Home > Insider Trading > Filing (0000899243-17-017896)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1420565	Aileron Therapeutics Inc	ALRN	American Depositary Receipts (8880)	V8

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
889131	Ltd Holding Roche	Grenzacherstrasse 122 Basel V8 CH4070		No	No	Yes	No
1053942	Ltd Finance Roche	Grenzacherstrasse 124 Basel V8 CH4070		No	No	Yes	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2017-07-05	579,093	$0.00	582,963	No	4	C	Direct
Common Stock	Acquisiton	2017-07-05	119,400	$15.00	702,363	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Direct
No	4	P	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series D Preferred Stock	Disposition	2017-07-05	3,390,885	$0.00	341,238	$0.00
Common Stock	Series E-2 Preferred Stock	Disposition	2017-07-05	735,775	$0.00	74,043	$0.00
Common Stock	Series E-3 Preferred Stock	Disposition	2017-07-05	638,194	$0.00	64,224	$0.00
Common Stock	Series F Preferred Stock	Disposition	2017-07-05	989,594	$0.00	99,586	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct

Footnotes

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.