Belldegrun Arie was granted 344,828 shares and bought $4,999,997 worth of shares (1,724,137 units at $2.90) (SEC Form 4)
$ALLO
Biotechnology: Biological Products (No Diagnostic Substances)
Health Care
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
| Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Allogene Therapeutics, Inc. [ ALLO ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 05/16/2024 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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 | 05/16/2024 | A | 344,828(1) | A | $2.9 | 539,867 | I | See footnote(2) | ||
| Common Stock | 05/16/2024 | P | 1,724,137(3) | A | $2.9 | 1,724,137 | I | See footnote(4) | ||
| Common Stock | 1,866,859 | D | ||||||||
| Common Stock | 4,710,120 | I | See footnote(5) | |||||||
| Common Stock | 1,798,163 | I | See footnote(6) | |||||||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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. These shares of common stock were acquired directly from Allogene Therapeutics, Inc (the "Issuer") in a registered direct offering. |
| 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. Consists of 1,720,172 shares of common stock acquired by Vida Ventures III, L.P. and 3,965 shares of common stock acquired by Vida Ventures III A, L.P. from Goldman Sachs (the Underwriter) in a registered direct offering. |
| 4. The securities are held by Vida Ventures III, L.P. and Vida Ventures III-A, L.P. Vida Ventures GP III, LLC is the manager of Vida Ventures III, L.P. and Vida Ventures III-A, L.P. The reporting person is a Senior Managing Director of Vida Ventures GP III, LLC and may therefore be deemed to be the beneficial owner of the common shares held by Vida Ventures III, L.P. and Vida Ventures III-A, L.P. The reporting person disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein. |
| 5. The securities are held in the name of Bellco Legacy Trust fbo Rebecka Belldegrun, of which the reporting person's spouse is trustee and beneficiary. |
| 6. The securities are held by Vida Ventures LLC (Vida), of which VV Manager LLC is the manager. There porting 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. |
| Earl Douglas, Attorney-in-fact | 05/20/2024 | |
| ** 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 Number. | ||