SEC Form 4 · accession 0001209191-18-043630
Allakos Inc. · ALLK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jul 23, 2018
Accepted (ET)
Jul 23, 2018 · 5:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001564824
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Jul 23, 2018 | C | 4,610,723 | — | A | 4,610,723 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Preferrred StockF3,F1 | — | Jul 23, 2018 | C | 4,108,091 | D | — | — | Common Stock | 4,108,091 | 0 | I |
| Series B Preferrred StockF3,F2 | — | Jul 23, 2018 | C | 502,632 | D | — | — | Common Stock | 502,632 | 0 | I |
Explanation of responses
- F1The Series A Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
- F2The Series B Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
- F3The shares are held of record by Roche Finance Ltd ("Roche Finance"). Roche Finance is a wholly owned subsidiary of Roche Holding Ltd, a publicly-held corporation.