0000899243-17-017465.txt : 20170628 0000899243-17-017465.hdr.sgml : 20170628 20170628194749 ACCESSION NUMBER: 0000899243-17-017465 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170628 FILED AS OF DATE: 20170628 DATE AS OF CHANGE: 20170628 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: Excel Medical Ventures, LLC CENTRAL INDEX KEY: 0001571999 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38130 FILM NUMBER: 17936532 BUSINESS ADDRESS: STREET 1: 800 BOYLSTON STREET STREET 2: SUITE 2825 CITY: BOSTON STATE: MA ZIP: 02199 BUSINESS PHONE: 617-450-9800 MAIL ADDRESS: STREET 1: 800 BOYLSTON STREET STREET 2: SUITE 2825 CITY: BOSTON STATE: MA ZIP: 02199 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Enriquez Juan CENTRAL INDEX KEY: 0001572090 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38130 FILM NUMBER: 17936533 MAIL ADDRESS: STREET 1: C/O EXCEL VENTURE MANAGEMENT, LLC STREET 2: 800 BOYLSTON STREET, SUITE 2825 CITY: BOSTON STATE: MA ZIP: 02199 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Blume Frederick R. CENTRAL INDEX KEY: 0001572066 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38130 FILM NUMBER: 17936534 MAIL ADDRESS: STREET 1: C/O EXCEL VENTURE MANAGEMENT, LLC STREET 2: 800 BOYLSTON ST., SUITE 2825 CITY: BOSTON STATE: MA ZIP: 02199 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gullans Steven R. Ph.D. CENTRAL INDEX KEY: 0001571997 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38130 FILM NUMBER: 17936535 MAIL ADDRESS: STREET 1: C/O EXCEL VENTURE MANAGEMENT, LLC STREET 2: 800 BOYLSTON ST., STE 2825 CITY: BOSTON STATE: MA ZIP: 02199 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EXCEL MEDICAL FUND LP CENTRAL INDEX KEY: 0001428044 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38130 FILM NUMBER: 17936536 BUSINESS ADDRESS: STREET 1: 800 BOYLSTON STREET STREET 2: SUITE 2825 CITY: BOSTON STATE: MA ZIP: 02199 BUSINESS PHONE: 617-450-9800 MAIL ADDRESS: STREET 1: 800 BOYLSTON STREET STREET 2: SUITE 2825 CITY: BOSTON STATE: MA ZIP: 02199 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2017-06-28 0 0001420565 AILERON THERAPEUTICS INC ALRN 0001428044 EXCEL MEDICAL FUND LP 800 BOYLSTON STREET, SUITE 2825 BOSTON MA 02199 0 0 1 0 0001571997 Gullans Steven R. Ph.D. 800 BOYLSTON STREET, SUITE 2825 BOSTON MA 02199 0 0 1 0 0001572066 Blume Frederick R. 800 BOYLSTON STREET, SUITE 2825 BOSTON MA 02199 0 0 1 0 0001572090 Enriquez Juan 800 BOYLSTON STREET, SUITE 2825 BOSTON MA 02199 0 0 1 0 0001571999 Excel Medical Ventures, LLC 800 BOYLSTON STREET, SUITE 2825 BOSTON MA 02199 0 0 1 0 Series D Preferred Stock Common Stock 597167 D Series E-2 Preferred Stock Common Stock 133842 D Series E-3 Preferred Stock Common Stock 116091 D Series F Preferred Stock Common Stock 108998 D The Series D Preferred Stock is convertible into Common Stock on a 9.937-for-one basis into the number of shares of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date. The Series E-2 Preferred Stock is convertible into Common Stock on a 9.937-for-one basis into the number of shares of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date. The Series E-3 Preferred Stock is convertible into Common Stock on a 9.937-for-one basis into the number of shares of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date. The Series F Preferred Stock is convertible into Common Stock on a 9.937-for-one basis into the number of shares of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date. Excel Medical Ventures, LLC is the general partner of Excel Medical Fund, L.P. Steven R. Gullans, Frederick R. Blume and Juan Enriquez are the Managing Directors of Excel Medical Ventures, LLC. Excel Medical Ventures, LLC and each of these individuals may be deemed to share voting and dispositive power with respect to all shares held by Excel Medical Fund, L.P. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein. /s/ Fredrick R. Blume, Excel Medical Fund, L.P. 2017-06-28 /s/ Steven R. Gullans 2017-06-28 /s/ Fredrick R. Blume 2017-06-28 /s/ Juan Enriquez 2017-06-28 /s/ Fredrick R. Blume, Excel Medical Ventures, LLC. 2017-06-28