Robert Alexander - 02 Jun 2021 Form 4 Insider Report for Allakos Inc. (ALLK)

Role
Chief Executive Officer, Director
Signature
/s/ Robert Alexander
Issuer symbol
ALLK
Transactions as of
02 Jun 2021
Net transactions value
-$6,187,887
Form type
4
Filing time
04 Jun 2021, 21:09:48 UTC
Previous filing
27 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 $1,301,214 -14,516 -5.8% $89.64* 237,795 04 Jun 2021 Direct F1, F2, F3
transaction ALLK Common Stock Options Exercise $9,980 +14,516 +6.1% $0.6875* 252,311 04 Jun 2021 Direct F2, F3
transaction ALLK Common Stock Sale $322,363 -3,597 -1.5% $89.62* 237,795 04 Jun 2021 Direct F2, F3, F4
transaction ALLK Common Stock Tax liability $369,077 -4,003 -1.6% $92.20* 241,392 03 Jun 2021 Direct F2, F3, F5
transaction ALLK Common Stock Sale $1,337,596 -14,517 -5.6% $92.14* 245,395 03 Jun 2021 Direct F2, F3, F6
transaction ALLK Common Stock Options Exercise $9,980 +14,517 +5.9% $0.6875* 259,912 03 Jun 2021 Direct F2, F3
transaction ALLK Common Stock Sale $1,372,582 -14,517 -5.6% $94.55* 245,395 02 Jun 2021 Direct F2, F3, F7
transaction ALLK Common Stock Options Exercise $9,980 +14,517 +5.9% $0.6875* 259,912 02 Jun 2021 Direct F2, F3
transaction ALLK Common Stock Sale $491,406 -5,482 -1.7% $89.64* 320,300 04 Jun 2021 See footnote F8, F9
transaction ALLK Common Stock Sale $505,022 -5,484 -1.7% $92.09* 325,782 03 Jun 2021 See footnote F9, F10
transaction ALLK Common Stock Sale $518,567 -5,484 -1.6% $94.56* 331,266 02 Jun 2021 See footnote F9, F11

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 -1.6% $0.000000 912,500 04 Jun 2021 Common Stock 14,516 $0.6875 Direct F12
transaction ALLK Stock Option (Right to buy) Options Exercise $0 -14,517 -1.5% $0.000000 927,016 03 Jun 2021 Common Stock 14,517 $0.6875 Direct F12
transaction ALLK Stock Option (Right to buy) Options Exercise $0 -14,517 -1.5% $0.000000 941,533 02 Jun 2021 Common Stock 14,517 $0.6875 Direct F12
* 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 $88.22 to $92.06 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 $88.29 to $90.86 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 Shares withheld to satisfy the tax obligations by the reporting person in connection with the vesting of RSUs.
F6 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 $90.17 to $95.86 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 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 $93.22 to $96.04 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.
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 $88.22 to $90.81 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 The shares are held by Mr. Alexander and Stacey Lee Alexander, as Trustees of the Alexander 2018 Irrevocable Descendants' Trust.
F10 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 $90.60 to $95.36 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.
F11 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 $93.38 to $95.46 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.
F12 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.