Allen Annis Form 3 AILERON THERAPEUTICS / Allen Annis ownership change

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^*

Annis Allen

(Last) (First) (Middle)

C/O AILERON THERAPEUTICS, INC.

490 ARSENAL WAY

(Street)

WATERTOWN MA 02472

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
11/03/2018

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

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

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

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

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

X	Form filed by One Reporting Person
	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)
Common Stock	7,547	D

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)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (right to buy)	(1)	06/25/2019	Common Stock	12,076	1.3	D
Stock Option (right to buy)	(1)	03/13/2024	Common Stock	55,751	5.07	D
Stock Option (right to buy)	(2)	03/10/2025	Common Stock	8,050	5.07	D
Stock Option (right to buy)	(3)	03/02/2027	Common Stock	24,152	5.77	D
Stock Option (right to buy)	(4)	07/24/2027	Common Stock	25,015	13	D

Explanation of Responses:

1. These options are fully vested.

2. This option was granted on March 10, 2015. The shares underlying the option vested as to 25% of the shares on January 1, 2016 and thereafter are scheduled to vest in equal monthly installments through January 1, 2020.

3. This option was granted on March 2, 2017. The shares underlying the option are scheduled to vest in equal monthly installments through March 2, 2021.

4. This option was granted on July 25, 2017. The shares underlying the option are scheduled to vest in equal monthly installments through July 25, 2021.

Remarks:

Exhibit Index: 24.1 Power of Attorney Senior Vice President, Research

	/s/ Donald Dougherty, attorney-in-fact, for Allen Annis	11/06/2018
	** 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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