SEC Form 4 · accession 0001209191-18-055385
Allogene Therapeutics, Inc. · ALLO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Franz B Humer
Director
Period of report
Oct 15, 2018
Accepted (ET)
Oct 17, 2018 · 5:32 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 | 30,000 | $18.00 | A | 30,000 | D | |
| Common StockF1 | Oct 15, 2018 | C | 74,870 | — | A | 104,870 | 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 | — | Oct 15, 2018 | C | 14,261 | D | — | — | Common Stock | 74,870 | 0 | D |
Explanation of responses
- F1The Series A Convertible Preferred Stock converted on a 5.25-for-1 basis and had no expiration date.