0001415889-24-018595.txt : 20240701 0001415889-24-018595.hdr.sgml : 20240701 20240701163802 ACCESSION NUMBER: 0001415889-24-018595 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240701 FILED AS OF DATE: 20240701 DATE AS OF CHANGE: 20240701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goldstein David M CENTRAL INDEX KEY: 0001751719 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-42143 FILM NUMBER: 241091206 MAIL ADDRESS: STREET 1: C/O ALUMIS INC. STREET 2: 280 EAST GRAND AVENUE CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 FORMER NAME: FORMER CONFORMED NAME: Goldstein David DATE OF NAME CHANGE: 20180830 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ALUMIS INC. CENTRAL INDEX KEY: 0001847367 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 280 EAST GRAND AVENUE CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 650-231-6625 MAIL ADDRESS: STREET 1: 280 EAST GRAND AVENUE CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 FORMER COMPANY: FORMER CONFORMED NAME: ESKER THERAPEUTICS, INC. DATE OF NAME CHANGE: 20230427 FORMER COMPANY: FORMER CONFORMED NAME: FL2021-001, Inc. DATE OF NAME CHANGE: 20210222 4 1 form4-07012024_080757.xml X0508 4 2024-07-01 0001847367 ALUMIS INC. ALMS 0001751719 Goldstein David M C/O ALUMIS INC. 280 EAST GRAND AVENUE SOUTH SAN FRANCISCO CA 94080 false true false false Chief Scientific Officer 0 Class A Common Stock 2024-07-01 4 D 0 213903 D 0 I By Trust Common Stock 2024-07-01 4 A 0 213903 A 213903 I By Trust Class A Common Stock 2024-07-01 4 D 0 2994 D 0 I By Family Members Common Stock 2024-07-01 4 A 0 2994 A 2994 I By Family Members Stock Option (Right to Buy) 8.84 2024-07-01 4 D 0 42780 0 D 2032-01-26 Class A Common Stock 42780 0 D Stock Option (Right to Buy) 8.84 2024-07-01 4 A 0 42780 0 A 2032-01-26 Common Stock 42780 42780 D Stock Option (Right to Buy) 8.84 2024-07-01 4 D 0 171122 0 D 2032-01-26 Class A Common Stock 171122 0 D Stock Option (Right to Buy) 8.84 2024-07-01 4 A 0 171122 0 A 2032-01-26 Common Stock 171122 171122 D Stock Option (Right to Buy) 8.84 2024-07-01 4 D 0 11978 0 D 2033-06-22 Class A Common Stock 11978 0 D Stock Option (Right to Buy) 8.84 2024-07-01 4 A 0 11978 0 A 2033-06-22 Common Stock 11978 11978 D Stock Option (Right to Buy) 8.84 2024-07-01 4 D 0 30642 0 D 2033-10-08 Class A Common Stock 30642 0 D Stock Option (Right to Buy) 8.84 2024-07-01 4 A 0 30642 0 A 2033-10-08 Common Stock 30642 30642 D Stock Option (Right to Buy) 10.2 2024-07-01 4 D 0 206074 0 D 2034-05-05 Class A Common Stock 206074 0 D Stock Option (Right to Buy) 10.2 2024-07-01 4 A 0 206074 0 A 2034-05-05 Common Stock 206074 206074 D Stock Option (Right to Buy) 13.33 2024-07-01 4 D 0 53475 0 D 2034-06-05 Class A Common Stock 53475 0 D Stock Option (Right to Buy) 13.33 2024-07-01 4 A 0 53475 0 A 2034-06-05 Common Stock 53475 53475 D Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. Shares are held directly by the Baily Goldstein Living Trust dated March 4, 2014, for which the Reporting Person serves as a trustee. Shares are held directly by family members of Reporting Person residing in his primary residence. 25% of the shares underlying this option vested on January 27, 2023, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. 33% of the shares underlying this option vested on January 27, 2024, and the remaining shares vest in equal monthly installments thereafter over the following 48 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. 25% of the shares underlying this option vested on May 22, 2024, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. 25% of the shares underlying this option vest on October 9, 2024, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. The option vests in three equal installments, subject to the Issuer's satisfaction of certain performance criteria on each of May 6, 2028, May 6, 2029 and May 6, 2030, and subject to acceleration and the Reporting Person's continuous service to the Issuer on each such vesting date. 25% of the shares underlying this option vest on June 6, 2025, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and the Reporting Person's continuous service to the Issuer on each such vesting date. /s/ Sara Klein, Attorney-in-Fact 2024-07-03