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Nasdaq · USD

ALLO

Allogene Therapeutics, Inc.

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5243
SEC CIK
0001737287
Parsed reports
274

Last 12 months

Inside the activity.

0 purchase rows · 14 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202501
Dec 202500
Jan 202601
Feb 202606
Mar 202604
Apr 202601
May 202600
Jun 202600
Jul 202600
Aug 202601
Sep 202600
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
August 16, 2021 Filed Aug 17, 2021 16:05 UTC
Bhavnagri VeerGeneral Counsel
Exercise / conversionStock Option (Right to Buy) · Derivative 5,000 $0.00 Strike: $2.27 $0.00
Disclosure

SEC source: 0001214659-21-008761 · marketforms-53604.xml · derivative · entry 3

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,300

Underlying: Common Stock · 5,000 shares

Expires 2028-06-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: 25% of the shares subject to the stock option vested on April 6, 2019, and the remaining shares vest in 36 equal monthly installments thereafter.

Read SEC document
August 16, 2021 Filed Aug 17, 2021 16:05 UTC
Bhavnagri VeerGeneral Counsel
SaleCommon Stock 5,000 $21.00 $104,994.00
Disclosure

SEC source: 0001214659-21-008761 · marketforms-53604.xml · nonDerivative · entry 2

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 421,353

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in December 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.82 to $21.34, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

Read SEC document
August 16, 2021 Filed Aug 17, 2021 16:05 UTC
Bhavnagri VeerGeneral Counsel
Exercise / conversionCommon Stock 5,000 $2.27 $11,350.00
Disclosure

SEC source: 0001214659-21-008761 · marketforms-53604.xml · nonDerivative · entry 1

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 426,353

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 30, 2021 Filed Aug 3, 2021 21:37 UTC
SATO VICKI LDirector
GrantStock Option (Right to Buy) · Derivative 31,692 $0.00 Strike: $21.95 $0.00
Disclosure

SEC source: 0001214659-21-008125 · marketforms-53499.xml · derivative · entry 2

SATO VICKI L · CIK 0001197020 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,692

Underlying: Common Stock · 31,692 shares

Expires 2031-07-30

F1 · derivative.exercise_date: The shares subject to the stock option shall vest in a series of 36 successive equal monthly installments measured from the date of grant.

Read SEC document
July 30, 2021 Filed Aug 3, 2021 21:37 UTC
SATO VICKI LDirector
GrantCommon Stock 19,362 $0.00 $0.00
Disclosure

SEC source: 0001214659-21-008125 · marketforms-53499.xml · nonDerivative · entry 1

SATO VICKI L · CIK 0001197020 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,362

Read SEC document
July 30, 2021 Filed Aug 3, 2021 21:32 UTC GrantStock Option (Right to Buy) · Derivative 63,385 $0.00 Strike: $21.95 $0.00
Disclosure

SEC source: 0001214659-21-008123 · marketforms-53498.xml · derivative · entry 1

Barrett Elizabeth A. · CIK 0001764157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,385

Underlying: Common Stock · 63,385 shares

Expires 2031-07-30

F1 · derivative.exercise_date: The shares subject to the stock option shall vest in a series of 36 successive equal monthly installments measured from the date of grant.

Read SEC document
July 15, 2021 Filed Jul 16, 2021 16:14 UTC
Bhavnagri VeerGeneral Counsel
Exercise / conversionStock Option (Right to Buy) · Derivative 5,000 $0.00 Strike: $2.27 $0.00
Disclosure

SEC source: 0001214659-21-007588 · marketforms-53417.xml · derivative · entry 3

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,300

Underlying: Common Stock · 5,000 shares

Expires 2028-06-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: 25% of the shares subject to the stock option vested on April 6, 2019, and the remaining shares vest in 36 equal monthly installments thereafter.

Read SEC document
July 15, 2021 Filed Jul 16, 2021 16:14 UTC
Bhavnagri VeerGeneral Counsel
SaleCommon Stock 5,000 $21.55 $107,753.00
Disclosure

SEC source: 0001214659-21-007588 · marketforms-53417.xml · nonDerivative · entry 2

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 421,353

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in December 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.34 to $21.99, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

Read SEC document
July 15, 2021 Filed Jul 16, 2021 16:14 UTC
Bhavnagri VeerGeneral Counsel
Exercise / conversionCommon Stock 5,000 $2.27 $11,350.00
Disclosure

SEC source: 0001214659-21-007588 · marketforms-53417.xml · nonDerivative · entry 1

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 426,353

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 17:00 UTC
Bhavnagri VeerGeneral Counsel
Exercise / conversionStock Option (Right to Buy) · Derivative 5,000 $0.00 Strike: $2.27 $0.00
Disclosure

SEC source: 0001214659-21-006631 · marketforms-53155.xml · derivative · entry 3

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,300

Underlying: Common Stock · 5,000 shares

Expires 2028-06-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: 25% of the shares subject to the stock option vested on April 6, 2019, and the remaining shares vest in 36 equal monthly installments thereafter.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 17:00 UTC
Bhavnagri VeerGeneral Counsel
SaleCommon Stock 5,000 $25.32 $126,600.00
Disclosure

SEC source: 0001214659-21-006631 · marketforms-53155.xml · nonDerivative · entry 2

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 421,353

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in December 2020.

