0001593968-23-000583.txt : 20230405 0001593968-23-000583.hdr.sgml : 20230405 20230405184325 ACCESSION NUMBER: 0001593968-23-000583 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230401 FILED AS OF DATE: 20230405 DATE AS OF CHANGE: 20230405 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Lillian CENTRAL INDEX KEY: 0001971448 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38693 FILM NUMBER: 23803875 MAIL ADDRESS: STREET 1: 210 EAST GRAND AVE 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 2023-04-01 0001737287 Allogene Therapeutics, Inc. ALLO 0001971448 Smith Lillian 210 EAST GRAND AVE SOUTH SAN FRANCISCO CA 94080 true VP, Corporate Counsel false Common Stock 2023-04-01 2023-04-03 4 A false 56545 0 A 140390 D Represents 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 on March 22nd, 2026 if such threshold has not been met, and (2) any portion that vests upon product candidate approval shall no longer vest and be terminated after March 22nd, 2028 if such approval has not occurred. /s/Lillian Smith 2023-04-05