Statement of Changes in Beneficial Ownership (4)
January 14 2022 - 12:03PM
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
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Belldegrun Arie |
2. Issuer Name and Ticker or Trading Symbol
Allogene Therapeutics, Inc.
[
ALLO
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
210 EAST GRAND AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/12/2022 |
(Street)
SOUTH SAN FRANCISCO, CA 94080
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | | | | | | | | 371883 | D | |
Common Stock | 1/12/2022 | | P | | 155039 | A | $12.60 (1) | 195039 | I | See footnote (2) |
Common Stock | | | | | | | | 1798163 | I | See footnote (3) |
Common Stock | | | | | | | | 4710148 | I | See footnote (4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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) | The reported securities were purchased by Bellco Legacy LLC at an average price of $12.60 per unit, calculated from the price range of $12.35 to $13.00. |
(2) | The securities are held in the name of Bellco Legacy LLC. Bellco Legacy LLC is owned and managed by trusts controlled by the reporting person and Rebecka Belldegrun. |
(3) | The securities are held by Vida Ventures LLC (Vida), of which VV Manager LLC is the manager. The reporting person is a Senior Managing Director of VV Manager LLC and may therefore be deemed to be the beneficial owner of the common shares held by Vida. The reporting person disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. |
(4) | The securities are held in the name of Bellco Legacy IV LLC, of which the reporting person and Rebecka Belldegrun are the managers. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Belldegrun Arie 210 EAST GRAND AVENUE SOUTH SAN FRANCISCO, CA 94080 | X |
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Signatures
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/s/ Veer Bhavnagri, Attorney-in-Fact | | 1/14/2022 |
**Signature of Reporting Person | Date |
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