Home > Insider Trading > Filing (0000899243-19-010916)

Filing Details

Accession Number:: 0000899243-19-010916
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-04-18 18:55:18
Reporting Period:: 2019-04-16

Accepted Time:: 2019-04-18 18:55:18
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1564824	Allakos Inc.	ALLK	()	4

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1374953	P L Ii Fund Venture Rivervest	101 S. Hanley Road Suite 1850 St. Louis MO 63105	No	No	Yes	No
1601559	Rivervest Venture Fund Iii, L.p.	101 S. Hanley Road Suite 1850 St. Louis MO 63105	No	No	Yes	No
1606398	Rivervest Venture Fund Ii (Ohio), L.p.	101 S. Hanley Road Suite 1850 St. Louis MO 63105	No	No	Yes	No
1636686	Rivervest Venture Fund Iii (Ohio), L.p.	101 S. Hanley Road Suite 1850 St. Louis MO 63105	No	No	Yes	No
1657449	3X5 Rivervest Fund Ii, L.p.	101 S. Hanley Road Suite 1850 St. Louis MO 63105	No	No	Yes	No
1684103	3X5 Rivervest Fund Ii-B, L.p.	101 S. Hanley Road Suite 850 St. Louis MO 63105	No	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2019-04-16	22,679	$37.23	7,153,517	No	4	S	Indirect	See footnote
Common Stock	Disposition	2019-04-16	7,321	$36.80	7,146,196	No	4	S	Indirect	See footnote
Common Stock	Disposition	2019-04-17	35,889	$36.33	7,110,307	No	4	S	Indirect	See footnote
Common Stock	Disposition	2019-04-17	20,000	$35.70	7,090,307	No	4	S	Indirect	See footnote
Common Stock	Disposition	2019-04-18	2,400	$36.07	7,087,907	No	4	S	Indirect	See footnote
Common Stock	Disposition	2019-04-18	1,028	$34.82	7,086,879	No	4	S	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote
No	4	S	Indirect	See footnote

Footnotes

The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.01 to $38.00, inclusive. The reporting persons undertake to provide Allakos Inc., any security holder of Allakos Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2), (6), (7), (8), (9) and (10) to this Form 4.
Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B").The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II.
(Continued from footnote 3) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II.The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III.
(Continued from footnote 4) John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III.The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.52 to $37.00, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.25 to $36.89, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.70 to $35.80, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.01 to $36.15, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.59 to $35.07, inclusive.
The 7,086,879 shares consists of (i) 980,693 shares held of record by RiverVest II, (ii) 266,374 shares held of record by RiverVest (Ohio) II, (iii) 3,383,832 shares held of record by RiverVest III, (iv) 179,592 shares held of record by RiverVest (Ohio) III, (v) 2,194,122 shares held of record by 3x5 II, and (vi) 82,266 shares held of record by 3x5 II-B.