0001209191-19-009780.txt : 20190213
0001209191-19-009780.hdr.sgml : 20190213
20190213173337
ACCESSION NUMBER: 0001209191-19-009780
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190211
FILED AS OF DATE: 20190213
DATE AS OF CHANGE: 20190213
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: PVP VI (AIV) Feeder Corp. Holding Partnership, L.P.
CENTRAL INDEX KEY: 0001767130
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38792
FILM NUMBER: 19598913
BUSINESS ADDRESS:
STREET 1: ONE MARINA PARK DRIVE
STREET 2: 10TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02210
BUSINESS PHONE: 8557873500
MAIL ADDRESS:
STREET 1: ONE MARINA PARK DRIVE
STREET 2: 10TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02210
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Polaris Venture Partners VI, L.P.
CENTRAL INDEX KEY: 0001493463
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38792
FILM NUMBER: 19598914
BUSINESS ADDRESS:
STREET 1: ONE MARINA PARK DRIVE, 10TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02210
BUSINESS PHONE: 781-290-0770
MAIL ADDRESS:
STREET 1: ONE MARINA PARK DRIVE, 10TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02210
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Polaris Venture Partners Founders' Fund VI, L.P.
CENTRAL INDEX KEY: 0001575691
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38792
FILM NUMBER: 19598915
BUSINESS ADDRESS:
STREET 1: ONE MARINA PARK DRIVE, 10TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02210
BUSINESS PHONE: 885-787-3500
MAIL ADDRESS:
STREET 1: ONE MARINA PARK DRIVE, 10TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02210
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Polaris Venture Partners VI (AIV), L.P.
CENTRAL INDEX KEY: 0001767127
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38792
FILM NUMBER: 19598916
BUSINESS ADDRESS:
STREET 1: ONE MARINA PARK DRIVE
STREET 2: 10TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02210
BUSINESS PHONE: 8557873500
MAIL ADDRESS:
STREET 1: ONE MARINA PARK DRIVE
STREET 2: 10TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02210
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Polaris Venture Management Co. VI, L.L.C.
CENTRAL INDEX KEY: 0001665594
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38792
FILM NUMBER: 19598917
BUSINESS ADDRESS:
STREET 1: ONE MARINA PARK DRIVE
STREET 2: 10TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02210
BUSINESS PHONE: (855) 787-3500
MAIL ADDRESS:
STREET 1: ONE MARINA PARK DRIVE
STREET 2: 10TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02210
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
doc4.xml
FORM 4 SUBMISSION
X0306
4
2019-02-11
0
0001653087
Alector, Inc.
ALEC
0001665594
Polaris Venture Management Co. VI, L.L.C.
ONE MARINA PARK DRIVE, 10TH FLOOR
BOSTON
MA
02210
0
0
1
0
0001767127
Polaris Venture Partners VI (AIV), L.P.
ONE MARINA PARK DRIVE, 10TH FLOOR
BOSTON
MA
02210
0
0
1
0
0001575691
Polaris Venture Partners Founders' Fund VI, L.P.
ONE MARINA PARK DRIVE, 10TH FLOOR
BOSTON
MA
02210
0
0
1
0
0001493463
Polaris Venture Partners VI, L.P.
ONE MARINA PARK DRIVE, 10TH FLOOR
BOSTON
MA
02210
0
0
1
0
0001767130
PVP VI (AIV) Feeder Corp. Holding Partnership, L.P.
