0001593968-22-001505.txt : 20221011 0001593968-22-001505.hdr.sgml : 20221011 20221011163542 ACCESSION NUMBER: 0001593968-22-001505 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221007 FILED AS OF DATE: 20221011 DATE AS OF CHANGE: 20221011 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Amado Rafael CENTRAL INDEX KEY: 0001662119 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38693 FILM NUMBER: 221304452 MAIL ADDRESS: STREET 1: 210 EAST GRAND AVE CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Allogene Therapeutics, Inc. CENTRAL INDEX KEY: 0001737287 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 823562771 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 210 EAST GRAND AVENUE CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: (650) 457-2700 MAIL ADDRESS: STREET 1: 210 EAST GRAND AVENUE CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 4 1 primary_01.xml PRIMARY DOCUMENT X0306 4 2022-10-07 0001737287 Allogene Therapeutics, Inc. ALLO 0001662119 Amado Rafael 210 EAST GRAND AVENUE SOUTH SAN FRANCISCO CA 94080 true EVP of R&D Common Stock 2022-10-07 4 A false 19120 0 A 550410 D Common Stock 2022-10-07 4 F false 8464 11.8265 D 541946 D Represents the vesting of performance-based restricted stock units (Performance RSUs) granted on September 3, 2019. Performance RSUs vested upon the initiation of a Phase 2 clinical trial of ALLO-501A. Each Performance RSU represents the right to receive one share of common stock of the Issuer. Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.7081 to $11.845, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. /s/Veer Bhavnagri, Attorney-in-Fact 2022-10-11