Allurion holder RTW reports 9.99% equity stake
ALLURION TECHNOLOGIES, INC.
Rhea-AI Filing Summary
ALLURION TECHNOLOGIES, INC. (ALUR) received an updated Schedule 13D/A from RTW Investments, LP and Roderick Wong, M.D., reporting beneficial ownership of 67,441 shares of common stock, representing 9.99% of the outstanding common stock, including shares issuable upon exercise of certain Pre-Funded Warrants within 60 days.
The ownership percentage is calculated based on 1,000,416 shares outstanding as of May 12, 2026, adjusted for shares surrendered in a prior share exchange and for Pre-Funded Warrants. The filing also notes that on August 31, 2026, RTW-related funds assigned their RIFAs and Notes to an unaffiliated third party and no longer hold economic or ownership rights under those instruments.
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Key Figures
Beneficially owned shares: 67,441 shares
Beneficial ownership percentage: 9.99%
Shares outstanding baseline: 1,000,416 shares
+4 more
7 metrics
Beneficially owned shares
67,441 shares
Common stock of Allurion beneficially owned by each reporting person
Beneficial ownership percentage
9.99%
Percentage of Allurion outstanding common stock beneficially owned by each reporting person
Shares outstanding baseline
1,000,416 shares
Allurion common stock outstanding as of May 12, 2026, after giving effect to the Reverse Split
Shares surrendered in Share Exchange
392,766 shares
Shares of Allurion common stock surrendered to the issuer in connection with the Share Exchange
Civil penalty in SEC settlement with RTW Investments
$1.4 million
Penalty under a May 30, 2023 SEC settlement relating to disclosure and beneficial ownership reporting
Amendment number
13
This filing is Amendment No. 13 to the existing Schedule 13D
Date of triggering event
August 31, 2026
Date RTW Funds assigned their RIFAs and Notes to an unaffiliated third party
Key Terms
Pre-Funded Warrant, Reverse Split, beneficially owns, Schedule 13D, +2 more
6 terms
Pre-Funded Warrant financial
"giving effect to Pre-Funded Warrants, to the extent exercisable within 60 days hereof"
A pre-funded warrant is a financial instrument that gives the holder the right to buy shares of a company's stock at a set price, with most of the purchase cost already paid upfront. It functions like a nearly fully paid option, allowing investors to secure shares quickly while minimizing the amount of additional money they need to invest later. This helps investors gain ownership rights efficiently, often used to avoid certain regulatory restrictions or to prepare for future stock purchases.
Reverse Split financial
"based upon 1,000,416 shares of Common Stock (giving effect to the Reverse Split)"
A reverse split is when a company reduces the number of its outstanding shares by combining several existing shares into one new share, so the price per share rises proportionally while the company’s overall value stays the same. Investors care because it can make a stock appear more respectable or meet exchange rules — like turning many small coins into a single larger bill — but it can also signal financial trouble and often affects trading liquidity and investor perception.
beneficially owns financial
"Each Reporting Person beneficially owns 9.99% of the outstanding Common Stock"
Beneficially owns means a person or entity enjoys the economic benefits and control of a security even if the legal title or registration is held in another name. Think of it like having the keys and profits from a car that is registered to a friend: you use it, benefit from it, and make decisions about it even though the official paperwork lists someone else. For investors, this matters because it reveals who truly controls shares, affects voting power, potential conflicts of interest, and regulatory disclosure obligations.
Schedule 13D regulatory
"the statement on originally filed with the Securities and Exchange Commission"
A Schedule 13D is a legal document that investors file with regulators when they buy a large enough stake in a company to potentially influence its management or decisions. It provides details about the investor’s intention, ownership stake, and plans, helping other investors understand who is gaining control and what their motives might be.
cease-and-desist order regulatory
"RTW Investments agreed to a cease-and-desist order, a censure, and a civil penalty"
A cease-and-desist order is an official command from a court or government regulator telling a company or individual to stop a specific activity immediately and to not restart it. For investors, it matters because the order can interrupt sales, production, or marketing—like a hard stop sign on part of a business—potentially causing lost revenue, legal costs, damaged reputation and sudden changes in a company’s stock value.
civil penalty regulatory
"a civil penalty of $1.4 million"
A civil penalty is a monetary fine imposed by a regulator or government agency for breaking rules or laws, similar to getting a traffic ticket for illegal behavior. It matters to investors because paying a penalty can reduce a company’s cash, hurt profits, damage its reputation, trigger additional oversight, and sometimes signal deeper management or compliance problems that may affect future earnings and the stock price.
FAQ
What percentage of ALLURION TECHNOLOGIES, INC. (ALUR) does RTW Investments report owning?
RTW Investments and Roderick Wong report beneficial ownership of 9.99% of Allurion’s outstanding common stock, based on 1,000,416 shares outstanding as of May 12, 2026, adjusted for surrendered shares and including certain exercisable Pre-Funded Warrants.
Why does the ALUR Schedule 13D/A show 9.9% instead of 9.99% for RTW’s ownership?
The filing explains that due to EDGAR field limitations, the percentage of class in Row 13 of the cover pages has been rounded down to 9.9%, even though each reporting person beneficially owns 9.99% of Allurion’s outstanding common stock.
AI-generated analysis. How Rhea-AI works. Not financial advice.
