SEC Form 4 · accession 0000899243-17-018104
AILERON THERAPEUTICS INC · ALRN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Apple Tree Partners II - Annex, L.P.
10% Owner
Period of report
Jul 5, 2017
Accepted (ET)
Jul 7, 2017 · 8:31 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 | 655,797 | — | A | 655,797 | 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 Preferred StockF2,F1 | — | Jul 5, 2017 | C | 3,489,740 | D | — | — | Common Stock | 351,186 | 0 | D |
| Series E-1 Preferred StockF2,F1 | — | Jul 5, 2017 | C | 3,026,920 | D | — | — | Common Stock | 304,611 | 0 | D |
Explanation of responses
- F1The Series E and Series E-1 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 and Series E-1 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.
- F2Dr. Seth L. Harrison is a principal of the general partner of Apple Tree Partners II-Annex, L.P., and Dr. Harrison disclaims beneficial ownership of the shares held by Apple Tree Partners II-Annex, L.P., except to the extent of his pecuniary interest therein. Dr. Harrison has sole voting and investment power over the shares held by Apple Tree Partners II-Annex, L.P.