RTW INVESTMENTS, LP - 05 Nov 2025 Form 4 Insider Report for ALLURION TECHNOLOGIES, INC. (ALUR)

Reporting relationship: Director, 10%+ Owner
Issuer ticker: ALUR
Reported as of: 05 Nov 2025
Net transaction value: +$5,000,006
SEC form: 4
Accepted by SEC: 07 Nov 2025, 17:18:07 UTC
Prior SEC filing: 23 Sep 2025
Next SEC filing: 13 Nov 2025
Source filing: View source filing
Reporting owner signature: /s/ Roderick Wong, M.D. - For RTW Investments, L.P., By: Roderick Wong, M.D., Managing Partner

Key filing fact

RTW INVESTMENTS, LP filed Form 4 for ALLURION TECHNOLOGIES, INC. (ALUR) on 07 Nov 2025.

Key facts

This page summarizes RTW INVESTMENTS, LP's Form 4 filing for ALLURION TECHNOLOGIES, INC. (ALUR).
9 reported transactions and 6 derivative rows are listed below.
Accepted by SEC: 07 Nov 2025, 17:18.

Change

Previous filing in this sequence was filed on 23 Sep 2025.
Current net transaction value: +$5,000,006.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (4)

CIK 0001493215 Primary reporting owner

RTW INVESTMENTS, LP

Relationship: Director, 10%+ Owner
Address: 40 10TH AVENUE, 7TH FLOOR, NEW YORK
Signature: /s/ Roderick Wong, M.D. - For RTW Investments, L.P., By: Roderick Wong, M.D., Managing Partner
Signature date: 07 Nov 2025

CIK 0001493280

WONG RODERICK

Relationship: Director, 10%+ Owner
Address: 40 10TH AVENUE, 7TH FLOOR, NEW YORK
Signature: /s/ Roderick Wong, M.D.
Signature date: 07 Nov 2025

CIK 0001493219

RTW MASTER FUND, LTD.

Relationship: Director, 10%+ Owner
Address: 40 10TH AVENUE, 7TH FLOOR, NEW YORK
Signature: /s/ Darshan Patel - For RTW Master Fund, Ltd., By Darshan Patel, Director
Signature date: 07 Nov 2025

CIK 0001776733

RTW Innovation Master Fund Ltd.

Relationship: Director, 10%+ Owner
Address: 40 10TH AVENUE, 7TH FLOOR, NEW YORK
Signature: /s/ Darshan Patel - For RTW Innovation Master Fund, Ltd., By Darshan Patel, Director
Signature date: 07 Nov 2025

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

ALUR transaction

Common Stock, $0.0001 par value per share

Conversion of derivative security

Transaction value: $2,756,119
Shares: +822,722
Change %: +62%
Price: $3.35
Shares after: 2,147,254
Date: 05 Nov 2025
Ownership: See footnotes
Footnotes: F1, F2

ALUR transaction

Common Stock, $0.0001 par value per share

Conversion of derivative security

Transaction value: $2,117,046
Shares: +631,954
Change %: +62%
Price: $3.35
Shares after: 1,659,241
Date: 05 Nov 2025
Ownership: See footnotes
Footnotes: F1, F3

ALUR transaction

Common Stock, $0.0001 par value per share

Conversion of derivative security

Transaction value: $126,841
Shares: +37,863
Change %: +23%
Price: $3.35
Shares after: 202,096
Date: 05 Nov 2025
Ownership: See footnotes
Footnotes: F1, F4

ALUR holding

Common Stock, $0.0001 par value per share

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 26,551
Date: 05 Nov 2025
Ownership: See footnotes
Footnotes: F1, F4

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

ALUR transaction Derivative

Convertible Note

Award

Transaction value: $2,756,117
Shares
Change %
Price
Shares after: $2,756,117
Date: 05 Nov 2025
Ownership: See Footnotes
Underlying class: Common Stock
Underlying amount: 822,722
Exercise price: $3.35
Footnotes: F1, F2, F5, F6

