Filing Details
- Accession Number:
- 0001209191-19-009118
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-02-11 19:11:17
- Reporting Period:
- 2019-02-11
- Accepted Time:
- 2019-02-11 19:11:17
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1653087 | Alector Inc. | ALEC | () | DE |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1055951 | Orbimed Advisors Llc | 601 Lexington Avenue 54Th Floor New York NY 10022 | Yes | No | Yes | No | |
| 1157524 | Orbimed Capital Llc | 601 Lexington Avenue 54Th Floor New York NY 10022 | Yes | No | Yes | No | |
| 1502240 | Orbimed Capital Gp Iv Llc | 601 Lexington Avenue 54Th Floor New York NY 10022 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2019-02-11 | 405,925 | $0.00 | 405,925 | No | 4 | C | Indirect | See footnotes |
| Common Stock | Acquisiton | 2019-02-11 | 4,282,288 | $0.00 | 4,688,213 | No | 4 | C | Indirect | See footnotes |
| Common Stock | Acquisiton | 2019-02-11 | 2,029,626 | $0.00 | 6,717,839 | No | 4 | C | Indirect | See footnotes |
| Common Stock | Acquisiton | 2019-02-11 | 2,280,479 | $0.00 | 8,998,318 | No | 4 | C | Indirect | See footnotes |
| Common Stock | Acquisiton | 2019-02-11 | 1,012,282 | $0.00 | 10,010,600 | No | 4 | C | Indirect | See footnotes |
| Common Stock | Acquisiton | 2019-02-11 | 266,437 | $0.00 | 10,277,037 | No | 4 | C | Indirect | See footnotes |
| Common Stock | Acquisiton | 2019-02-11 | 157,939 | $19.00 | 10,434,976 | No | 4 | P | Indirect | See footnotes |
| Common Stock | Acquisiton | 2019-02-11 | 94,075 | $0.00 | 94,075 | No | 4 | C | Indirect | See footnotes |
| Common Stock | Acquisiton | 2019-02-11 | 992,437 | $0.00 | 1,086,512 | No | 4 | C | Indirect | See footnotes |
| Common Stock | Acquisiton | 2019-02-11 | 470,374 | $0.00 | 1,556,886 | No | 4 | C | Indirect | See footnotes |
| Common Stock | Acquisiton | 2019-02-11 | 528,510 | $0.00 | 2,085,396 | No | 4 | C | Indirect | See footnotes |
| Common Stock | Acquisiton | 2019-02-11 | 234,601 | $0.00 | 2,319,997 | No | 4 | C | Indirect | See footnotes |
| Common Stock | Acquisiton | 2019-02-11 | 85,295 | $0.00 | 2,405,292 | No | 4 | C | Indirect | See footnotes |
| Common Stock | Acquisiton | 2019-02-11 | 50,561 | $19.00 | 2,455,853 | No | 4 | P | Indirect | See footnotes |
| Common Stock | Acquisiton | 2019-02-11 | 203,200 | $19.00 | 203,200 | No | 4 | P | Indirect | See footnotes |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See footnotes |
| No | 4 | C | Indirect | See footnotes |
| No | 4 | C | Indirect | See footnotes |
| No | 4 | C | Indirect | See footnotes |
| No | 4 | C | Indirect | See footnotes |
| No | 4 | C | Indirect | See footnotes |
| No | 4 | P | Indirect | See footnotes |
| No | 4 | C | Indirect | See footnotes |
| No | 4 | C | Indirect | See footnotes |
| No | 4 | C | Indirect | See footnotes |
| No | 4 | C | Indirect | See footnotes |
| No | 4 | C | Indirect | See footnotes |
| No | 4 | C | Indirect | See footnotes |
| No | 4 | P | Indirect | See footnotes |
| No | 4 | P | Indirect | See footnotes |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A-1 Preferred Stock | Disposition | 2019-02-11 | 405,925 | $0.00 | 405,925 | $0.00 |
| Common Stock | Series A-1 Preferred Stock | Disposition | 2019-02-11 | 94,075 | $0.00 | 94,075 | $0.00 |
| Common Stock | Series A-2 Preferred Stock | Disposition | 2019-02-11 | 4,282,288 | $0.00 | 4,282,288 | $0.00 |
| Common Stock | Series A-2 Preferred Stock | Disposition | 2019-02-11 | 992,437 | $0.00 | 992,437 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2019-02-11 | 2,029,626 | $0.00 | 2,029,626 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2019-02-11 | 470,374 | $0.00 | 470,374 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2019-02-11 | 2,280,479 | $0.00 | 2,280,479 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2019-02-11 | 528,510 | $0.00 | 528,510 | $0.00 |
| Common Stock | Series D Preferred Stock | Disposition | 2019-02-11 | 1,012,282 | $0.00 | 1,012,282 | $0.00 |
| Common Stock | Series D Preferred Stock | Disposition | 2019-02-11 | 234,601 | $0.00 | 234,601 | $0.00 |
| Common Stock | Series E Preferred Stock | Disposition | 2019-02-11 | 266,437 | $0.00 | 266,437 | $0.00 |
| Common Stock | Series E Preferred Stock | Disposition | 2019-02-11 | 85,295 | $0.00 | 85,295 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- Each of the Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock automatically converted into shares of Common Stock on a one to one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.
- The Shares are held of record by OrbiMed Private Investments IV-AL, LP ("OrbiMed IV-AL"). OrbiMed Capital GP IV LLC ("OrbiMed GP"), is the general partner of OrbiMed IV-AL. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended, is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL and as a result may be deemed to have beneficial ownership over such securities.
- Each of OrbiMed GP, OrbiMed Capital LLC ("OrbiMed Capital") and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 3 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently Carl L. Gordon, a member of Advisors, to serve on the Issuer's board of directors.
- The Shares are held of record by OrbiMed Private Investments IV-AL (Feeder), LP ("OrbiMed IV-AL (Feeder)"). OrbiMed GP is the general partner of OrbiMed IV-AL (Feeder). OrbiMed Advisors, a registered adviser under the Investment Advisers Act of 1940, as amended, is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL (Feeder) and as a result may be deemed to have beneficial ownership over such securities.
- The Shares are held of record by OrbiMed Partners Master Fund Limited ("OPM"). OrbiMed Capital, a registered investment adviser under the Investment Advisers Act, acts as the investment advisor to OPM. By virtue of such relationships, OrbiMed Capital may be deemed to have voting and investment power over the securities held by OPM and as a result may be deemed to have beneficial ownership over such securities.
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