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Novartis AG — Director's Dealing 2018
Aug 2, 2018
940_dirs_2018-08-02_6d926cc6-47c5-499a-8bb7-b3983bbdab9c.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: AILERON THERAPEUTICS INC (ALRN)
CIK: 0001420565
Period of Report: 2018-07-31
Reporting Person: Novartis Bioventures Ltd (10% Owner)
Reporting Person: NOVARTIS AG (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-07-31 | Common Stock | S | 4500 | $3.07 | Disposed | 2466727 | Direct |
| 2018-08-01 | Common Stock | S | 8181 | $3.22 | Disposed | 2458546 | Direct |
Footnotes
F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $3.08 to $3.14. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.
F2: 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.
F3: Reflects sales of common stock executed in multiple transactions at prices ranging from $3.10 to $3.25. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.