SEC Form 4 · accession 0001209191-18-055379
Allogene Therapeutics, Inc. · ALLO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joshua A Kazam
Director
Period of report
Oct 15, 2018
Accepted (ET)
Oct 17, 2018 · 5:31 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 | 18,716 | — | A | 1,390,651 | 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 Convertible Preferred StockF1 | $0.00 | Oct 15, 2018 | C | 3,565 | D | — | — | Common Stock | 18,716 | 0 | D |
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.