Read SEC document
June 15, 2021 Filed Jun 16, 2021 17:00 UTC
Bhavnagri VeerGeneral Counsel
Exercise / conversionCommon Stock 5,000 $2.27 $11,350.00
Disclosure

SEC source: 0001214659-21-006631 · marketforms-53155.xml · nonDerivative · entry 1

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 426,353

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 11, 2021 Filed Jun 11, 2021 21:43 UTC GiftCommon Stock 500,000 $0.00 $0.00
Disclosure

SEC source: 0001214659-21-006497 · marketforms-53110.xml · nonDerivative · entry 2

Kazam Joshua A · CIK 0001221355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,885

F1 · balance_after: On June 11, 2021, the reporting person transferred 500,000 shares of common stock to an irrevocable grantor trust having an independent trustee. The reporting person disclaims beneficial ownership of these shares except to the extent, if any, of the reporting person's pecuniary interest therein.

Read SEC document
June 10, 2021 Filed Jun 11, 2021 21:43 UTC GrantCommon Stock 16,498 $0.00 $0.00
Disclosure

SEC source: 0001214659-21-006497 · marketforms-53110.xml · nonDerivative · entry 1

Kazam Joshua A · CIK 0001221355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 743,885

Read SEC document
June 10, 2021 Filed Jun 11, 2021 21:45 UTC GrantCommon Stock 16,498 $0.00 $0.00
Disclosure

SEC source: 0001214659-21-006499 · marketforms-53111.xml · nonDerivative · entry 1

Humer Franz B · CIK 0001548072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,714

Read SEC document
June 10, 2021 Filed Jun 11, 2021 21:48 UTC GrantStock Option (Right to Buy) · Derivative 28,015 $0.00 Strike: $25.76 $0.00
Disclosure

SEC source: 0001214659-21-006504 · marketforms-53100.xml · derivative · entry 2

WITTE OWEN N. · CIK 0001700969 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,015

Underlying: Common Stock · 28,015 shares

Expires 2031-06-10

F1 · derivative.exercise_date: The stock option vests in 12 equal monthly installments beginning July 10, 2021.

Read SEC document
June 10, 2021 Filed Jun 11, 2021 21:46 UTC GrantStock Option (Right to Buy) · Derivative 28,015 $0.00 Strike: $25.76 $0.00
Disclosure

SEC source: 0001214659-21-006502 · marketforms-53109.xml · derivative · entry 1

MESSEMER DEBORAH M. · CIK 0001754424 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,015

Underlying: Common Stock · 28,015 shares

Expires 2031-06-10

F1 · derivative.exercise_date: The stock option vests in 12 equal monthly installments beginning July 10, 2021.

Read SEC document
June 09, 2021 Filed Jun 11, 2021 21:48 UTC SaleCommon Stock 9,969 $25.05 $249,723.45
Disclosure

SEC source: 0001214659-21-006504 · marketforms-53100.xml · nonDerivative · entry 1

WITTE OWEN N. · CIK 0001700969 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,182

Read SEC document
May 24, 2021 Filed May 25, 2021 12:00 UTC Exercise / conversionStock Option (Right to Buy) · Derivative 379,066 $0.00 Strike: $18.22 $0.00
Disclosure

SEC source: 0001214659-21-005878 · marketforms-52924.xml · derivative · entry 6

Belldegrun Arie · CIK 0001296549 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 379,066 shares

Expires 2030-03-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: 25% of the shares subject to the stock option shall vest on the first anniversary of the grant date, and the remaining shares shall vest in 36 equal monthly installments thereafter.

