Filing Details
- Accession Number:
- 0001209191-21-032248
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-05-13 06:00:34
- Reporting Period:
- 2021-05-10
- Accepted Time:
- 2021-05-13 06:00:34
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1564824 | Allakos Inc. | ALLK | Pharmaceutical Preparations (2834) | 454798831 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1637219 | Adam Tomasi | 975 Island Drive, Suite 201 Redwood City CA 94065 | President And Coo | No | Yes | 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 | Disposition | 2021-05-12 | 20,000 | $99.23 | 153,126 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-05-12 | 20,000 | $0.69 | 173,126 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-05-11 | 20,000 | $97.79 | 153,126 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-05-11 | 20,000 | $0.69 | 173,126 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-05-10 | 20,000 | $96.02 | 153,126 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-05-10 | 20,000 | $0.69 | 173,126 | No | 4 | M | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | 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 | 2021-05-12 | 20,000 | $0.00 | 20,000 | $0.69 |
| Common Stock | Stock Option (Right to buy) | Disposition | 2021-05-11 | 20,000 | $0.00 | 20,000 | $0.69 |
| Common Stock | Stock Option (Right to buy) | Disposition | 2021-05-10 | 20,000 | $0.00 | 20,000 | $0.69 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 526,400 | 2027-05-17 | No | 4 | M | Direct | |
| 546,400 | 2027-05-17 | No | 4 | M | Direct | |
| 566,400 | 2027-05-17 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 3,953 | Indirect | See footnote |
Footnotes
- This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 18, 2020. This transaction was executed in multiple trades at prices ranging from $96.76 to $100.83 per share. The sale price reported represents the weighted average sale price . Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person hereby undertakes to provide full information regarding the number of shares sold at each separate price.
- Includes shares of common stock purchased under the Company's 2018 Employee Stock Purchase Plan.
- This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 18, 2020. This transaction was executed in multiple trades at prices ranging from $90.73 to $101.71 per share. The sale price reported represents the weighted average sale price . Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person hereby undertakes to provide full information regarding the number of shares sold at each separate price.
- This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 18, 2020. This transaction was executed in multiple trades at prices ranging from $94.91 to $98.41 per share. The sale price reported represents the weighted average sale price . Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person hereby undertakes to provide full information regarding the number of shares sold at each separate price.
- Includes 3,953 shares received as a pro-rata in-kind distribution of Common Stock of the Issuer by Alta Partners Management VIII, LLC (APM VIII), without consideration, to the reporting person as a non-managing member of APM VIII.
- The shares are held by Mr. Tomasi and Carrie Tomasi, as Trustees of the Tomasi Living Trust dated July 14, 2017.
- On May 17, 2017, the Reporting Person was granted an option to purchase 706,400 ordinary shares pursuant to the Company's 2012 Equity Incentive Plan. The option vests as to one-fourth of the shares on May 17, 2018, and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.
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