# EDGAR Filing Document

**Accession Number:** 0001493215
**File Stem:** 0001231919-25-000449
**Filing Date:** 2025-11
**Character Count:** 14791
**Document Hash:** 8cf5d5c0c9d399836689e162c180a724
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001231919-25-000449.hdr.sgml**: 20251107

**ACCESSION NUMBER**: 0001231919-25-000449

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20251105

**FILED AS OF DATE**: 20251107

**DATE AS OF CHANGE**: 20251107

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** RTW INVESTMENTS, LP
- **CENTRAL INDEX KEY:** 0001493215

**ORGANIZATION NAME:**
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-41767
- **FILM NUMBER:** 251463632

**BUSINESS ADDRESS:**
- **STREET 1:** 40 10TH AVENUE
- **STREET 2:** 7TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10014
- **BUSINESS PHONE:** 646-597-6980

**MAIL ADDRESS:**
- **STREET 1:** 40 10TH AVENUE
- **STREET 2:** 7TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10014

**FORMER NAME:**
- **FORMER CONFORMED NAME:** RTW INVESTMENTS, LLC
- **DATE OF NAME CHANGE:** 20100602
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** RTW MASTER FUND, LTD.
- **CENTRAL INDEX KEY:** 0001493219

**ORGANIZATION NAME:**
- **STATE OF INCORPORATION:** E9
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-41767
- **FILM NUMBER:** 251463630

**BUSINESS ADDRESS:**
- **STREET 1:** C/O WALKERS CORPORATE LIMITED
- **STREET 2:** 190 ELGIN AVENUE
- **CITY:** GEORGE TOWN, GRAND CAYMAN
- **STATE:** E9
- **ZIP:** KY1-9008
- **BUSINESS PHONE:** 345-949-6765

**MAIL ADDRESS:**
- **STREET 1:** C/O WALKERS CORPORATE LIMITED
- **STREET 2:** 190 ELGIN AVENUE
- **CITY:** GEORGE TOWN, GRAND CAYMAN
- **STATE:** E9
- **ZIP:** KY1-9008

**FORMER NAME:**
- **FORMER CONFORMED NAME:** RTW OFFSHORE FUND ONE, LTD
- **DATE OF NAME CHANGE:** 20150521

**FORMER NAME:**
- **FORMER CONFORMED NAME:** RTW MASTER FUND, LTD.
- **DATE OF NAME CHANGE:** 20100602
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** WONG RODERICK
- **CENTRAL INDEX KEY:** 0001493280

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-41767
- **FILM NUMBER:** 251463631

**MAIL ADDRESS:**
- **STREET 1:** C/O RTW INVESTMENTS, LP
- **STREET 2:** 40 10TH AVENUE, 7TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10014
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** RTW Innovation Master Fund Ltd.
- **CENTRAL INDEX KEY:** 0001776733

**ORGANIZATION NAME:**
- **STATE OF INCORPORATION:** E9
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-41767
- **FILM NUMBER:** 251463629

**BUSINESS ADDRESS:**
- **STREET 1:** C/O WALKERS CORPORATE LIMITED
- **STREET 2:** 190 ELGIN AVENUE
- **CITY:** GEORGE TOWN, GRAND CAYMAN
- **STATE:** E9
- **ZIP:** KY1-9008
- **BUSINESS PHONE:** 6465976982

**MAIL ADDRESS:**
- **STREET 1:** C/O WALKERS CORPORATE LIMITED
- **STREET 2:** 190 ELGIN AVENUE
- **CITY:** GEORGE TOWN, GRAND CAYMAN
- **STATE:** E9
- **ZIP:** KY1-9008
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ALLURION TECHNOLOGIES, INC.
- **CENTRAL INDEX KEY:** 0001964979
- **STANDARD INDUSTRIAL CLASSIFICATION:** SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
- **ORGANIZATION NAME:** 08 Industrial Applications and Services
- **EIN:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 11 HURON DR STE 200
- **CITY:** NATICK
- **STATE:** MA
- **ZIP:** 01760
- **BUSINESS PHONE:** 508-647-4000

**MAIL ADDRESS:**
- **STREET 1:** 11 HURON DR STE 200
- **CITY:** NATICK
- **STATE:** MA
- **ZIP:** 01760

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ALLURION TECHNOLOGIES HOLDINGS, INC.
- **DATE OF NAME CHANGE:** 20230207

