0001209191-21-036143.txt : 20210527 0001209191-21-036143.hdr.sgml : 20210527 20210527060022 ACCESSION NUMBER: 0001209191-21-036143 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210517 FILED AS OF DATE: 20210527 DATE AS OF CHANGE: 20210527 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alexander Robert CENTRAL INDEX KEY: 0001608782 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-38582 FILM NUMBER: 21968384 MAIL ADDRESS: STREET 1: 508 WRANGLER DRIVE, SUITE 100 CITY: COPPELL STATE: TX ZIP: 75019 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/A 1 doc4a.xml FORM 4/A SUBMISSION X0306 4/A 2021-05-17 2021-05-19 0 0001564824 Allakos Inc. ALLK 0001608782 Alexander Robert 975 ISLAND DRIVE, SUITE 201 REDWOOD CITY CA 94065 1 1 0 0 Chief Executive Officer Common Stock 2021-05-19 4 S 0 14516 98.94 D 245395 D Common Stock 2021-05-19 4 M 0 14516 0.6875 A 259911 D Common Stock 2021-05-18 4 S 0 14517 102.32 D 245395 D Common Stock 2021-05-18 4 M 0 14517 0.6875 A 259912 D Common Stock 2021-05-17 4 S 0 14517 99.68 D 245395 D Common Stock 2021-05-17 4 M 0 14517 0.6875 A 259912 D Common Stock 2021-05-19 4 S 0 5482 98.89 D 336750 I See footnote Common Stock 2021-05-18 4 S 0 5484 102.29 D 342232 I See footnote Common Stock 2021-05-17 4 S 0 5484 99.69 D 347716 I See footnote Stock Option (Right to buy) 0.6875 2021-05-19 4 M 0 14516 0.00 D 2021-05-19 Common Stock 14516 956050 D Stock Option (Right to buy) 0.6875 2021-05-18 4 M 0 14517 0.00 D 2021-05-18 Common Stock 14517 970566 D Stock Option (Right to buy) 0.6875 2021-05-17 4 M 0 14517 0.00 D 2021-05-17 Common Stock 14517 985083 D This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 10, 2021. This transaction was executed in multiple trades at prices ranging from $97.84 to $100.68 per share. The sale price reported represents the weighted average sale price. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person hereby undertakes to provide full information regarding the number of shares sold at each separate price. Includes shares of common stock purchased under the Company's 2018 Employee Stock Purchase Plan. Includes 7,905 shares received as a pro-rata in-kind distribution of Common Stock of the Issuer by Alta Partners Management VIII, LLC (APM VIII), without consideration, to the Reporting Person as a non-managing member of APM VIII. This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 10, 2021. This transaction was executed in multiple trades at prices ranging from $100.75 to $104.55 per share. The sale price reported represents the weighted average sale price. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person hereby undertakes to provide full information regarding the number of shares sold at each separate price. This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 10, 2021. This transaction was executed in multiple trades at prices ranging from $97.29 to $100.91 per share. The sale price reported represents the weighted average sale price. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person hereby undertakes to provide full information regarding the number of shares sold at each separate price. This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 11, 2021. This transaction was executed in multiple trades at prices ranging from $97.53 to $100.48 per share. The sale price reported represents the weighted average sale price. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person hereby undertakes to provide full information regarding the number of shares sold at each separate price. The shares are held by Mr. Alexander and Stacey Lee Alexander, as Trustees of the Alexander 2018 Irrevocable Descendants' Trust. This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 11, 2021. This transaction was executed in multiple trades at prices ranging from $100.84 to $104.54 per share. The sale price reported represents the weighted average sale price. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person hereby undertakes to provide full information regarding the number of shares sold at each separate price. This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 11, 2021. This transaction was executed in multiple trades at prices ranging from $97.23 to $100.63 per share. The sale price reported represents the weighted average sale price. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person hereby undertakes to provide full information regarding the number of shares sold at each separate price. On May 17, 2017, the Reporting Person was granted an option to purchase 1,412,800 ordinary shares pursuant to the Company's 2012 Equity Incentive Plan. The option vests as to one-fourth of the shares on May 17, 2018, and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. This Form 4/A amends and restates in its entirety the Form 4 that was filed on May 19, 2021 (the "Original Form 4"). The purpose of this Form 4/A is to correctly characterize certain transactions as having been effected pursuant to a Rule 10b5-1 plan. Further, this Form 4/A includes transactions of indirectly held shares that were omitted from the Original Form 4. /s/ Robert Alexander 2021-05-27