Calvin Yu - Jul 2, 2021 Form 4 Insider Report for Alector, Inc. (ALEC)

Role
Vice President, Finance
Signature
/s/ David Oh, by power of attorney
Stock symbol
ALEC
Transactions as of
Jul 2, 2021
Transactions value $
-$2,902,224
Form type
4
Date filed
7/7/2021, 07:38 PM
Previous filing
Jun 3, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ALEC Common Stock Options Exercise $150K +18.4K +14.54% $8.16 145K Jul 2, 2021 Direct
transaction ALEC Common Stock Options Exercise $114K +11.3K +7.75% $10.14 156K Jul 2, 2021 Direct
transaction ALEC Common Stock Options Exercise $535K +31.2K +19.94% $17.15 188K Jul 2, 2021 Direct
transaction ALEC Common Stock Sale -$2.83M -90.8K -48.44% $31.14 96.7K Jul 2, 2021 Direct F1
transaction ALEC Common Stock Sale -$800K -20K -20.69% $40.02* 76.7K Jul 2, 2021 Direct F1, F2
transaction ALEC Common Stock Options Exercise $8.5K +1.04K +1.36% $8.16 77.7K Jul 6, 2021 Direct
transaction ALEC Common Stock Options Exercise $6.34K +625 +0.8% $10.14 78.4K Jul 6, 2021 Direct
transaction ALEC Common Stock Options Exercise $28.6K +1.67K +2.13% $17.15 80K Jul 6, 2021 Direct
transaction ALEC Common Stock Sale -$116K -3.33K -4.17% $34.65 76.7K Jul 6, 2021 Direct F1

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 ALEC Employee Stock Option (right to buy) Options Exercise $0 -18.4K -56.61% $0.00 14.1K Jul 2, 2021 Common Stock 18.4K $8.16 Direct F3
transaction ALEC Employee Stock Option (right to buy) Options Exercise $0 -11.3K -51.43% $0.00 10.6K Jul 2, 2021 Common Stock 11.3K $10.14 Direct F4
transaction ALEC Employee Stock Option (right to buy) Options Exercise $0 -31.2K -38.96% $0.00 48.8K Jul 2, 2021 Common Stock 31.2K $17.15 Direct F5
transaction ALEC Employee Stock Option (right to buy) Options Exercise $0 -1.04K -7.38% $0.00 13.1K Jul 6, 2021 Common Stock 1.04K $8.16 Direct F3
transaction ALEC Employee Stock Option (right to buy) Options Exercise $0 -625 -5.88% $0.00 10K Jul 6, 2021 Common Stock 625 $10.14 Direct F4
transaction ALEC Employee Stock Option (right to buy) Options Exercise $0 -1.67K -3.41% $0.00 47.2K Jul 6, 2021 Common Stock 1.67K $17.15 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The sales reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted August 31, 2020.
F2 The sale price reported in column 4 of Table I represents the weighted average sale price of the shares purchased ranging from $40.00 to $40.32 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
F3 Shares subject to the option vest in 48 equal monthly installments beginning on August 2, 2018.
F4 One-fourth of the total number of shares subject to the option grant vested on November 1, 2019, and an additional 1/48th of the total number of shares vest monthly thereafter.
F5 Shares subject to the option vest in 48 equal monthly installments beginning on December 6, 2019.