0001593968-23-000529.txt : 20230324 0001593968-23-000529.hdr.sgml : 20230324 20230324201918 ACCESSION NUMBER: 0001593968-23-000529 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230322 FILED AS OF DATE: 20230324 DATE AS OF CHANGE: 20230324 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MOORE ALISON CENTRAL INDEX KEY: 0001754937 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38693 FILM NUMBER: 23761247 MAIL ADDRESS: STREET 1: C/O ALLOGENE THERAPEUTICS, INC. STREET 2: 210 EAST GRAND AVENUE CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Allogene Therapeutics, Inc. CENTRAL INDEX KEY: 0001737287 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 823562771 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 210 EAST GRAND AVENUE CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: (650) 457-2700 MAIL ADDRESS: STREET 1: 210 EAST GRAND AVENUE CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 4 1 primary_01.xml PRIMARY DOCUMENT X0407 4 2023-03-22 0001737287 Allogene Therapeutics, Inc. ALLO 0001754937 MOORE ALISON 210 EAST GRAND AVENUE SOUTH SAN FRANCISCO CA 94080 true Chief Technical Officer false Common Stock 2023-03-22 4 A false 558094 0 A 672731 D Stock Option (Right to buy) 5.04 2023-03-22 4 A false 432738 0 A 2033-03-22 Common Stock 432738 432738 D Includes 429,303 of performance RSUs which shall vest as follows: (1) 33% shall vest if the 30-day weighted average stock price is equal to or greater than $18 and (2) 67% shall vest upon the first regulatory approval of a product candidate. Notwithstanding the foregoing (1) any portion that vests upon the stock price threshold shall no longer vest and be terminated after three years from the grant date if such threshold has not been met in such three-year period, and (2) any portion that vests upon product candidate approval shall no longer vest and be terminated after five years from the grant date if such approval has not occurred in such five-year period. 25% of the shares subject to the stock option shall vest on March 13, 2024, and the remaining shares shall vest in 36 equal monthly installments thereafter. /s/Veer Bhavnagri, Attorney-in-Fact 2023-03-24