0001193125-19-038199.txt : 20190213 0001193125-19-038199.hdr.sgml : 20190213 20190213170032 ACCESSION NUMBER: 0001193125-19-038199 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20190213 DATE AS OF CHANGE: 20190213 GROUP MEMBERS: ARIE & REBECKA BELLDEGRUN, AS TRUSTEES OF THE BELLDEGRUN FAMILY TRUST GROUP MEMBERS: BELLCO CAPITAL, LLC GROUP MEMBERS: VIDA VENTURES LLC GROUP MEMBERS: VVAG SPECIAL FUND LLC SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-90685 FILM NUMBER: 19598395 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Belldegrun Arie CENTRAL INDEX KEY: 0001296549 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: UCLA SCHOOL OF MEDICINE STREET 2: 10833 LE CONTE 66-118 CHS BOX 951738 CITY: LOS ANGELES STATE: CA ZIP: 9095-1738 SC 13G 1 d706207dsc13g.htm SC 13G SC 13G

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No.     )

 

 

ALLOGENE THERAPEUTICS, INC.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

019770 10 6

(CUSIP Number)

December 31, 2018

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

☐ Rule 13d-1(b)

☐ Rule 13d-1(c)

☒ Rule 13d-1(d)

 

*

The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

CUSIP No. 019770 10 6    13G    Page 2 of 10 Pages

 

  1       

  Names of Reporting Persons

 

  Arie Belldegrun, M.D.

  2      

  Check the Appropriate Box if a Member of a Group

  (a)  ☐        (b)  ☐

 

  3      

  SEC Use Only

 

  4      

  Citizenship or Place of Organization

 

  United States of America and Israel

Number of

Shares

  Beneficially  

Owned by

Each

Reporting

Person

With:

     5     

  Sole Voting Power

 

  35,000 Shares

  6     

  Shared Voting Power

 

  11,879,389 Shares (1)

  7     

  Sole Dispositive Power

 

  35,000 Shares

  8     

  Shared Dispositive Power

 

  11,879,389 Shares (1)

  9      

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  11,914,389 Shares

10      

  Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

  ☐

11      

  Percent of Class Represented by Amount in Row (9)

 

  9.8% (2)

12      

  Type of Reporting Person

 

  IN

 

(1)

Includes (a) 488,250 shares of common stock beneficially owned by Bellco Capital, LLC, of which Dr. Belldegrun is a manager, (b) 3,710,006 shares of common stock beneficially owned by Arie & Rebecka Belldegrun, as Trustees of the Belldegrun Family Trust, (c) 5,989,352 shares of common stock beneficially owned by VVAG Special Fund LLC (VVAG), of which VVAG LLC is the manager, of which Dr. Belldegrun serves as a senior managing director and (d) 1,691,781 shares of common stock beneficially owned by Vida Ventures LLC (Vida), of which VV Manager LLC is the manager, of which Dr. Belldegrun is a Senior Managing Director. Dr. Belldegrun disclaims beneficial ownership of the shares held VVAG and Vida, except to the extent of any pecuniary interest therein.

(2)

This percentage is calculated based on 121,482,671 shares of common stock outstanding as of November 15, 2018, as reported in the Issuer’s Quarterly Report on Form 10-Q filed on November 21, 2018.

CUSIP No. 019770 10 6    13G    Page 3 of 10 Pages

 

 

  1       

  Names of Reporting Persons

 

  Arie & Rebecka Belldegrun, as Trustees of the Belldegrun Family Trust

  2      

  Check the Appropriate Box if a Member of a Group

  (a)  ☐        (b)  ☐

 

  3      

  SEC Use Only

 

  4      

  Citizenship or Place of Organization

 

  California

Number of

Shares

  Beneficially  

Owned by

Each

Reporting

Person

With:

     5     

  Sole Voting Power

 

  0 Shares

  6     

  Shared Voting Power

 

  3,710,006 Shares

  7     

  Sole Dispositive Power

 

  0 Shares

  8     

  Shared Dispositive Power

 

  3,710,006 Shares

  9      

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  3,710,006 Shares

10      

  Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

  ☐

11      

  Percent of Class Represented by Amount in Row (9)

 

  3.1% (1)

12      

  Type of Reporting Person

 

  OO

 

(1)

This percentage is calculated based on 121,482,671 shares of common stock outstanding as of November 15, 2018, as reported in the Issuer’s Quarterly Report on Form 10-Q filed on November 21, 2018.

