0000078003-18-000080.txt : 20181017 0000078003-18-000080.hdr.sgml : 20181017 20181017171716 ACCESSION NUMBER: 0000078003-18-000080 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181015 FILED AS OF DATE: 20181017 DATE AS OF CHANGE: 20181017 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PFIZER INC CENTRAL INDEX KEY: 0000078003 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38693 FILM NUMBER: 181126966 BUSINESS ADDRESS: STREET 1: 235 E 42ND ST CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2125732323 MAIL ADDRESS: STREET 1: 235 E 42ND ST CITY: NEW YORK STATE: NY ZIP: 10017 FORMER NAME: FORMER CONFORMED NAME: PFIZER CHARLES & CO INC DATE OF NAME CHANGE: 19710908 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 2018-10-15 0 0001737287 Allogene Therapeutics, Inc. ALLO 0000078003 PFIZER INC 235 E 42ND ST NEW YORK NY 10017 0 0 1 0 Common Stock 2018-10-15 4 C 0 21976484 A 21976484 D Common Stock 2018-10-15 4 P 0 55556 18 A 22032040 D Series A-1 Convertible Preferred Stock 2018-10-15 4 C 0 4185997 0 D Common Stock 21976484 0 D In connection with the closing of the Issuer's initial public offering, each share of the Issuer's Series A-1 Convertible Preferred Stock (the "Preferred Stock") converted into the Issuer's common stock on a 1-for-5.25 basis without payment or consideration. The Preferred Stock had no expiration date. /s/Susan Grant, Assistant Secretary on behalf of Pfizer Inc. 2018-10-17