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