CUSIP No. 019770 10 6    13G    Page 4 of 10 Pages

 

  1       

  Names of Reporting Persons

 

  Bellco Capital, LLC

  2      

  Check the Appropriate Box if a Member of a Group

  (a)  ☐        (b)  ☐

 

  3      

  SEC Use Only

 

  4      

  Citizenship or Place of Organization

 

  Delaware

Number of

Shares

  Beneficially  

Owned by

Each

Reporting

Person

With:

     5     

  Sole Voting Power

 

  488,250 Shares

  6     

  Shared Voting Power

 

  0 Shares

  7     

  Sole Dispositive Power

 

  488,250 Shares

  8     

  Shared Dispositive Power

 

  0 Shares

  9      

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  488,250 Shares

10      

  Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

  ☐

11      

  Percent of Class Represented by Amount in Row (9)

 

  0.4% (1)

12      

  Type of Reporting Person

 

  OO

 

(1)

This percentage is calculated based on 121,482,671 shares of common stock outstanding as of November 15, 2018, as reported in the Issuer’s Quarterly Report on Form 10-Q filed on November 21, 2018.

CUSIP No. 019770 10 6    13G    Page 5 of 10 Pages

 

  1       

  Names of Reporting Persons

 

  VVAG Special Fund LLC

  2      

  Check the Appropriate Box if a Member of a Group

  (a)  ☐        (b)  ☐

 

  3      

  SEC Use Only

 

  4      

  Citizenship or Place of Organization

 

  Delaware

Number of

Shares

  Beneficially  

Owned by

Each

Reporting

Person

With:

     5     

  Sole Voting Power

 

  0 Shares

  6     

  Shared Voting Power

 

  5,989,352 Shares

  7     

  Sole Dispositive Power

 

  0 Shares

  8     

  Shared Dispositive Power

 

  5,989,352 Shares

  9      

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  5,989,352 Shares

10      

  Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

  ☐

11      

  Percent of Class Represented by Amount in Row (9)

 

  4.9% (1)

12      

  Type of Reporting Person

 

  OO

 

(1)

This percentage is calculated based on 121,482,671 shares of common stock outstanding as of November 15, 2018, as reported in the Issuer’s Quarterly Report on Form 10-Q filed on November 21, 2018.

CUSIP No. 019770 10 6    13G    Page 6 of 10 Pages

 

  1       

  Names of Reporting Persons

 

  Vida Ventures LLC

  2      

  Check the Appropriate Box if a Member of a Group

  (a)  ☐        (b)  ☐

 

  3      

  SEC Use Only

 

  4      

  Citizenship or Place of Organization

 

  Nevada

Number of

Shares

  Beneficially  

Owned by

Each

Reporting

Person

With:

     5     

  Sole Voting Power

 

  0 Shares

  6     

  Shared Voting Power

 

  1,691,781 Shares

  7     

  Sole Dispositive Power

 

  0 Shares

  8     

  Shared Dispositive Power

 

  1,691,781 Shares

  9      

  Aggregate Amount Beneficially Owned by Each Reporting Person

 

  1,691,781 Shares

10      

  Check if the Aggregate Amount in Row (9) Excludes Certain Shares

 

  ☐

11      

  Percent of Class Represented by Amount in Row (9)

 

  1.4% (1)

12      

  Type of Reporting Person

 

  OO

 

(1)

This percentage is calculated based on 121,482,671 shares of common stock outstanding as of November 15, 2018, as reported in the Issuer’s Quarterly Report on Form 10-Q filed on November 21, 2018.

CUSIP No. 019770 10 6    13G    Page 7 of 10 Pages

 

Item 1(a).   

Name of Issuer:

 

Allogene Therapeutics, Inc.

Item 1(b).   

Address of Issuer’s Principal Executive Offices:

 

210 East Grand Avenue

South San Francisco, CA 94080

Item 2(a).   

Names of Persons Filing:

 

Arie Belldegrun, M.D.

Arie & Rebecka Belldegrun, as Trustees of the Belldegrun Family Trust (the “Belldegrun Trust”)

Bellco Capital LLC

VVAG Special Fund LLC

Vida Ventures LLC

Item 2(b).   

Address of Principal Business Office, or, if none, Residence:

 

The address of Arie Belldegrun, M.D., and the Belldegrun Trust is:

811 Strada Vecchia Road, Los Angeles, CA 90077

 

The address of VVAG Special Fund LLC and Vida Ventures LLC is:

40 Broad Street, #201, Boston, MA 02109

 

The address of Bellco Capital LLC is:

2049 Century Park East, Suite 1940

Los Angeles, CA 90067

Item 2(c).   

