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