Read SEC document
May 24, 2021 Filed May 25, 2021 12:00 UTC Exercise / conversionCommon Stock 379,066 $18.22 $6,906,582.52
Disclosure

SEC source: 0001214659-21-005878 · marketforms-52924.xml · nonDerivative · entry 1

Belldegrun Arie · CIK 0001296549 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 583,034

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 24, 2021 Filed May 26, 2021 12:00 UTC
Chang David DDirector · President and CEO
Exercise / conversionStock Option (Right to Buy) · Derivative 27,410 $0.00 Strike: $18.22 $0.00
Disclosure

SEC source: 0001214659-21-005927 · marketforms-52929.xml · derivative · entry 5

Chang David D · CIK 0001611024 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 541,190

Underlying: Common Stock · 27,410 shares

Expires 2030-03-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: 25% of the shares subject to the stock option shall vest on the first anniversary of the grant date, and the remaining shares shall vest in 36 equal monthly installments thereafter.

Read SEC document
May 24, 2021 Filed May 26, 2021 12:00 UTC
Chang David DDirector · President and CEO
Exercise / conversionCommon Stock 27,410 $18.22 $499,410.20
Disclosure

SEC source: 0001214659-21-005927 · marketforms-52929.xml · nonDerivative · entry 1

Chang David D · CIK 0001611024 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,312,279

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 24, 2021 Filed May 26, 2021 12:00 UTC
SCHMIDT ERIC THOMASChief Financial Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 14,897 $0.00 Strike: $18.22 $0.00
Disclosure

SEC source: 0001214659-21-005926 · marketforms-52930.xml · derivative · entry 3

SCHMIDT ERIC THOMAS · CIK 0001754403 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,703

Underlying: Common Stock · 14,897 shares

Expires 2030-03-18

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: 25% of the shares subject to the stock option shall vest on the first anniversary of the grant date, and the remaining shares shall vest in 36 equal monthly installments thereafter.

Read SEC document
May 24, 2021 Filed May 26, 2021 12:00 UTC
SCHMIDT ERIC THOMASChief Financial Officer
Exercise / conversionCommon Stock 14,897 $18.22 $271,423.34
Disclosure

SEC source: 0001214659-21-005926 · marketforms-52930.xml · nonDerivative · entry 1

SCHMIDT ERIC THOMAS · CIK 0001754403 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,994

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 18, 2021 Filed May 20, 2021 17:19 UTC
Bhavnagri VeerGeneral Counsel
Exercise / conversionStock Option (Right to Buy) · Derivative 5,000 $0.00 Strike: $2.27 $0.00
Disclosure

SEC source: 0001214659-21-005767 · marketforms-52848.xml · derivative · entry 3

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,300

Underlying: Common Stock · 5,000 shares

Expires 2028-06-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: 25% of the shares subject to the stock option vested on April 6, 2019, and the remaining shares vest in 36 equal monthly installments thereafter.

Read SEC document
May 18, 2021 Filed May 20, 2021 17:19 UTC
Bhavnagri VeerGeneral Counsel
SaleCommon Stock 5,000 $30.00 $150,000.00
Disclosure

SEC source: 0001214659-21-005767 · marketforms-52848.xml · nonDerivative · entry 2

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 421,353

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in December 2020.

Read SEC document
May 18, 2021 Filed May 20, 2021 17:19 UTC
Bhavnagri VeerGeneral Counsel
Exercise / conversionCommon Stock 5,000 $2.27 $11,350.00
Disclosure

SEC source: 0001214659-21-005767 · marketforms-52848.xml · nonDerivative · entry 1

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 426,353

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 18, 2021 Filed May 20, 2021 21:22 UTC
Amado RafaelEVP of R&D and CMO
GrantCommon Stock 200,534 $0.00 $0.00
Disclosure

SEC source: 0001214659-21-005769 · marketforms-52850.xml · nonDerivative · entry 1

Amado Rafael · CIK 0001662119 · EVP of R&D and CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 335,435

Read SEC document
May 17, 2021 Filed May 17, 2021 17:16 UTC
Bhavnagri VeerGeneral Counsel
Exercise / conversionStock Option (Right to Buy) · Derivative 5,000 $0.00 Strike: $2.27 $0.00
Disclosure

SEC source: 0001214659-21-005621 · marketforms-52786.xml · derivative · entry 3

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,300

Underlying: Common Stock · 5,000 shares

Expires 2028-06-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: 25% of the shares subject to the stock option vested on April 6, 2019, and the remaining shares vest in 36 equal monthly installments thereafter.

