Filing Details
- Accession Number:
- 0001214659-21-003242
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-17 17:00:31
- Reporting Period:
- 2021-03-15
- Accepted Time:
- 2021-03-17 17:00:31
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1737287 | Allogene Therapeutics Inc. | ALLO | Biological Products, (No Disgnostic Substances) (2836) | 823562771 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1808980 | Veer Bhavnagri | 210 East Grand Avenue South San Francisco CA 94080 | General Counsel | No | No | No | 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 | 2021-03-15 | 10,000 | $2.27 | 415,774 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-03-15 | 6,623 | $38.16 | 409,151 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-15 | 9,600 | $37.79 | 399,551 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-03-15 | 400 | $38.15 | 399,151 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2021-03-15 | 10,000 | $0.00 | 10,000 | $2.27 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 152,300 | 2028-06-25 | No | 4 | M | Direct |
Footnotes
- Includes 372 shares of the Issuer's common stock acquired by the reporting person on March 15, 2021 pursuant to an employee stock purchase program.
- Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.97 to $38.55, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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 range set forth above.
- The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in December 2020.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.15 to $38.14, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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 range set forth above.
- 25% of the shares subject to the stock option vested on April 6, 2019, and the remaining shares vest in 36 equal monthly installments thereafter.
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