SEC Form 4 · accession 0001209191-18-055374
Allogene Therapeutics, Inc. · ALLO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David D Chang
Officer — President and CEO · Director
Period of report
Oct 15, 2018
Accepted (ET)
Oct 17, 2018 · 5:30 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 | 40,000 | $18.00 | A | 1,995,625 | D | |
| Common StockF1,F2 | Oct 15, 2018 | C | 29,946 | — | A | 1,101,838 | I | See footnote |
| Common StockF3 | holding | — | — | — | 848,022 | I | See footnote | |
| Common StockF4 | holding | — | — | — | 848,022 | 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 Convertible Preferred StockF2,F1 | — | Oct 15, 2018 | C | 5,704 | D | — | — | Common Stock | 29,946 | 0 | I |
Explanation of responses
- 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.
- F2Securities held in the name of the Chang 2006 Family Trust.
- F3Securities held in the name of the Julia Chang 2018 Irrevocable Trust, of which the reporting person is Trustee and his daughter is the beneficiary.
- F4Securities held in the name of the Robert Chang 2018 Irrevocable Trust, of which the reporting person is Trustee and his son is the beneficiary.