Sec Form 4 Filing - Alexander Robert @ Allakos Inc. - 2021-06-02

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Alexander Robert
2. Issuer Name and Ticker or Trading Symbol
Allakos Inc. [ ALLK]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chief Executive Officer
(Last) (First) (Middle)
975 ISLAND DRIVE, SUITE 201
3. Date of Earliest Transaction (MM/DD/YY)
06/02/2021
(Street)
REDWOOD CITY, CA94065
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 06/04/2021 S 14,516 D $ 89.64 ( 1 ) 237,795 ( 2 ) ( 3 ) D
Common Stock 06/04/2021 M 14,516 A $ 0.6875 252,311 ( 2 ) ( 3 ) D
Common Stock 06/04/2021 S 3,597 D $ 89.62 ( 4 ) 237,795 ( 2 ) ( 3 ) D
Common Stock 06/03/2021 F 4,003 ( 5 ) D $ 92.2 241,392 ( 2 ) ( 3 ) D
Common Stock 06/03/2021 S 14,517 D $ 92.14 ( 6 ) 245,395 ( 2 ) ( 3 ) D
Common Stock 06/03/2021 M 14,517 A $ 0.6875 259,912 ( 2 ) ( 3 ) D
Common Stock 06/02/2021 S 14,517 D $ 94.55 ( 7 ) 245,395 ( 2 ) ( 3 ) D
Common Stock 06/02/2021 M 14,517 A $ 0.6875 259,912 ( 2 ) ( 3 ) D
Common Stock 06/04/2021 S 5,482 D $ 89.64 ( 8 ) 320,300 I See footnote ( 9 )
Common Stock 06/03/2021 S 5,484 D $ 92.09 ( 10 ) 325,782 I See footnote ( 9 )
Common Stock 06/02/2021 S 5,484 D $ 94.56 ( 11 ) 331,266 I See footnote ( 9 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to buy) $ 0.6875 06/04/2021 M 14,516 ( 12 ) 05/17/2027 Common Stock 14,516 $ 0 912,500 D
Stock Option (Right to buy) $ 0.6875 06/03/2021 M 14,517 ( 12 ) 05/17/2027 Common Stock 14,517 $ 0 927,016 D
Stock Option (Right to buy) $ 0.6875 06/02/2021 M 14,517 ( 12 ) 05/17/2027 Common Stock 14,517 $ 0 941,533 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Alexander Robert
975 ISLAND DRIVE, SUITE 201
REDWOOD CITY, CA94065
X Chief Executive Officer
Signatures
/s/ Robert Alexander 06/04/2021
Signature of Reporting Person Date
Explanation of Responses:
( 1 )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.
( 2 )Includes shares of common stock purchased under the Company's 2018 Employee Stock Purchase Plan.
( 3 )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.
( 4 )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.
( 5 )Shares withheld to satisfy the tax obligations by the reporting person in connection with the vesting of RSUs.
( 6 )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.
( 7 )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.
( 8 )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.
( 9 )The shares are held by Mr. Alexander and Stacey Lee Alexander, as Trustees of the Alexander 2018 Irrevocable Descendants' Trust.
( 10 )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.
( 11 )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.
( 12 )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.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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