Citizenship:

 

Arie Belldegrun: USA and Israel

Belldegrun Trust: California

Bellco Capital LLC: Delaware

VVAG Special Fund LLC: Delaware

Vida Ventures LLC: Nevada

Item 2(d).   

Title of Class of Securities:

 

Common Stock

Item 2(e).   

CUSIP No.:

 

019770 10 6

Item 3.    Not Applicable.

CUSIP No. 019770 10 6    13G    Page 8 of 10 Pages

 

Item 4.

Ownership

The information requested hereinafter is set forth in items 5 through 9 and 11 of the cover page to this Schedule 13G. Ownership is stated as of December 31, 2018. The ownership percentage is based on 121,482,671 shares of common stock outstanding as of November 15, 2018, as reported in the Issuer’s quarterly report on Form 10-Q filed November 21, 2018.

 

Reporting Person

    Shares Held
Directly		      Sole
Voting
Power		      Shared
Voting
Power		      Sole
Dispositive
Power		      Shared
Dispositive
Power		      Beneficial
Ownership		      Percentage
of Class(1)		  

Arie Belldegrun

      35,000        35,000        11,879,389        35,000        11,879,389        11,914,389        9.8 % 

Arie and Rebecka Belldegrun, as Trustees of the Belldegrun Family Trust

      3,710,006        0        3,710,006        0        3,710,006        3,710,006        3.1 % 

Bellco Capital, LLC

      488,250        0        488,250        0        488,250        488,250        0.4 % 

VVAG Special Fund LLC

      5,989,352        0        5,989,352        0        5,989,352        5,989,352        4.9 % 

Vida Ventures LLC

      1,691,781        0        1,691,781        0        1,691,781        1,691,781        1.4 % 

 

(1)

This percentage is calculated based on 121,482,671 shares of common stock outstanding as of November 15, 2018, as reported in the Issuer’s Quarterly Report on Form 10-Q filed on November 21, 2018.

 

Item 5.    Ownership of Five Percent or Less of a Class.
If this statement is being filed to report the fact that as of the date hereof, the Reporting Persons have ceased to be the beneficial owner of more than five percent of the class of securities, check the following:  ☐
Item 6.    Ownership of More than Five Percent on Behalf of Another Person
Not applicable
Item 7.    Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person
Not applicable
Item 8.    Identification and Classification of Members of the Group
Not applicable
Item 9.    Notice of Dissolution of Group
Not applicable

CUSIP No. 019770 10 6    13G    Page 9 of 10 Page

 

Item 10. Certifications

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Dated: February 13, 2019

 

/s/ Arie Belldegrun

Arie Belldegrun, M.D.

 

Belldegrun Family Trust
By:  

/s/ Arie Belldegrun

Name:   Arie Belldegrun, Trustee

 

Bellco Capital LLC
By:  

/s/ Arie Belldegrun

Name:   Arie Belldegrun, Manager

 

VVAG Special Fund LLC

By: VVAG LLC, its Manager

By:  

/s/ Arie Belldegrun

Name:   Arie Belldegrun, Senior Managing Director

Vida Ventures LLC

By: VV Manager LLC, its Manger

By:  

/s/ Arie Belldegrun

Name:   Arie Belldegrun, Senior Managing Director
 EX-99.1 2 d706207dex991.htm EX-99.1 EX-99.1
CUSIP No. 019770106    13G    Page 1 0 of 10 Pages

 

Exhibit 99.1

JOINT FILING AGREEMENT

In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13G referred to below) on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the common stock of Allogene Therapeutics, Inc., a Delaware corporation, and that this Agreement may be included as an Exhibit to such joint filing. This Agreement may be executed in any number of counterparts all of which, taken together, shall constitute one and the same instrument.

Dated: February 13, 2019

 

/s/ Arie Belldegrun

Arie Belldegrun, M.D.

 

Belldegrun Family Trust
By:  

/s/ Arie Belldegrun

Name:   Arie Belldegrun, Trustee

 

Bellco Capital LLC
By:  

/s/ Arie Belldegrun

Name:   Arie Belldegrun, Manager

 

VVAG Special Fund LLC

By: VVAG LLC, its Manager

By:  

/s/ Arie Belldegrun

Name:   Arie Belldegrun, Senior Managing Director

Vida Ventures LLC

By: VV Manager LLC, its Manger

By:  

/s/ Arie Belldegrun

Name:   Arie Belldegrun, Senior Managing Director