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Novartis AG — Director's Dealing 2019
Mar 15, 2019
940_dirs_2019-03-15_5e8be60c-a6c3-487f-98b7-88bbc006366e.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: 2019-03-13
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 |
|---|---|---|---|---|---|---|---|
| 2019-03-13 | Common Stock | S | 132738 | $2.12 | Disposed | 2264144 | Direct |
| 2019-03-14 | Common Stock | S | 13800 | $1.88 | Disposed | 2250344 | Direct |
| 2019-03-15 | Common Stock | S | 43800 | $1.92 | Disposed | 2206544 | Direct |
Footnotes
F1: Reflects sales of common stock executed in multiple transactions at prices ranging from $2.00 to $2.42. 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 $1.85 to $1.915. 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.
F4: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.85 to $2.02. 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.