ALUR transaction Derivative

Convertible Note

Conversion of derivative security

Transaction value: $2,756,117
Shares
Change %
Price
Shares after: $0
Date: 05 Nov 2025
Ownership: See Footnotes
Underlying class: Common Stock
Underlying amount: 822,722
Exercise price: $3.35
Footnotes: F1, F2, F5, F6

ALUR transaction Derivative

Convertible Note

Award

Transaction value: $2,117,044
Shares
Change %
Price
Shares after: $2,117,044
Date: 05 Nov 2025
Ownership: See footnotes
Underlying class: Common Stock
Underlying amount: 631,954
Exercise price: $3.35
Footnotes: F1, F3, F5, F6

ALUR transaction Derivative

Convertible Note

Conversion of derivative security

Transaction value: $2,117,044
Shares
Change %
Price
Shares after: 0
Date: 05 Nov 2025
Ownership: See footnotes
Underlying class: Common Stock
Underlying amount: 631,954
Exercise price: $3.35
Footnotes: F1, F3, F5, F6

ALUR transaction Derivative

Convertible Note

Award

Transaction value: $126,839
Shares
Change %
Price
Shares after: $126,839
Date: 05 Nov 2025
Ownership: See footnotes
Underlying class: Common Stock
Underlying amount: 37,863
Exercise price: $3.35
Footnotes: F1, F4, F5, F6

ALUR transaction Derivative

Convertible Note

Conversion of derivative security

Transaction value: $126,839
Shares
Change %
Price
Shares after: $0
Date: 05 Nov 2025
Ownership: See footnotes
Underlying class: Common Stock
Underlying amount: 37,863
Exercise price: $3.35
Footnotes: F1, F4, F5, F6

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 6 footnotes

Footnote F1

RTW Investments, LP (the "Adviser") manages certain funds that directly hold the securities reported herein, including RTW Master Fund, Ltd. ("Master Fund"), RTW Innovation Master Fund, Ltd. ("RTW Innovation") and other funds or accounts managed by the Adviser (each, an "Other RTW Fund"). Roderick Wong, M.D. serves as the Managing Partner and Chief Investment Officer of the Adviser. Each Reporting Person disclaims beneficial ownership of the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

Footnote F2

Held directly by Master Fund.

Footnote F3

Held directly by RTW Innovation.

Footnote F4

Held by an Other RTW Fund.

Footnote F5

On November 5, 2025, pursuant to the terms of that certain Note Purchase Agreement dated April 14, 2024 as amended through April 15, 2025 (the "Amended Note Purchase Agreement"), the Reporting Persons delivered, and the Issuer accepted, conversion notices to convert $5.0 million aggregate principal amount of the convertible senior secured notes (the "Notes") held by the Reporting Persons at the floor conversion price of $3.35 per share. The remaining outstanding amount of the Notes remains convertible at a conversion price of $40.50 per share, as well as additional conversion prices in the discretion of the Issuer (the "Discretionary Conversions").

Footnote F6

The Notes bear interest at an annual rate of 6.0%, which is payable quarterly in cash, or, at the Issuer's option, in kind for the first three years. The reported amount of shares does not give effect to any increase in principal amount as a result of PIK interest payments. The maturity date of the Notes is April 16, 2031. Pursuant to the Amended Note Purchase Agreement, the RTW Funds may not convert the Notes to the extent that such conversion would result in the RTW Funds beneficially owning more than 9.99% of the Issuer's common stock after giving effect to such conversion, unless converted pursuant to a Discretionary Conversion.

SEC remarks

Pursuant to the terms of the Amended Note Purchase Agreement, RTW Investments, LP has the right to designate two members of the Issuer's board of directors (the "Board"), and has designated Keith Johns and R. Jason Richey to the Board. Mr. Richey is a consultant of RTW Investments.