SEC Form 4 · accession 0001209191-19-009119
Alector, Inc. · ALEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tillman U. Gerngross
Director
Period of report
Feb 11, 2019
Accepted (ET)
Feb 11, 2019 · 7:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001653087
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 11, 2019 | C | 374,532 | — | A | 2,555,850 | D | |
| Common StockF1 | Feb 11, 2019 | C | 52,760 | — | A | 2,608,610 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series C Preferred StockF1 | — | Feb 11, 2019 | C | 374,532 | D | — | — | Common Stock | 374,532 | 0 | D |
| Series E Preferred StockF1 | — | Feb 11, 2019 | C | 52,760 | D | — | — | Common Stock | 52,760 | 0 | D |
Explanation of responses
- F1Each of the Series C 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.