0001209191-18-043189.txt : 20180718 0001209191-18-043189.hdr.sgml : 20180718 20180718210254 ACCESSION NUMBER: 0001209191-18-043189 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180718 FILED AS OF DATE: 20180718 DATE AS OF CHANGE: 20180718 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RiverVest Venture Fund III, L.P. CENTRAL INDEX KEY: 0001601559 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38582 FILM NUMBER: 18959413 BUSINESS ADDRESS: STREET 1: 7733 FORSYTH BOULEVARD CITY: ST. LOUIS STATE: MO ZIP: 63105 BUSINESS PHONE: 314-726-6700 MAIL ADDRESS: STREET 1: 7733 FORSYTH BOULEVARD CITY: ST. LOUIS STATE: MO ZIP: 63105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RiverVest Venture Fund II (Ohio), L.P. CENTRAL INDEX KEY: 0001606398 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38582 FILM NUMBER: 18959414 BUSINESS ADDRESS: STREET 1: 7733 FORSYTH BOULEVARD, SUITE 1650 CITY: ST. LOUIS STATE: MO ZIP: 63105 BUSINESS PHONE: 314-726-6700 MAIL ADDRESS: STREET 1: 7733 FORSYTH BOULEVARD, SUITE 1650 CITY: ST. LOUIS STATE: MO ZIP: 63105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RiverVest Venture Fund III (Ohio), L.P. CENTRAL INDEX KEY: 0001636686 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38582 FILM NUMBER: 18959415 BUSINESS ADDRESS: STREET 1: 11000 CEDAR AVENUE STREET 2: SUITE 100 CITY: CLEVELAND STATE: OH ZIP: 44106-3502 BUSINESS PHONE: 314-726-6700 MAIL ADDRESS: STREET 1: 11000 CEDAR AVENUE STREET 2: SUITE 100 CITY: CLEVELAND STATE: OH ZIP: 44106-3502 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RIVERVEST VENTURE FUND II L P CENTRAL INDEX KEY: 0001374953 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38582 FILM NUMBER: 18959416 BUSINESS ADDRESS: STREET 1: 7733 FORSYTH BLVD SUITE 1650 CITY: ST LOUIS STATE: MO ZIP: 63105 BUSINESS PHONE: 314-726-6700 MAIL ADDRESS: STREET 1: 7733 FORSYTH BLVD SUITE 1650 CITY: ST LOUIS STATE: MO ZIP: 63105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: 3x5 RiverVest Fund II, L.P. CENTRAL INDEX KEY: 0001657449 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38582 FILM NUMBER: 18959417 BUSINESS ADDRESS: STREET 1: 101 SOUTH HANLEY ROAD STREET 2: #1850 CITY: ST. LOUIS STATE: MO ZIP: 63105 BUSINESS PHONE: 314-726-6700 MAIL ADDRESS: STREET 1: 101 SOUTH HANLEY ROAD STREET 2: #1850 CITY: ST. LOUIS STATE: MO ZIP: 63105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: 3x5 RiverVest Fund II-B, L.P. CENTRAL INDEX KEY: 0001684103 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38582 FILM NUMBER: 18959418 BUSINESS ADDRESS: STREET 1: 101 SOUTH HANLEY ROAD STREET 2: NO. 1850 CITY: ST. LOUIS STATE: MO ZIP: 63105 BUSINESS PHONE: 314-726-6700 MAIL ADDRESS: STREET 1: 101 SOUTH HANLEY ROAD STREET 2: NO. 1850 CITY: ST. LOUIS STATE: MO ZIP: 63105 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 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2018-07-18 0 0001564824 Allakos Inc. ALLK 0001601559 RiverVest Venture Fund III, L.P. 101 S. HANLEY ROAD SUITE 1850 ST. LOUIS MO 63105 0 0 1 0 0001606398 RiverVest Venture Fund II (Ohio), L.P. 101 S. HANLEY ROAD SUITE 1850 ST. LOUIS MO 63105 0 0 1 0 0001636686 RiverVest Venture Fund III (Ohio), L.P. 101 S. HANLEY ROAD SUITE 1850 ST. LOUIS MO 63105 0 0 1 0 0001374953 RIVERVEST VENTURE FUND II L P 101 S. HANLEY ROAD SUITE 1850 ST. LOUIS MO 63105 0 0 1 0 0001657449 3x5 RiverVest Fund II, L.P. 101 S. HANLEY ROAD SUITE 1850 ST. LOUIS MO 63105 0 0 1 0 0001684103 3x5 RiverVest Fund II-B, L.P. 101 S. HANLEY ROAD SUITE 850 ST. LOUIS MO 63105 0 0 1 0 Series A Preferred Stock Common Stock 6482724 I See footnote Series B Preferred Stock Common Stock 777417 I See footnote Each share of Series A Preferred Stock and Series B Preferred Stock shall automatically convert into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering of common stock and has no expiration date. RiverVest Venture Fund II, L.P ("RiverVest II") owns 954,494 shares of Series A Preferred Stock. RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II") owns 259,258 shares of Series A Preferred Stock. RiverVest Venture Fund III, L.P ("RiverVest III") owns 3,234,069 shares of Series A Preferred Stock. RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III") owns 171,647 shares of Series A Preferred Stock. 3x5 RiverVest Fund II, L.P. ("3x5 II") owns 1,795,434 shares of Series A Preferred Stock. 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B") owns 67,822 shares of Series A Preferred Stock. The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("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. 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. John P. McKearn 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 Venture Partners III, L.P. ("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. John P. McKearn 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. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn 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. Dr. McKearn 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. RiverVest II owns 26,199 shares of Series B Preferred Stock. RiverVest (Ohio) II owns 7,116 shares of Series B Preferred Stock. RiverVest III owns 284,750 shares of Series B Preferred Stock. RiverVest (Ohio) III owns 15,112 shares of Series B Preferred Stock. 3x5 II owns 428,071 shares of Series B Preferred Stock. 3x5 II-B owns 16,169 shares of Series A Preferred Stock. /s/ John P. McKearn, Manager of RiverVest Venture Partners III, LLC 2018-07-18 /s/ John P. McKearn, Authorized Person of RiverVest Venture Partners II, LLC 2018-07-18 /s/ John P. McKearn, Member of RiverVest 3x5 Managers II, LLC 2018-07-18