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

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>RTW INVESTMENTS, LP<br><sub>(Last) (First) (Middle)</sub><br>40 10TH AVENUE, 7TH FLOOR<br><sub>(Street)</sub><br>NEW YORK, NY 10014<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-11-05 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>ALLURION TECHNOLOGIES, INC. [ ALUR ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>WONG RODERICK<br><sub>(Last) (First) (Middle)</sub><br>40 10TH AVENUE, 7TH FLOOR<br><sub>(Street)</sub><br>NEW YORK, NY 10014<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-11-05 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>ALLURION TECHNOLOGIES, INC. [ ALUR ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>RTW MASTER FUND, LTD.<br><sub>(Last) (First) (Middle)</sub><br>40 10TH AVENUE, 7TH FLOOR<br><sub>(Street)</sub><br>NEW YORK, NY 10014<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-11-05 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>ALLURION TECHNOLOGIES, INC. [ ALUR ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>RTW Innovation Master Fund Ltd.<br><sub>(Last) (First) (Middle)</sub><br>40 10TH AVENUE, 7TH FLOOR<br><sub>(Street)</sub><br>NEW YORK, NY 10014<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-11-05 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>ALLURION TECHNOLOGIES, INC. [ ALUR ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock, $0.0001 par value per share | 2025-11-05 |  | C |  | 822722 | A | $3.35 | 2147254 | I | See footnotes<sup>(1)(2)</sup> |
| Common Stock, $0.0001 par value per share | 2025-11-05 |  | C |  | 631954 | A | $3.35 | 1659241 | I | See footnotes<sup>(1)(3)</sup> |
| Common Stock, $0.0001 par value per share | 2025-11-05 |  | C |  | 37863 | A | $3.35 | 202096 | I | See footnotes<sup>(1)(4)</sup> |
| Common Stock, $0.0001 par value per share |  |  |  |  |  |  |  | 26551 | I | See footnotes<sup>(1)(4)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Convertible Note | $3.35 | 2025-11-05 |  | A |  |  |  | <sup>(5)(6)</sup> | 2031-04-16 | Common Stock | 822722 | $2756117 |  | I | See Footnotes<sup>(1)(2)</sup> |
| Convertible Note | $3.35 | 2025-11-05 |  | C |  |  |  | <sup>(5)(6)</sup> | 2031-04-16 | Common Stock | 822722 | $2756117 |  | I | See Footnotes<sup>(1)(2)</sup> |
| Convertible Note | $3.35 | 2025-11-05 |  | A |  |  |  | <sup>(5)(6)</sup> | 2031-04-16 | Common Stock | 631954 | $2117044 |  | I | See footnotes<sup>(1)(3)</sup> |
| Convertible Note | $3.35 | 2025-11-05 |  | C |  |  |  | <sup>(5)(6)</sup> | 2031-04-16 | Common Stock | 631954 | $2117044 | 0 | I | See footnotes<sup>(1)(3)</sup> |
| Convertible Note | $3.35 | 2025-11-05 |  | A |  |  |  | <sup>(5)(6)</sup> | 2031-04-16 | Common Stock | 37863 | $126839 |  | I | See footnotes<sup>(1)(4)</sup> |
| Convertible Note | $3.35 | 2025-11-05 |  | C |  |  |  | <sup>(5)(6)</sup> | 2031-04-16 | Common Stock | 37863 | $126839 |  | I | See footnotes<sup>(1)(4)</sup> |

---

### Footnotes:

(1) 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.

(2) Held directly by Master Fund.

(3) Held directly by RTW Innovation.

(4) Held by an Other RTW Fund.

(5) 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").

(6) 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.

**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.

**Signature:** /s/ Roderick Wong, M.D. - For RTW Investments, L.P., By: Roderick Wong, M.D., Managing Partner  
**Date:** 2025-11-07

**Signature:** /s/ Roderick Wong, M.D.  
**Date:** 2025-11-07

**Signature:** /s/ Darshan Patel - For RTW Master Fund, Ltd., By Darshan Patel, Director  
**Date:** 2025-11-07

**Signature:** /s/ Darshan Patel - For RTW Innovation Master Fund, Ltd., By Darshan Patel, Director  
**Date:** 2025-11-07

### Remarks:

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 4 (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).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**