Allakos Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 20 rows, 20 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-07-23: Reporting owner Redmile Group, LLC | Green Jeremy; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2018-07-23: Reporting owner MCKEARN JOHN P; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2018-07-23: Reporting owner MCKEARN JOHN P; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
- 2018-07-23: Reporting owner RiverVest Venture Fund III (Ohio), L.P. | RiverVest Venture Fund II (Ohio), L.P. | 3x5 RiverVest Fund II, L.P. | RiverVest Venture Fund III, L.P. | 3x5 RiverVest Fund II-B, L.P. | RIVERVEST VENTURE FUND II L P; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-07-23 | Redmile Group, LLC | Green Jeremy 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,261,365 0 owned after | $0.00 | 2018-07-24 | |
| 2018-07-23 | MCKEARN JOHN P Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −6,482,724 0 owned after | $0.00 | 2018-07-23 | |
| 2018-07-23 | MCKEARN JOHN P Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −777,417 0 owned after | $0.00 | 2018-07-23 | |
| 2018-07-23 | RiverVest Venture Fund III (Ohio), L.P. | RiverVest Venture Fund II (Ohio), L.P. | 3x5 RiverVest Fund II, L.P. | RiverVest Venture Fund III, L.P. | 3x5 RiverVest Fund II-B, L.P. | RIVERVEST VENTURE FUND II L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −6,482,724 0 owned after | $0.00 | 2018-07-23 | |
| 2018-07-23 | RiverVest Venture Fund III (Ohio), L.P. | RiverVest Venture Fund II (Ohio), L.P. | 3x5 RiverVest Fund II, L.P. | RiverVest Venture Fund III, L.P. | 3x5 RiverVest Fund II-B, L.P. | RIVERVEST VENTURE FUND II L P 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −777,417 0 owned after | $0.00 | 2018-07-23 | |
| 2018-07-23 | JANNEY DANIEL Director, 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −10,030,193 0 owned after | $0.00 | 2018-07-23 | |
| 2018-07-23 | JANNEY DANIEL Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,239,007 0 owned after | $0.00 | 2018-07-23 | |
| 2018-07-23 | Alta Partners VIII, L.P. | MORE ROBERT J | NOHRA GUY P | CHAMPSI FARAH | Alta Partners NextGen Fund I, L.P. | Hudson Peter A | Alta Partners Management VIII, LLC | Alta Partners NextGen Fund I Management, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −10,030,193 0 owned after | $0.00 | 2018-07-23 | |
| 2018-07-23 | Alta Partners VIII, L.P. | MORE ROBERT J | NOHRA GUY P | CHAMPSI FARAH | Alta Partners NextGen Fund I, L.P. | Hudson Peter A | Alta Partners Management VIII, LLC | Alta Partners NextGen Fund I Management, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,239,007 0 owned after | $0.00 | 2018-07-23 | |
| 2018-07-18 holding as of filing | Redmile Group, LLC | Green Jeremy 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2018-07-18 | ||
| 2018-07-18 holding as of filing | ROCHE HOLDING LTD | ROCHE FINANCE LTD 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2018-07-18 | ||
| 2018-07-18 holding as of filing | ROCHE HOLDING LTD | ROCHE FINANCE LTD 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2018-07-18 | ||
| 2018-07-18 holding as of filing | MCKEARN JOHN P Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2018-07-18 | ||
| 2018-07-18 holding as of filing | MCKEARN JOHN P Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2018-07-18 | ||
| 2018-07-18 holding as of filing | RIVERVEST VENTURE FUND II L P | 3x5 RiverVest Fund II, L.P. | RiverVest Venture Fund III, L.P. | 3x5 RiverVest Fund II-B, L.P. | RiverVest Venture Fund II (Ohio), L.P. | RiverVest Venture Fund III (Ohio), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2018-07-18 | ||
| 2018-07-18 holding as of filing | RIVERVEST VENTURE FUND II L P | 3x5 RiverVest Fund II, L.P. | RiverVest Venture Fund III, L.P. | 3x5 RiverVest Fund II-B, L.P. | RiverVest Venture Fund II (Ohio), L.P. | RiverVest Venture Fund III (Ohio), L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2018-07-18 | ||
| 2018-07-18 holding as of filing | JANNEY DANIEL Director, 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2018-07-18 | ||
| 2018-07-18 holding as of filing | JANNEY DANIEL Director, 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2018-07-18 | ||
| 2018-07-18 holding as of filing | NOHRA GUY P | Alta Partners Management VIII, LLC | MORE ROBERT J | Alta Partners NextGen Fund I Management, LLC | Alta Partners NextGen Fund I, L.P. | Alta Partners VIII, L.P. | CHAMPSI FARAH | Hudson Peter A 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2018-07-18 | ||
| 2018-07-18 holding as of filing | NOHRA GUY P | Alta Partners Management VIII, LLC | MORE ROBERT J | Alta Partners NextGen Fund I Management, LLC | Alta Partners NextGen Fund I, L.P. | Alta Partners VIII, L.P. | CHAMPSI FARAH | Hudson Peter A 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · See footnote | Holding | no price filed | 2018-07-18 |