SEC Form 4 · accession 0001209191-18-055372

Allogene Therapeutics, Inc. · ALLO

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

Director · 10% Owner

Period of report

Oct 15, 2018

Accepted (ET)

Oct 17, 2018 · 5:29 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 Stock	Oct 15, 2018	P	35,000	$18.00	A	35,000	D
Common Stock^F1,F2	Oct 15, 2018	C	142,248	—	A	3,710,006	I	See footnote
Common Stock^F1,F3	Oct 15, 2018	C	5,989,352	—	A	5,989,352	I	See footnote
Common Stock^F1,F4	Oct 15, 2018	C	1,497,336	—	A	1,497,336	I	See footnote
Common Stock^F5	holding	—	—		—	488,250	I	See footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series A Convertible Preferred Stock^F2,F1	—	Oct 15, 2018	C	27,095	D	—	—	Common Stock	142,248	I
Series A Convertible Preferred Stock^F3,F1	—	Oct 15, 2018	C	1,140,829	D	—	—	Common Stock	5,989,352	I
Series A Convertible Preferred Stock^F4,F1	—	Oct 15, 2018	C	285,207	D	—	—	Common Stock	1,497,336	I

F1Each share of Series A Convertible Preferred Stock automatically converted into 5.25 shares of Common Stock upon the closing of the Issuer's initial public offering and had no expiration date.
F2The securities are held in the name of the Belldegrun Family Trust.
F3The securities are held by VVAG Special Fund LLC (VVAG), of which VVAG LLC is the manager. The reporting person is a Senior Managing Director of VVAG LLC and may therefore be deemed to be the beneficial owner of the common shares held by VVAG. The reporting person disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
F4The securities are held by Vida Ventures LLC (Vida), of which VV Manager LLC is the manager. The reporting person is a Senior Managing Director of VV Manager LLC and may therefore be deemed to be the beneficial owner of the common shares held by Vida. The reporting person disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
F5The securities are held in the name of Bellco Capital, LLC, of which the reporting person is the manager. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.