SEC Form 4 · accession 0001012975-18-000907
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 6, 2018
Accepted (ET)
Jul 10, 2018 · 4:27 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 StockF2 | Jul 6, 2018 | J | 655,797 | $0.00 | D | 0 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On July 6, 2018, Apple Tree Partners II - Annex, L.P. distributed 655,797 shares of the Issuer's Common Stock on a pro rata basis to its partners for no consideration. Following the distribution, Apple Tree Partners II - Annex, L.P. was no longer a holder of record of the Issuer's shares.
- 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 previously held by Apple Tree Partners II - Annex, L.P., except to the extent of his pecuniary interest therein. Dr. Harrison had sole voting and investment power over the shares previously held by Apple Tree Partners II - Annex, L.P.