ONE MARINA PARK DRIVE, 10TH FLOOR
BOSTON
MA
02210
0
0
1
0
Common Stock
2019-02-11
4
C
0
500000
A
500000
I
See footnote
Common Stock
2019-02-11
4
C
0
5274725
A
5774725
I
See footnotes
Common Stock
2019-02-11
4
C
0
2500000
A
8274725
I
See footnotes
Common Stock
2019-02-11
4
C
0
2808989
A
11083714
I
See footnotes
Common Stock
2019-02-11
4
C
0
1246883
A
12330597
I
See footnotes
Common Stock
2019-02-11
4
C
0
527597
A
12858194
I
See footnotes
Series A-1 Preferred Stock
2019-02-11
4
C
0
500000
0.00
D
Common Stock
500000
0
I
See footnote
Series A-2 Preferred Stock
2019-02-11
4
C
0
5274725
0.00
D
Common Stock
5274725
0
I
See footnote
Series B Preferred Stock
2019-02-11
4
C
0
2500000
0.00
D
Common Stock
2500000
0
I
See footnote
Series C Preferred Stock
2019-02-11
4
C
0
2808989
0.00
D
Common Stock
2808989
0
I
See footnote
Series D Preferred Stock
2019-02-11
4
C
0
1246883
0.00
D
Common Stock
1246883
0
I
See footnote
Series E Preferred Stock
2019-02-11
4
C
0
527597
0.00
D
Common Stock
527597
0
I
See footnote
Each of the Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date.
27,606 shares are held by Polaris Venture Partners Founders' Fund VI, L.P ("PVPFF VI"), 379,174 shares are held by Polaris Venture Partners VI (AIV), L.P. ("PVP VI AIV") and 93,220 shares are held by PVP VI (AIV) Feeder Corp. Holding Partnership, L.P. ("PVP VI Feeder" and, together with PVP VI AIV, PVPFF VI, and Polaris Venture Partners VI, L.P. ("PVP VI"), the "Polaris Funds"). The general partner of each of the Polaris Funds is Polaris Venture Management Co. VI, L.L.C. ("PVM"). PVM disclaims beneficial ownership of the securities held by the Polaris Funds, and this report shall not be deemed an admission that PVM is the beneficial owner of such securities, except to the extent of its pecuniary interest therein, if any.
291,223 shares are held by PVPFF VI, 4,000,075 shares are held by PVP VI AIV and 983,427 shares are held by PVP VI Feeder. PVM disclaims beneficial ownership of the securities held by the Polaris Funds, and this report shall not be deemed an admission that PVM is the beneficial owner of such securities, except to the extent of its pecuniary interest therein, if any.
138,030 shares are held by PVPFF VI, 1,895,867 shares are held by PVP VI AIV and 466,103 shares are held by PVP VI Feeder. PVM disclaims beneficial ownership of the securities held by the Polaris Funds, and this report shall not be deemed an admission that PVM is the beneficial owner of such securities, except to the extent of its pecuniary interest therein, if any.
155,087 shares are held by PVPFF VI, 2,130,190 shares are held by PVP VI AIV and 523,712 shares are held by PVP VI Feeder. PVM disclaims beneficial ownership of the securities held by the Polaris Funds, and this report shall not be deemed an admission that PVM is the beneficial owner of such securities, except to the extent of its pecuniary interest therein, if any.
68,842 shares are held by PVPFF VI, 945,571 shares are held by PVP VI AIV and 232,470 shares are held by PVP VI Feeder. PVM disclaims beneficial ownership of the securities held by the Polaris Funds, and this report shall not be deemed an admission that PVM is the beneficial owner of such securities, except to the extent of its pecuniary interest therein, if any.
29,129 shares are held by PVPFF VI and 498,468 shares are held by PVP VI. PVM disclaims beneficial ownership of the securities held by the Polaris Funds, and this report shall not be deemed an admission that PVM is the beneficial owner of such securities, except to the extent of its pecuniary interest therein, if any.
/s/ Terrance McGuire, Managing Member of Polaris Venture Management Co. VI, L.L.C.
2019-02-13
/s/ Terrance McGuire, Managing Member of Polaris Venture Management Co. VI, L.L.C., general partner of Polaris Venture Partners VI (AIV), L.P.
2019-02-13
/s/ Terrance McGuire, Managing Member of Polaris Venture Management Co. VI, L.L.C., general partner of Polaris Venture Partners Founders' Fund VI, L.P.
2019-02-13
/s/ Terrance McGuire, Managing Member of Polaris Venture Management Co. VI, L.L.C., general partner of Polaris Venture Partners VI, L.P.
2019-02-13
/s/ Terrance McGuire, Managing Member of Polaris Venture Management Co. VI, L.L.C., general partner of PVP VI (AIV) Feeder Corp. Holding Partnership, L.P.
2019-02-13