SEC Form 3 · accession 0000899243-18-028338
AILERON THERAPEUTICS INC · ALRN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Allen Annis
Officer — See Remarks
Period of report
Nov 3, 2018
Accepted (ET)
Nov 6, 2018 · 6:17 pm EST
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 | holding | — | — | — | 7,547 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $1.30 | holding | — | — | — | — | Jun 25, 2019 | Common Stock | 12,076 | — | D |
| Stock Option (right to buy)F1 | $5.07 | holding | — | — | — | — | Mar 13, 2024 | Common Stock | 55,751 | — | D |
| Stock Option (right to buy)F2 | $5.07 | holding | — | — | — | — | Mar 10, 2025 | Common Stock | 8,050 | — | D |
| Stock Option (right to buy)F3 | $5.77 | holding | — | — | — | — | Mar 2, 2027 | Common Stock | 24,152 | — | D |
| Stock Option (right to buy)F4 | $13.00 | holding | — | — | — | — | Jul 24, 2027 | Common Stock | 25,015 | — | D |
Explanation of responses
- F1These options are fully vested.
- F2This option was granted on March 10, 2015. The shares underlying the option vested as to 25% of the shares on January 1, 2016 and thereafter are scheduled to vest in equal monthly installments through January 1, 2020.
- F3This option was granted on March 2, 2017. The shares underlying the option are scheduled to vest in equal monthly installments through March 2, 2021.
- F4This option was granted on July 25, 2017. The shares underlying the option are scheduled to vest in equal monthly installments through July 25, 2021.
Remarks
Exhibit Index: 24.1 Power of Attorney Senior Vice President, Research