UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K/A
Amendment No. 1
(Mark One)
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ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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For the fiscal year ended: December 31, 2018
Or
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TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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For the transition period from
to
Commission file number:
001-38130
Aileron Therapeutics, Inc.
(Exact Name of Registrant as Specified in Its Charter)
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Delaware
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13-4196017
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(State or other jurisdiction of
incorporation or organization)
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(I.R.S. Employer
Identification No.)
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490 Arsenal Way, Suite 210
Watertown, MA 02472
(Address of Principal Executive Offices) (zip code)
Registrants telephone number, including area
code: (617) 995-0900
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities
Act. Yes ☐ No ☒
Indicate by check mark if the registrant is not required
to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes ☐ No ☒
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange
Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90
days. Yes ☒ No ☐
Indicate by check mark whether the registrant has
submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation
S-T
(§232.405 of this chapter) during the preceding 12 months (or for such shorter period
that the registrant was required to submit such files). Yes ☒ No ☐
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of
Regulation S-K
(§229.405) is not contained herein, and will not be contained, to the best of registrants knowledge, in definitive proxy or information statements incorporated by reference in Part III of this
Form 10-K
or any amendment to this
Form 10-K. ☒
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a
non-accelerated
filer, a smaller reporting company, or emerging growth company. See definitions of large accelerated filer, accelerated filer, smaller reporting company, and emerging growth company in
Rule 12b-2
of the Exchange Act.
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Large accelerated filer
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Accelerated filer
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Non-accelerated filer
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Smaller reporting company
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Emerging growth company
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If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period
for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☒
Indicate by check mark whether the registrant is a shell company (as defined in
Rule 12b-2
of the Exchange
Act). Yes ☐ No ☒
As of June 29, 2018, the last day of the
Registrants most recently completed second fiscal quarter, the aggregate market value of the voting and
non-voting
common equity held by
non-affiliates
of the
Registrant, based on the last reported sale price of the shares of common stock on The Nasdaq Global Market was $40,753,229.
Securities
registered pursuant to Section 12(b) of the Act:
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Title of each class
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Trading
Symbol
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Name of each exchange
on which registered
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Common Stock, $0.001 par value
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ALRN
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The Nasdaq Global Market
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Securities registered pursuant to Section 12(g) of the Act:
None
As of March 26, 2019, the
Registrant has 14,875,035 shares of Common Stock, $0.001 par value per share, outstanding.
Documents incorporated by reference:
Portions of the Registrants definitive proxy statement for its 2019 Annual Meeting of Stockholders are incorporated by reference into Part III
of this Annual Report on Form
10-K.