0001209191-21-058116.txt : 20210929 0001209191-21-058116.hdr.sgml : 20210929 20210929185138 ACCESSION NUMBER: 0001209191-21-058116 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210928 FILED AS OF DATE: 20210929 DATE AS OF CHANGE: 20210929 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: James Steven P CENTRAL INDEX KEY: 0001243025 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38582 FILM NUMBER: 211293035 MAIL ADDRESS: STREET 1: C/O OCERA THERAPUETICS STREET 2: 525 UNIVERSITY AVENUE, SUITE 610 CITY: PALO ALTO STATE: CA ZIP: 94301 FORMER NAME: FORMER CONFORMED NAME: JAMES STEVEN P DATE OF NAME CHANGE: 20030617 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 2021-09-28 0 0001564824 Allakos Inc. ALLK 0001243025 James Steven P C/O ALLAKOS INC. 975 ISLAND DRIVE, SUITE 201 REDWOOD CITY CA 94065 1 0 0 0 Common Stock 2021-09-28 4 M 0 4000 0.525 A 4000 D Common Stock 2021-09-28 4 S 0 4000 108.12 D 0 D Stock Option (Right to buy) 0.525 2021-09-28 4 M 0 4000 0.00 D 2026-04-28 Common Stock 4000 55380 D This transaction was executed in multiple trades at prices ranging from $108.00 to $108.25 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 April 28, 2016, the Reporting Person was granted an option to purchase 62,880 ordinary shares pursuant to the Company's 2012 Equity Incentive Plan. The option vests as to one forty-eight of the shares on May 28, 2016 and each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. /s/ Harlan Baird Radford, by power of attorney 2021-09-29 EX-24.4_1010433 2 poa.txt POA DOCUMENT POWER OF ATTORNEY The undersigned, as a Section 16 reporting person of Allakos Inc. (the "Company"), hereby constitutes and appoints the Company's Chief Executive Officer and Chief Financial Officer, and each of them, as the undersigned's true and lawful attorney-in-fact to: 1. prepare, execute in the undersigned's name and on the undersigned's behalf, and submit to the Securities and Exchange Commission (the "SEC") a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain EDGAR codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Section 16(a) of the Securities Exchange Act of 1934 or any rule or regulation of the SEC; 2. complete and execute Forms 3, 4 and 5 and other forms and all amendments thereto as such attorney-in-fact shall in his discretion determine to be required or advisable pursuant to Section 16 of the Securities Exchange Act of 1934 (as amended) and the rules and regulations promulgated thereunder, or any successor laws and regulations, as a consequence of the undersigned's ownership, acquisition or disposition of securities of the Company; and 3. do all acts necessary in order to file such forms with the SEC, any securities exchange or national association, the Company and such other person or agency as the attorneys-in-fact shall deem appropriate. The undersigned hereby ratifies and confirms all that said attorneys-in-fact and agents shall do or cause to be done by virtue hereof. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934 (as amended). This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the Company and the foregoing attorneys-in-fact. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 28 day of September 2021. Signature: /s/ Steven P. James Print Name: STEVEN P. JAMES