0001209191-18-043627.txt : 20180723 0001209191-18-043627.hdr.sgml : 20180723 20180723170138 ACCESSION NUMBER: 0001209191-18-043627 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180723 FILED AS OF DATE: 20180723 DATE AS OF CHANGE: 20180723 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alta Partners VIII, L.P. CENTRAL INDEX KEY: 0001399763 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38582 FILM NUMBER: 18964999 BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-362-4022 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alta Partners Management VIII, LLC CENTRAL INDEX KEY: 0001399894 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38582 FILM NUMBER: 18965000 BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-362-4022 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alta Partners NextGen Fund I Management, LLC CENTRAL INDEX KEY: 0001736001 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38582 FILM NUMBER: 18965001 BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-362-4022 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 FORMER NAME: FORMER CONFORMED NAME: Alta Partners Management IX LLC DATE OF NAME CHANGE: 20180329 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alta Partners NextGen Fund I, L.P. CENTRAL INDEX KEY: 0001698110 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38582 FILM NUMBER: 18965002 BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-362-4022 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 FORMER NAME: FORMER CONFORMED NAME: Alta Partners IX, L.P. DATE OF NAME CHANGE: 20170214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CHAMPSI FARAH CENTRAL INDEX KEY: 0001198321 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38582 FILM NUMBER: 18965003 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hudson Peter A CENTRAL INDEX KEY: 0001674884 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38582 FILM NUMBER: 18965005 MAIL ADDRESS: STREET 1: 701 COOL SPRINGS BOULEVARD CITY: FRANKLIN STATE: TN ZIP: 37067 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MORE ROBERT J CENTRAL INDEX KEY: 0001207792 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38582 FILM NUMBER: 18965006 MAIL ADDRESS: STREET 1: 2285 W. WHITE PINE LANE CITY: PARK CITY STATE: UT ZIP: 84060 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NOHRA GUY P CENTRAL INDEX KEY: 0001198330 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38582 FILM NUMBER: 18965007 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 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: 75 SHOREWAY ROAD STREET 2: SUITE A CITY: SAN CARLOS STATE: CA ZIP: 94070 BUSINESS PHONE: 650-597-5002 MAIL ADDRESS: STREET 1: 75 SHOREWAY ROAD STREET 2: SUITE A CITY: SAN CARLOS STATE: CA ZIP: 94070 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-07-23 0 0001564824 Allakos Inc. ALLK 0001399763 Alta Partners VIII, L.P. ONE EMBARCADERO CENTER SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 0001399894 Alta Partners Management VIII, LLC ONE EMBARCADERO CENTER SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 0001736001 Alta Partners NextGen Fund I Management, LLC ONE EMBARCADERO CENTER SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 0001698110 Alta Partners NextGen Fund I, L.P. ONE EMBARCADERO CENTER SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 0001198321 CHAMPSI FARAH ONE EMBARCADERO CENTER SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 0001674884 Hudson Peter A ONE EMBARCADERO CENTER SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 0001207792 MORE ROBERT J ONE EMBARCADERO CENTER SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 0001198330 NOHRA GUY P ONE EMBARCADERO CENTER SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 Common Stock 2018-07-23 4 C 0 11269200 A 11269200 I See footnote Common Stock 2018-07-23 4 P 0 250000 18.00 A 11519200 I See footnote Series A Preferred Stock 2018-07-23 4 C 0 10030193 0.00 D Common Stock 10030193 0 I See footnote Series B Preferred Stock 2018-07-23 4 C 0 1239007 0.00 D Common Stock 1239007 0 I See footnote The Series A Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. The Series B Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. Consists of 3,446,265 shares held of record by Alta Partners NextGen Fund I, L.P. ("APNG I") and 7,822,935 shares held of record by Alta Partners VIII, L.P. ("Alta VIII"). The shares directly held by Alta VIII are indirectly held by Alta Partners Management VIII, LLC ("Alta Management VIII"), which is the general partner of Alta VIII. The individual managing directors of Alta Management VIII are Farah Champsi, Guy Nohra and Daniel Janney. The managing directors of Alta Management VIII exercise sole voting and investment control with respect to the shares held by Alta VIII. The individual managing directors of Alta Management VIII disclaim beneficial ownership of all shares held by Alta VIII, except to the extent of their pecuniary interests therein. The shares directly held by APNG I are indirectly held by Alta Partners NextGen Fund I Management, LLC ("APNG I Management"), which is the general partner of APNG I. The individual managing directors of APNG I Management are Robert More, Peter Hudson and Daniel Janney. The managing directors of APNG I Management exercise sole voting and investment control with respect to the shares held by APNG I. The individual managing directors of APNG I Management disclaim beneficial ownership of all shares held by APNG I, except to the extent of their pecuniary interests therein. Consists of 3,557,377 shares held of record by APNG I and 7,961,823 shares held of record by Alta VIII. APNG I owns 2,941,718 shares of Series A Preferred Stock. Alta VIII owns 7,088,475 shares of Series A Preferred Stock. APNG I owns 504,547 shares of Series B Preferred Stock. Alta VIII owns 734,460 shares of Series B Preferred Stock. /s/ Daniel Janney, Managing Director, Alta Partners VIII, L.P. 2018-07-23 /s/ Daniel Janney, Managing Director, Alta Partners Management VIII, LLC 2018-07-23 /s/ Daniel Janney, Managing Director, Alta Partners NextGen Fund I Management, LLC 2018-07-23 /s/ Daniel Janney, Managing Director, Alta Partners NextGen Fund I, L.P. 2018-07-23 /s/ Farah Champsi 2018-07-23 /s/ Peter A. Hudson 2018-07-23 /s/ Robert J. More 2018-07-23 /s/ Guy P. Nohra 2018-07-23