0000947871-20-000371.txt : 20200409 0000947871-20-000371.hdr.sgml : 20200409 20200409173028 ACCESSION NUMBER: 0000947871-20-000371 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200407 FILED AS OF DATE: 20200409 DATE AS OF CHANGE: 20200409 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OrbiMed Capital GP IV LLC CENTRAL INDEX KEY: 0001502240 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38792 FILM NUMBER: 20785527 BUSINESS ADDRESS: STREET 1: 601 LEXINGTON AVENUE, 54TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-739-6400 MAIL ADDRESS: STREET 1: 601 LEXINGTON AVENUE, 54TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ORBIMED ADVISORS LLC CENTRAL INDEX KEY: 0001055951 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38792 FILM NUMBER: 20785528 BUSINESS ADDRESS: STREET 1: 601 LEXINGTON AVENUE STREET 2: 54TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 739-6400 MAIL ADDRESS: STREET 1: 601 LEXINGTON AVENUE STREET 2: 54TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Alector, Inc. CENTRAL INDEX KEY: 0001653087 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 462702363 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 151 OYSTER POINT BLVD., SUITE 300 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 415-231-5660 MAIL ADDRESS: STREET 1: 151 OYSTER POINT BLVD., SUITE 300 CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 FORMER COMPANY: FORMER CONFORMED NAME: Alector LLC DATE OF NAME CHANGE: 20150915 4 1 ownership.xml X0306 4 2020-04-07 0 0001653087 Alector, Inc. ALEC 0001055951 ORBIMED ADVISORS LLC 601 LEXINGTON AVENUE 54TH FLOOR NEW YORK NY 10022-4629 0 0 1 0 0001502240 OrbiMed Capital GP IV LLC 601 LEXINGTON AVENUE, 54TH FLOOR NEW YORK NY 10022 0 0 1 0 Common Stock 2020-04-07 4 S 0 6946 23.10 D 6301147 I See Footnotes Common Stock 2020-04-07 4 S 0 2224 23.10 D 2017374 I See Footnotes Common Stock 2020-04-08 4 S 0 62573 23.65 D 6238574 I See Footnotes Common Stock 2020-04-08 4 S 0 20041 23.65 D 1997333 I See Footnotes Common Stock 2020-04-09 4 S 0 218208 23.79 D 6020366 I See Footnotes Common Stock 2020-04-09 4 S 0 69893 23.79 D 1927440 I See Footnotes These shares of the Issuer's common stock ("Shares") were sold in a block order at a price of $23.10. The Shares are held of record by OrbiMed Private Investments IV-AL, LP ("OrbiMed IV-AL"). OrbiMed Capital GP IV LLC ("OrbiMed GP"), is the general partner of OrbiMed IV-AL. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended (the "Investment Advisers Act"), is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL and as a result may be deemed to have beneficial ownership over such securities. Each of OrbiMed GP and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Shares are held of record by OrbiMed Private Investments IV-AL (Feeder), LP ("OrbiMed IV-AL (Feeder)"). OrbiMed GP is the general partner of OrbiMed IV-AL (Feeder). OrbiMed Advisors is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL (Feeder) and as a result may be deemed to have beneficial ownership over such securities. These Shares were sold in a block order at a price of $23.65. These Shares were sold in a block order at a price of $23.79. /s/ Carl Gordon, Member of OrbiMed Advisors LLC 2020-04-09 /s/ Carl Gordon, Member of the Managing Member of OrbiMed Capital GP IV LLC 2020-04-09