SEC Filing - Aileron

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SEC FORM 3 SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

EXCEL MEDICAL FUND LP

(Last)

(First)

(Middle)

800 BOYLSTON STREET, SUITE 2825

(Street)

BOSTON

02199

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
06/28/2017

3. Issuer Name and Ticker or Trading Symbol
AILERON THERAPEUTICS INC [ ALRN ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

Director	X	10% Owner
Officer (give title below)		Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

	Form filed by One Reporting Person
X	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Series D Preferred Stock	⁽¹⁾	⁽¹⁾	Common Stock	597,167	⁽¹⁾	D⁽⁵⁾
Series E-2 Preferred Stock	⁽²⁾	⁽²⁾	Common Stock	133,842	⁽²⁾	D⁽⁵⁾
Series E-3 Preferred Stock	⁽³⁾	⁽³⁾	Common Stock	116,091	⁽³⁾	D⁽⁵⁾
Series F Preferred Stock	⁽⁴⁾	⁽⁴⁾	Common Stock	108,998	⁽⁴⁾	D⁽⁵⁾

1. Name and Address of Reporting Person^*

EXCEL MEDICAL FUND LP

(Last)

(First)

(Middle)

800 BOYLSTON STREET, SUITE 2825

(Street)

BOSTON

02199

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Gullans Steven R. Ph.D.

(Last)

(First)

(Middle)

800 BOYLSTON STREET, SUITE 2825

(Street)

BOSTON

02199

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Blume Frederick R.

(Last)

(First)

(Middle)

800 BOYLSTON STREET, SUITE 2825

(Street)

BOSTON

02199

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Enriquez Juan

(Last)

(First)

(Middle)

800 BOYLSTON STREET, SUITE 2825

(Street)

BOSTON

02199

(City)

(State)

(Zip)

1. Name and Address of Reporting Person^*

Excel Medical Ventures, LLC

(Last)

(First)

(Middle)

800 BOYLSTON STREET, SUITE 2825

(Street)

BOSTON

02199

(City)

(State)

(Zip)

Explanation of Responses:

1. The Series D Preferred Stock is convertible into Common Stock on a 9.937-for-one basis into the number of shares of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.

2. The Series E-2 Preferred Stock is convertible into Common Stock on a 9.937-for-one basis into the number of shares of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.

3. The Series E-3 Preferred Stock is convertible into Common Stock on a 9.937-for-one basis into the number of shares of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.

4. The Series F Preferred Stock is convertible into Common Stock on a 9.937-for-one basis into the number of shares of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.

5. Excel Medical Ventures, LLC is the general partner of Excel Medical Fund, L.P. Steven R. Gullans, Frederick R. Blume and Juan Enriquez are the Managing Directors of Excel Medical Ventures, LLC. Excel Medical Ventures, LLC and each of these individuals may be deemed to share voting and dispositive power with respect to all shares held by Excel Medical Fund, L.P. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.

Remarks:

	/s/ Fredrick R. Blume, Excel Medical Fund, L.P.	06/28/2017
	/s/ Steven R. Gullans	06/28/2017
	/s/ Fredrick R. Blume	06/28/2017
	/s/ Juan Enriquez	06/28/2017
	/s/ Fredrick R. Blume, Excel Medical Ventures, LLC.	06/28/2017
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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