0001737287-23-000024.txt : 20230316 0001737287-23-000024.hdr.sgml : 20230316 20230316170811 ACCESSION NUMBER: 0001737287-23-000024 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230314 FILED AS OF DATE: 20230316 DATE AS OF CHANGE: 20230316 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHMIDT ERIC THOMAS CENTRAL INDEX KEY: 0001754403 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38693 FILM NUMBER: 23739699 MAIL ADDRESS: STREET 1: C/O ALLOGENE THERAPEUTICS, INC. STREET 2: 210 EAST GRAND AVENUE 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_doc.xml PRIMARY DOCUMENT X0306 4 2023-03-14 0 0001737287 Allogene Therapeutics, Inc. ALLO 0001754403 SCHMIDT ERIC THOMAS C/O ALLOGENE THERAPEUTICS, INC. 210 EAST GRAND AVENUE SOUTH SAN FRANCISCO CA 94080 0 1 0 0 Chief Financial Officer Common Stock 2023-03-14 4 F 0 35879 5.47 D 304345 D Common Stock 1152595 I Eric Schmidt 2017 Family Irrevocable Trust 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 $5.46 to $5.495, 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. Includes 320 and 2000 share of the Issuer's common stock acquired by the reporting person on September 15, 2021 and on March 15, 2023 pursuant to an employee stock purchase program, respectively. The securities are held in the name of the Eric Schmidt 2017 Family Irrevocable Trust. Veer Bhavnagri, Attorney-in-Fact 2023-03-16