0000899243-17-018092.txt : 20170707 0000899243-17-018092.hdr.sgml : 20170707 20170707191602 ACCESSION NUMBER: 0000899243-17-018092 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170705 FILED AS OF DATE: 20170707 DATE AS OF CHANGE: 20170707 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hall Steven Edward CENTRAL INDEX KEY: 0001602732 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38130 FILM NUMBER: 17956081 MAIL ADDRESS: STREET 1: 15001 BARNHARDT CT CITY: CHAPEL HILL STATE: NC ZIP: 27517 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Torres S. Edward CENTRAL INDEX KEY: 0001552293 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38130 FILM NUMBER: 17956082 MAIL ADDRESS: STREET 1: C/O LILLY VENTURES FUND I LLC STREET 2: 115 W. WASHINGTON ST, STE 1680 SOUTH CITY: INDIANAPOLIS STATE: IN ZIP: 46204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lilly Ventures Fund I LLC CENTRAL INDEX KEY: 0001575852 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38130 FILM NUMBER: 17956083 BUSINESS ADDRESS: STREET 1: 115 W WASHINGTON STREET STREET 2: SUITE 1680 SOUTH CITY: INDIANAPOLIS STATE: IN ZIP: 46204 BUSINESS PHONE: (317) 429-0140 MAIL ADDRESS: STREET 1: 115 W WASHINGTON STREET STREET 2: SUITE 1680 SOUTH CITY: INDIANAPOLIS STATE: IN ZIP: 46204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LV Management Group, LLC CENTRAL INDEX KEY: 0001681884 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38130 FILM NUMBER: 17956084 BUSINESS ADDRESS: STREET 1: 115 WEST WASHINGTON STREET STREET 2: SUITE 1680 - SOUTH CITY: INDIANAPOLIS STATE: IN ZIP: 46204 BUSINESS PHONE: (317) 429-0140 MAIL ADDRESS: STREET 1: 115 WEST WASHINGTON STREET STREET 2: SUITE 1680 - SOUTH CITY: INDIANAPOLIS STATE: IN ZIP: 46204 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-07-05 1 0001420565 AILERON THERAPEUTICS INC ALRN 0001681884 LV Management Group, LLC 115 WEST WASHINGTON STREET SUITE 1680-SOUTH INDIANAPOLIS IN 46204 0 0 0 1 Former 10% owner 0001575852 Lilly Ventures Fund I LLC 115 WEST WASHINGTON STREET SUITE 1680-SOUTH INDIANOPOLIS IN 46204 0 0 0 1 Former 10% owner 0001552293 Torres S. Edward C/O LILLY VENTURES 115 WEST WASHINGTON STREET, SUITE 1680-S INDIANAPOLIS IN 46204 0 0 0 1 Former 10% owner 0001602732 Hall Steven Edward C/O LILLY VENTURES 115 WEST WASHINGTON STREET, SUITE 1680-S INDIANAPOLIS IN 46204 0 0 0 1 Former 10% owner Common Stock 2017-07-05 4 C 0 844987 A 844987 I By Fund Common Stock 2017-07-05 4 P 0 250000 15.00 A 1094987 I By Fund Series D Preferred Stock 2017-07-05 4 C 0 3390885 0.00 D Common Stock 341238 0 I By Fund Series E-2 Preferred Stock 2017-07-05 4 C 0 1907373 0.00 D Common Stock 191946 0 I By Fund Series E-3 Preferred Stock 2017-07-05 4 C 0 1654411 0.00 D Common Stock 166489 0 I By Fund Series F Preferred Stock 2017-07-05 4 C 0 1443972 0.00 D Common Stock 145312 0 I By Fund The 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. These 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. /s/ S. Edward Torres, LV Management Group, LLC 2017-07-07 /s/ S. Edward Torres, Lilly Ventures Fund I, LLC 2017-07-07 /s/ S. Edward Torres 2017-07-07 /s/ Steven E. Hall 2017-07-07