SEC Form 3 · accession 0000903423-18-000545
Allogene Therapeutics, Inc. · ALLO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Todd Benjamin Sisitsky
Director
Period of report
Oct 10, 2018
Accepted (ET)
Oct 10, 2018 · 7:51 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 |
|---|---|---|---|---|---|---|---|---|
| No securities beneficially ownedF1,F2 | holding | — | — | — | 0 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Todd Benjamin Sisitsky is a TPG Partner. TPG is affiliated with each of (i) TPG Carthage Holdings, L.P., which directly holds 2,852,071 shares of Series A Preferred Stock ("Series A Preferred") of Allogene Therapeutics, Inc. (the "Issuer"), and (ii) The Rise Fund Carthage, L.P. (together with TPG Carthage Holdings, L.P., the "TPG Funds"), which directly holds 1,426,036 shares of Series A Preferred.
- F2Mr. Sisitsky disclaims beneficial ownership of all of the securities that are or may be beneficially owned by the TPG Funds or any of their affiliates. Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that Mr. Sisitsky is, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities of the Issuer for purposes of Section 16 of the Exchange Act or otherwise.
Remarks
(3) Michael LaGatta is signing on behalf of Mr. Sisitsky pursuant to the authorization and designation letter dated October 3, 2016, which was previously filed with the Securities and Exchange Commission.