Form Type: 4

SEC EDGAR Link
Accession Number:0001593968-23-000521
Date:2023-03-22
Issuer: ALLOGENE THERAPEUTICS, INC. (ALLO)
Original Submission Date:

Reporting Person:

CHANG DAVID D
210 EAST GRAND AVENUE
SOUTH SAN FRANCISCO, CA 94080

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2023-03-22 A 1,924,464 a $0.00 4,193,911 direct
COMMON STOCK 2023-03-22 0 $0.00 1,201,108 indirect
COMMON STOCK 2023-03-22 0 $0.00 856,044 indirect
COMMON STOCK 2023-03-22 0 $0.00 856,044 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 5.04 2023-03-22 deemed execution date A 1,492,200 (a) 2033-03-22 common stock 1,492,200 $5.04 1,492,200 direct
Footnotes
IDfootnote
f1 includes 1,480,357 of performance rsus which shall vest as follows: (1) 50% shall vest if the 30-day weighted average stock price is equal to or greater than $18 and (2) 50% shall vest upon the first regulatory approval of a product candidate. notwithstanding the foregoing (1) any portion that vests upon the stock price threshold shall no longer vest and be terminated after three years from the grant date if such threshold has not been met in such three-year period, and (2) any portion that vests upon product candidate approval shall no longer vest and be terminated after five years from the grant date if such approval has not occurred in such five-year period.
f2 securities held in the name of the chang 2006 family trust
f3 securities held in the name of the jec 2019 trust dated october 1, 2019.
f4 securities held in the name of the rtc 2019 trust dated october 1, 2019.
f5 25% of the shares subject to the stock option shall vest on march 13, 2024, and the remaining shares shall vest in 36 equal monthly installments thereafter.
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