Robert Paul - Jul 6, 2021 Form 4 Insider Report for Alector, Inc. (ALEC)

Role
Chief Medical Officer
Signature
/s/ David Oh, attorney-in-fact
Stock symbol
ALEC
Transactions as of
Jul 6, 2021
Transactions value $
-$1,394,564
Form type
4
Date filed
7/8/2021, 06:24 PM
Previous filing
Jul 6, 2021
Next filing
Aug 11, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ALEC Common Stock Options Exercise $515K +30K +12.8% $17.15 264K Jul 6, 2021 Direct
transaction ALEC Common Stock Sale -$359K -10.2K -3.87% $35.10 254K Jul 6, 2021 Direct F1, F2
transaction ALEC Common Stock Sale -$129K -3.6K -1.42% $35.95 250K Jul 6, 2021 Direct F1, F3
transaction ALEC Common Stock Sale -$37.4K -1K -0.4% $37.43* 249K Jul 6, 2021 Direct F1, F4
transaction ALEC Common Stock Sale -$138K -3.58K -1.44% $38.55* 246K Jul 6, 2021 Direct F1, F5
transaction ALEC Common Stock Sale -$411K -10.5K -4.27% $39.20* 235K Jul 6, 2021 Direct F1, F6
transaction ALEC Common Stock Sale -$44K -1.1K -0.47% $40.01* 234K Jul 6, 2021 Direct F1, F7
transaction ALEC Common Stock Options Exercise $59.5K +7.29K +3.11% $8.16 242K Jul 7, 2021 Direct
transaction ALEC Common Stock Options Exercise $120K +11.9K +4.92% $10.14 253K Jul 7, 2021 Direct
transaction ALEC Common Stock Options Exercise $181K +10.6K +4.17% $17.15 264K Jul 7, 2021 Direct
transaction ALEC Common Stock Sale -$183K -4.9K -1.86% $37.41* 259K Jul 7, 2021 Direct F1, F8
transaction ALEC Common Stock Sale -$294K -7.7K -2.97% $38.14* 251K Jul 7, 2021 Direct F1, F9
transaction ALEC Common Stock Sale -$674K -17.1K -6.82% $39.32* 234K Jul 7, 2021 Direct F1, F10

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 -30K -23.16% $0.00 99.5K Jul 6, 2021 Common Stock 30K $17.15 Direct F11
transaction ALEC Employee Stock Option (right to buy) Options Exercise $0 -7.29K -7.44% $0.00 90.7K Jul 7, 2021 Common Stock 7.29K $8.16 Direct F12
transaction ALEC Employee Stock Option (right to buy) Options Exercise $0 -11.9K -22.91% $0.00 40K Jul 7, 2021 Common Stock 11.9K $10.14 Direct F13
transaction ALEC Employee Stock Option (right to buy) Options Exercise $0 -10.6K -10.62% $0.00 89K Jul 7, 2021 Common Stock 10.6K $17.15 Direct F11
* 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 on May 28, 2020.
F2 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.65 to $35.63, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) through (10) to this Form 4.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.66 to $36.64, inclusive.
F4 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.80 to $37.78, inclusive.
F5 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.81 to $38.79, inclusive.
F6 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.81 to $39.79, inclusive.
F7 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.91 to $40.16, inclusive.
F8 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.70 to $37.69, inclusive.
F9 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.70 to $38.54, inclusive.
F10 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.95 to $39.62, inclusive.
F11 Shares subject to the option vest in 48 equal monthly installments beginning on December 6, 2019.
F12 Shares subject to the option vest in 48 equal monthly installments beginning on August 2, 2018.
F13 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 shares subject vest monthly thereafter.