Robert Alexander - 17 May 2021 Form 4/A - Amendment Insider Report for Allakos Inc. (ALLK)

Role: Chief Executive Officer, Director
Signature: /s/ Robert Alexander
Issuer symbol: ALLK
Transactions as of: 17 May 2021
Net transactions value: -$5,988,480
Form type: 4/A - Amendment
Filing time: 27 May 2021, 06:00:22 UTC
Date Of Original Report: 19 May 2021
Next filing: 04 Jun 2021
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	ALLK	Common Stock	Sale	$1,436,213	-14,516	-5.6%	$98.94^*	245,395	19 May 2021	Direct	F1, F2, F3
transaction	ALLK	Common Stock	Options Exercise	$9,980	+14,516	+5.9%	$0.6875^*	259,911	19 May 2021	Direct	F2, F3
transaction	ALLK	Common Stock	Sale	$1,485,379	-14,517	-5.6%	$102.32^*	245,395	18 May 2021	Direct	F2, F3, F4
transaction	ALLK	Common Stock	Options Exercise	$9,980	+14,517	+5.9%	$0.6875^*	259,912	18 May 2021	Direct	F2, F3
transaction	ALLK	Common Stock	Sale	$1,447,055	-14,517	-5.6%	$99.68^*	245,395	17 May 2021	Direct	F2, F3, F5
transaction	ALLK	Common Stock	Options Exercise	$9,980	+14,517	+5.9%	$0.6875^*	259,912	17 May 2021	Direct	F2, F3
transaction	ALLK	Common Stock	Sale	$542,115	-5,482	-1.6%	$98.89^*	336,750	19 May 2021	See footnote	F6, F7
transaction	ALLK	Common Stock	Sale	$560,958	-5,484	-1.6%	$102.29^*	342,232	18 May 2021	See footnote	F7, F8
transaction	ALLK	Common Stock	Sale	$546,700	-5,484	-1.6%	$99.69^*	347,716	17 May 2021	See footnote	F7, F9

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	ALLK	Stock Option (Right to buy)	Options Exercise	$0	-14,516	-1.5%	$0.000000	956,050	19 May 2021	Common Stock	14,516	$0.6875	Direct	F10
transaction	ALLK	Stock Option (Right to buy)	Options Exercise	$0	-14,517	-1.5%	$0.000000	970,566	18 May 2021	Common Stock	14,517	$0.6875	Direct	F10
transaction	ALLK	Stock Option (Right to buy)	Options Exercise	$0	-14,517	-1.5%	$0.000000	985,083	17 May 2021	Common Stock	14,517	$0.6875	Direct	F10

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 10, 2021. This transaction was executed in multiple trades at prices ranging from $97.84 to $100.68 per share. The sale price reported represents the weighted average sale price. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person hereby undertakes to provide full information regarding the number of shares sold at each separate price.
F2	Includes shares of common stock purchased under the Company's 2018 Employee Stock Purchase Plan.
F3	Includes 7,905 shares received as a pro-rata in-kind distribution of Common Stock of the Issuer by Alta Partners Management VIII, LLC (APM VIII), without consideration, to the Reporting Person as a non-managing member of APM VIII.
F4	This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 10, 2021. This transaction was executed in multiple trades at prices ranging from $100.75 to $104.55 per share. The sale price reported represents the weighted average sale price. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person hereby undertakes to provide full information regarding the number of shares sold at each separate price.
F5	This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 10, 2021. This transaction was executed in multiple trades at prices ranging from $97.29 to $100.91 per share. The sale price reported represents the weighted average sale price. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person hereby undertakes to provide full information regarding the number of shares sold at each separate price.
F6	This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 11, 2021. This transaction was executed in multiple trades at prices ranging from $97.53 to $100.48 per share. The sale price reported represents the weighted average sale price. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person hereby undertakes to provide full information regarding the number of shares sold at each separate price.
F7	The shares are held by Mr. Alexander and Stacey Lee Alexander, as Trustees of the Alexander 2018 Irrevocable Descendants' Trust.
F8	This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 11, 2021. This transaction was executed in multiple trades at prices ranging from $100.84 to $104.54 per share. The sale price reported represents the weighted average sale price. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person hereby undertakes to provide full information regarding the number of shares sold at each separate price.
F9	This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 11, 2021. This transaction was executed in multiple trades at prices ranging from $97.23 to $100.63 per share. The sale price reported represents the weighted average sale price. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person hereby undertakes to provide full information regarding the number of shares sold at each separate price.
F10	On May 17, 2017, the Reporting Person was granted an option to purchase 1,412,800 ordinary shares pursuant to the Company's 2012 Equity Incentive Plan. The option vests as to one-fourth of the shares on May 17, 2018, and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.

Remarks:

This Form 4/A amends and restates in its entirety the Form 4 that was filed on May 19, 2021 (the "Original Form 4"). The purpose of this Form 4/A is to correctly characterize certain transactions as having been effected pursuant to a Rule 10b5-1 plan. Further, this Form 4/A includes transactions of indirectly held shares that were omitted from the Original Form 4.