| Accession Number: | 0001593968-23-000521 |
| Date: | 2023-03-22 |
| Issuer: | ALLOGENE THERAPEUTICS, INC. (ALLO) |
| Original Submission Date: |
CHANG DAVID D
210 EAST GRAND AVENUE
SOUTH SAN FRANCISCO, CA 94080
| Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature 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 |
| 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 Exercisable | Expiration 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 |
| ID | footnote |
|---|---|
| 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. |
