SEC Form 4 · accession 0000078003-18-000080
Allogene Therapeutics, Inc. · ALLO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
PFIZER INC
10% Owner
Period of report
Oct 15, 2018
Accepted (ET)
Oct 17, 2018 · 5:17 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001737287
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Oct 15, 2018 | C | 21,976,484 | — | A | 21,976,484 | D | |
| Common Stock | Oct 15, 2018 | P | 55,556 | $18.00 | A | 22,032,040 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A-1 Convertible Preferred StockF1 | — | Oct 15, 2018 | C | 4,185,997 | D | — | — | Common Stock | 21,976,484 | 0 | D |
Explanation of responses
- F1In connection with the closing of the Issuer's initial public offering, each share of the Issuer's Series A-1 Convertible Preferred Stock (the "Preferred Stock") converted into the Issuer's common stock on a 1-for-5.25 basis without payment or consideration. The Preferred Stock had no expiration date.