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Home > Insider Trading > Filing (0000078003-18-000080)

Filing Details

Accession Number:: 0000078003-18-000080
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-10-17 17:17:16
Reporting Period:: 2018-10-15

Accepted Time:: 2018-10-17 17:17:16
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1737287	Allogene Therapeutics Inc.	ALLO	Pharmaceutical Preparations (2834)	DE

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
78003	Pfizer Inc	235 E 42Nd St New York NY 10017		No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2018-10-15	21,976,484	$0.00	21,976,484	No	4	C	Direct
Common Stock	Acquisiton	2018-10-15	55,556	$18.00	22,032,040	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Direct
No	4	P	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A-1 Convertible Preferred Stock	Disposition	2018-10-15	4,185,997	$0.00	21,976,484	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0			No	4	C	Direct

Footnotes

In connection with the closing of the Issuer's initial public offering, each share of the Issuer's Series A-1 Convertible Preferred Stock (the "Preferred Stock") converted into the Issuer's common stock on a 1-for-5.25 basis without payment or consideration. The Preferred Stock had no expiration date.