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Novartis AG — Director's Dealing 2018
Jul 18, 2018
940_dirs_2018-07-18_7bfa0966-eb96-40b1-a8c0-65c7d352b39b.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: 2018-07-16
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 |
|---|---|---|---|---|---|---|---|
| 2018-07-16 | Common Stock | S | 300 | $5.15 | Disposed | 2543882 | Direct |
| 2018-07-17 | Common Stock | S | 12500 | $4.71 | Disposed | 2531382 | Direct |
Footnotes
F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $5.14 to $5.16. 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.