0000899243-17-017896.txt : 20170705 0000899243-17-017896.hdr.sgml : 20170705 20170705202755 ACCESSION NUMBER: 0000899243-17-017896 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: ROCHE FINANCE LTD CENTRAL INDEX KEY: 0001053942 STATE OF INCORPORATION: V8 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38130 FILM NUMBER: 17950601 BUSINESS ADDRESS: STREET 1: C/O HOFFMAN LA ROCHE STREET 2: 124 GRENSACHERSTRASSE CH 4002 CITY: BASEL SWITZERLAND STATE: V8 MAIL ADDRESS: STREET 1: C/O HOFFMAN LA ROCHE STREET 2: 124 GRENSACHERSTRASSE CH 4002 CITY: BASEL SWITZERLAND STATE: V8 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROCHE HOLDING LTD CENTRAL INDEX KEY: 0000889131 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 8880 [8880] STATE OF INCORPORATION: V8 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38130 FILM NUMBER: 17950602 BUSINESS ADDRESS: STREET 1: ROCHE HOLDING, LTD. STREET 2: GRENZACHERSTRASSE 124 CITY: BASEL STATE: V8 ZIP: CH-4070 BUSINESS PHONE: 9732354295 MAIL ADDRESS: STREET 1: ROCHE HOLDING, LTD. STREET 2: GRENZACHERSTRASSE 124 CITY: BASEL STATE: V8 ZIP: CH-4070 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-07-05 1 0001420565 AILERON THERAPEUTICS INC ALRN 0000889131 ROCHE HOLDING LTD GRENZACHERSTRASSE 122 BASEL V8 CH4070 SWITZERLAND 0 0 1 0 0001053942 ROCHE FINANCE LTD GRENZACHERSTRASSE 124 BASEL V8 CH4070 SWITZERLAND 0 0 1 0 Common Stock 2017-07-05 4 C 0 579093 A 582963 D Common Stock 2017-07-05 4 P 0 119400 15.00 A 702363 D Series D Preferred Stock 2017-07-05 4 C 0 3390885 0.00 D Common Stock 341238 0 D Series E-2 Preferred Stock 2017-07-05 4 C 0 735775 0.00 D Common Stock 74043 0 D Series E-3 Preferred Stock 2017-07-05 4 C 0 638194 0.00 D Common Stock 64224 0 D Series F Preferred Stock 2017-07-05 4 C 0 989594 0.00 D Common Stock 99586 0 D 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. Roche Finance Ltd is the direct beneficial owner of these securities of the Issuer, except for 3,870 shares of Common Stock held by Genentech, Inc., for which Roche Finance Ltd exercises voting and investment control. Roche Finance Ltd is a wholly owned subsidiary of Roche Holding Ltd. Roche Holding Ltd is the indirect beneficial owner of these securities of the Issuer. Each Reporting Person disclaims beneficial ownership of the securities except to the extent of its pecuniary interest therein, if any. Each Reporting Person also disclaims beneficial ownership of any securities of the Issuer that may be or are beneficially owned by any other person or persons other than such Reporting Person. This Form 4 shall not be deemed an admission that any Reporting Person or other person is a beneficial owner of any securities of the Issuer for any purpose, other than the securities reported in this Form 4. /s/ Carole Nuechterlein, authorized signatory 2017-07-05 /s/ Andreas Knierzinger, authorized signatory 2017-07-05