0000899243-21-014025.txt : 20210330 0000899243-21-014025.hdr.sgml : 20210330 20210330211836 ACCESSION NUMBER: 0000899243-21-014025 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210326 FILED AS OF DATE: 20210330 DATE AS OF CHANGE: 20210330 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MCKEARN JOHN P CENTRAL INDEX KEY: 0001240120 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38582 FILM NUMBER: 21789443 MAIL ADDRESS: STREET 1: 5820 NANCY DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Allakos Inc. CENTRAL INDEX KEY: 0001564824 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 454798831 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 975 ISLAND DRIVE STREET 2: SUITE 201 CITY: REDWOOD CITY STATE: CA ZIP: 94065 BUSINESS PHONE: 650-597-5002 MAIL ADDRESS: STREET 1: 975 ISLAND DRIVE STREET 2: SUITE 201 CITY: REDWOOD CITY STATE: CA ZIP: 94065 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-03-26 0 0001564824 Allakos Inc. ALLK 0001240120 MCKEARN JOHN P 101 S. HANLEY ROAD SUITE 1850 ST. LOUIS MO 63105 1 0 0 0 Common Stock 2021-03-26 4 S 0 7439 115.00 D 1200 I By John P. McKearn Trust Common Stock 2021-03-29 4 G 0 1200 0.00 D 0 I By John P. McKearn Trust Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Partners II, which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. (Continued from footnote 1) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. The Reporting Person is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Partners III, which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. (Continued from footnote 2) The Reporting Person is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. 3x5 Managers II is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. The Reporting Person is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. The Reporting Person disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. The reporting person also indirectly beneficially owns 4,887,932 consisting of (i) 694,669 shares held of record by RiverVest II, (ii) 188,685 shares held of record by RiverVest (Ohio) II, (iii) 2,341,594 shares held of record by RiverVest III, (iv) 124,275 shares held of record by RiverVest (Ohio) III, (v) 1,483,103 shares held of record by 3x5 II, and (vi) 55,606 shares held of record by 3x5 II-B. Reflects a gift of shares to an unaffiliated donor advised fund. /s/ John P. McKearn 2021-03-30