Robert Paul - 06 Jul 2021 Form 4 Insider Report for Alector, Inc. (ALEC)

Role
Chief Medical Officer
Signature
/s/ David Oh, attorney-in-fact
Issuer symbol
ALEC
Transactions as of
06 Jul 2021
Net transactions value
-$1,394,564
Form type
4
Filing time
08 Jul 2021, 18:24:42 UTC
Previous filing
06 Jul 2021
Next filing
11 Aug 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ALEC Common Stock Options Exercise $514,500 +30,000 +13% $17.15 264,319 06 Jul 2021 Direct
transaction ALEC Common Stock Sale $358,813 -10,224 -3.9% $35.10 254,095 06 Jul 2021 Direct F1, F2
transaction ALEC Common Stock Sale $129,433 -3,600 -1.4% $35.95 250,495 06 Jul 2021 Direct F1, F3
transaction ALEC Common Stock Sale $37,434 -1,000 -0.4% $37.43* 249,495 06 Jul 2021 Direct F1, F4
transaction ALEC Common Stock Sale $138,059 -3,581 -1.4% $38.55* 245,914 06 Jul 2021 Direct F1, F5
transaction ALEC Common Stock Sale $411,411 -10,495 -4.3% $39.20* 235,419 06 Jul 2021 Direct F1, F6
transaction ALEC Common Stock Sale $44,016 -1,100 -0.47% $40.01* 234,319 06 Jul 2021 Direct F1, F7
transaction ALEC Common Stock Options Exercise $59,503 +7,292 +3.1% $8.16 241,611 07 Jul 2021 Direct
transaction ALEC Common Stock Options Exercise $120,494 +11,883 +4.9% $10.14 253,494 07 Jul 2021 Direct
transaction ALEC Common Stock Options Exercise $181,344 +10,574 +4.2% $17.15 264,068 07 Jul 2021 Direct
transaction ALEC Common Stock Sale $183,332 -4,900 -1.9% $37.41* 259,168 07 Jul 2021 Direct F1, F8
transaction ALEC Common Stock Sale $293,686 -7,700 -3% $38.14* 251,468 07 Jul 2021 Direct F1, F9
transaction ALEC Common Stock Sale $674,220 -17,149 -6.8% $39.32* 234,319 07 Jul 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 -30,000 -23% $0.000000 99,549 06 Jul 2021 Common Stock 30,000 $17.15 Direct F11
transaction ALEC Employee Stock Option (right to buy) Options Exercise $0 -7,292 -7.4% $0.000000 90,691 07 Jul 2021 Common Stock 7,292 $8.16 Direct F12
transaction ALEC Employee Stock Option (right to buy) Options Exercise $0 -11,883 -23% $0.000000 39,984 07 Jul 2021 Common Stock 11,883 $10.14 Direct F13
transaction ALEC Employee Stock Option (right to buy) Options Exercise $0 -10,574 -11% $0.000000 88,975 07 Jul 2021 Common Stock 10,574 $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.