0000899243-17-017838.txt : 20170705 0000899243-17-017838.hdr.sgml : 20170705 20170705180521 ACCESSION NUMBER: 0000899243-17-017838 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170705 FILED AS OF DATE: 20170705 DATE AS OF CHANGE: 20170705 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: 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: 17949652 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: 17949653 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-07-05 0 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 2017-07-05 4 C 0 2277515 A 2277515 D Common Stock 2017-07-05 4 P 0 266667 15.00 A 2544182 D Series C Preferred Stock 2017-07-05 4 C 0 2967025 0.00 D Common Stock 298583 0 D Series C-2 Preferred Stock 2017-07-05 4 C 0 4238607 0.00 D Common Stock 426547 0 D Series D Preferred Stock 2017-07-05 4 C 0 6781770 0.00 D Common Stock 682476 0 D Series E-2 Preferred Stock 2017-07-05 4 C 0 2644558 0.00 D Common Stock 266132 0 D Series E-3 Preferred Stock 2017-07-05 4 C 0 2293829 0.00 D Common Stock 230837 0 D Series F Preferred Stock 2017-07-05 4 C 0 3705882 0.00 D Common Stock 372937 0 D The Series C, Series C-2, 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 C, Series C-2, 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. 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. Novartis Bioventures Ltd., a wholly-owned indirect subsidiary of Novartis AG, acquired 266,667 shares of Common Stock in the Issuer's initial public offering. /s/ Bartosz Dzikowski, authorized signatory 2017-07-05 /s/ Stephan Sandmeier, authorized signatory 2017-07-05