred Stock^F2,F1	—	Jul 5, 2017	C	1,907,373	D	—	—	Common Stock	191,946	I
Series E-3 Preferred Stock^F2,F1	—	Jul 5, 2017	C	1,654,411	D	—	—	Common Stock	166,489	I
Series F Preferred Stock^F2,F1	—	Jul 5, 2017	C	1,443,972	D	—	—	Common Stock	145,312	I

F1The 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.
F2These 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.