0000925421-18-000274.txt : 20180802 0000925421-18-000274.hdr.sgml : 20180802 20180802163331 ACCESSION NUMBER: 0000925421-18-000274 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180731 FILED AS OF DATE: 20180802 DATE AS OF CHANGE: 20180802 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NOVARTIS AG CENTRAL INDEX KEY: 0001114448 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] STATE OF INCORPORATION: V8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38130 FILM NUMBER: 18988860 BUSINESS ADDRESS: STREET 1: LICHTSTRASSE 35 CITY: BASEL STATE: V8 ZIP: CH 4056 BUSINESS PHONE: 01141613241111 MAIL ADDRESS: STREET 1: LICHTSTRASSE 35 CITY: BASEL STATE: V8 ZIP: CH 4056 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Novartis Bioventures Ltd CENTRAL INDEX KEY: 0001297709 STATE OF INCORPORATION: D0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38130 FILM NUMBER: 18988861 BUSINESS ADDRESS: STREET 1: C/O NOVARTIS INTERNATIONAL AG STREET 2: WSJ-200.220 CITY: CH-4002 BASEL STATE: V8 ZIP: 0000000000 BUSINESS PHONE: 41-61-324-6210 MAIL ADDRESS: STREET 1: C/O NOVARTIS INTERNATIONAL AG STREET 2: WSJ-200.220 CITY: CH-4002 BASEL STATE: V8 ZIP: 0000000000 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AILERON THERAPEUTICS INC CENTRAL INDEX KEY: 0001420565 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 281 ALBANY STREET CITY: CAMBRIDGE STATE: MA ZIP: 02139 BUSINESS PHONE: 617-995-0900 MAIL ADDRESS: STREET 1: 281 ALBANY STREET CITY: CAMBRIDGE STATE: MA ZIP: 02139 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2018-07-31 0001420565 AILERON THERAPEUTICS INC ALRN 0001297709 Novartis Bioventures Ltd C/O NOVARTIS INTERNATIONAL AG WSJ-200.220 BASEL V8 CH-4002 SWITZERLAND 0 0 1 0 0001114448 NOVARTIS AG LICHTSTRASSE 35 BASEL V8 CH 4056 SWITZERLAND 0 0 1 0 Common Stock 2018-07-31 4 S 0 4500 3.07 D 2466727 D Common Stock 2018-08-01 4 S 0 8181 3.22 D 2458546 D Reflects sales of common stock executed in multiple transactions at prices ranging from $3.08 to $3.14. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. Reflects sales of common stock executed in multiple transactions at prices ranging from $3.10 to $3.25. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected. /s/ Bartosz Dzikowski, Secretary of the Board of Novartis Bioventures Ltd 2018-08-02 /s/ Stephan Sandmeier, Authorized Signatory on behalf of Novartis Bioventures Ltd 2018-08-02 /s/ Bartosz Dzikowski, Authorized Signatory on behalf of Novartis AG 2018-08-02 /s/ Stephan Sandmeier, Authorized Signatory on behalf of Novartis AG 2018-08-02