Statement of Changes in Beneficial Ownership (4)
September 09 2019 - 6:04PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Chang David D |
2. Issuer Name and Ticker or Trading Symbol
Allogene Therapeutics, Inc.
[
ALLO
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President and CEO
|
(Last)
(First)
(Middle)
210 EAST GRAND AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/5/2019
|
(Street)
SOUTH SAN FRANCISCO, CA 94080
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
9/5/2019
|
|
J(1)
|
|
9402
|
A
|
$0.00
|
1154302
|
I
|
See footnote (2)
|
Common Stock
|
9/5/2019
|
|
J(3)
|
|
9391
|
A
|
$0.00
|
2195469
|
D
|
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code (Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)
|
8. Price of Derivative Security (Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Explanation of Responses:
|
(1)
|
Pro rata distribution of shares of the Issuer's common stock from VVAG Special Fund LLC (VVAG) to its members pursuant to a Rule 10b5-1 trading plan adopted by VVAG on March 29, 2019.
|
(2)
|
Securities held in the name of the Chang 2006 Family Trust. The reporting person resigned as Trustee of the Julia Chang 2018 Irrevocable Trust and the Robert Chang 2018 Irrevocable Trust and no longer has a reportable beneficial interest in the 1,696,044 shares included in the reporting person's prior ownership reports.
|
(3)
|
Pro rata distribution of shares of the Issuer's common stock from VVAG LLC to its members.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Chang David D 210 EAST GRAND AVENUE SOUTH SAN FRANCISCO, CA 94080
|
X
|
|
President and CEO
|
|
Signatures
|
/s/ Veer Bhavnagri, Attorney-in-Fact
|
|
9/9/2019
|
**Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person, see Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Allogene Therapeutics (NASDAQ:ALLO)
Historical Stock Chart
From Aug 2024 to Sep 2024
Allogene Therapeutics (NASDAQ:ALLO)
Historical Stock Chart
From Sep 2023 to Sep 2024
See More Message Board Posts
It looks like you are not logged in. Click the button below to log in and keep track of your recent history.