Read SEC document
May 17, 2021 Filed May 17, 2021 17:16 UTC
Bhavnagri VeerGeneral Counsel
SaleCommon Stock 5,000 $28.30 $141,475.50
Disclosure

SEC source: 0001214659-21-005621 · marketforms-52786.xml · nonDerivative · entry 2

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 421,353

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in December 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.10 to $28.39, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

Read SEC document
May 17, 2021 Filed May 17, 2021 17:16 UTC
Bhavnagri VeerGeneral Counsel
Exercise / conversionCommon Stock 5,000 $2.27 $11,350.00
Disclosure

SEC source: 0001214659-21-005621 · marketforms-52786.xml · nonDerivative · entry 1

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 426,353

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
April 15, 2021 Filed Apr 16, 2021 16:07 UTC
Bhavnagri VeerGeneral Counsel
Exercise / conversionStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $2.27 $0.00
Disclosure

SEC source: 0001214659-21-004267 · marketforms-52267.xml · derivative · entry 4

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,300

Underlying: Common Stock · 10,000 shares

Expires 2028-06-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: 25% of the shares subject to the stock option vested on April 6, 2019, and the remaining shares vest in 36 equal monthly installments thereafter.

Read SEC document
April 15, 2021 Filed Apr 16, 2021 16:07 UTC
Bhavnagri VeerGeneral Counsel
SaleCommon Stock 606 $32.64 $19,779.72
Disclosure

SEC source: 0001214659-21-004267 · marketforms-52267.xml · nonDerivative · entry 3

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 421,353

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in December 2020.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.57 to $32.69, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

Read SEC document
April 15, 2021 Filed Apr 16, 2021 16:07 UTC
Bhavnagri VeerGeneral Counsel
SaleCommon Stock 9,394 $32.01 $300,737.64
Disclosure

SEC source: 0001214659-21-004267 · marketforms-52267.xml · nonDerivative · entry 2

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 421,959

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in December 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.56 to $32.54, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

Read SEC document
April 15, 2021 Filed Apr 16, 2021 16:07 UTC
Bhavnagri VeerGeneral Counsel
Exercise / conversionCommon Stock 10,000 $2.27 $22,700.00
Disclosure

SEC source: 0001214659-21-004267 · marketforms-52267.xml · nonDerivative · entry 1

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 431,353

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
March 26, 2021 Filed Mar 30, 2021 16:55 UTC
Bhavnagri VeerGeneral Counsel
GrantStock Option (Right to Buy) · Derivative 82,469 $0.00 Strike: $33.78 $0.00
Disclosure

SEC source: 0001214659-21-003607 · marketforms-52126.xml · derivative · entry 2

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,469

Underlying: Common Stock · 82,469 shares

Expires 2031-03-26

F1 · derivative.exercise_date: 25% of the shares subject to the stock option shall vest on March 13, 2022, and the remaining shares shall vest in 36 equal monthly installments thereafter.

Read SEC document
March 26, 2021 Filed Mar 30, 2021 16:55 UTC
Bhavnagri VeerGeneral Counsel
GrantCommon Stock 22,202 $0.00 $0.00
Disclosure

SEC source: 0001214659-21-003607 · marketforms-52126.xml · nonDerivative · entry 1

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 421,353

Read SEC document
March 26, 2021 Filed Mar 30, 2021 20:47 UTC
Amado RafaelEVP of R&D and CMO
GrantStock Option (Right to Buy) · Derivative 92,365 $0.00 Strike: $33.78 $0.00
Disclosure

SEC source: 0001214659-21-003598 · marketforms-52122.xml · derivative · entry 2

Amado Rafael · CIK 0001662119 · EVP of R&D and CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,365

Underlying: Common Stock · 92,365 shares

Expires 2031-03-26

F1 · derivative.exercise_date: 25% of the shares subject to the stock option shall vest on March 13, 2022, and the remaining shares shall vest in 36 equal monthly installments thereafter.

Read SEC document
March 26, 2021 Filed Mar 30, 2021 20:47 UTC
Amado RafaelEVP of R&D and CMO
GrantCommon Stock 24,866 $0.00 $0.00
Disclosure

SEC source: 0001214659-21-003598 · marketforms-52122.xml · nonDerivative · entry 1

Amado Rafael · CIK 0001662119 · EVP of R&D and CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,901

Read SEC document
March 26, 2021 Filed Mar 30, 2021 21:00 UTC GrantStock Option (Right to Buy) · Derivative 199,223 $0.00 Strike: $33.78 $0.00
Disclosure

SEC source: 0001214659-21-003612 · marketforms-52129.xml · derivative · entry 6

Belldegrun Arie · CIK 0001296549 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,223

Underlying: Common Stock · 199,223 shares

Expires 2031-03-26

F5 · derivative.exercise_date: 25% of the shares subject to the stock option shall vest on March 13, 2022, and the remaining shares shall vest in 36 equal monthly installments thereafter.

Read SEC document
March 26, 2021 Filed Mar 30, 2021 21:00 UTC GrantCommon Stock 53,635 $0.00 $0.00
Disclosure

SEC source: 0001214659-21-003612 · marketforms-52129.xml · nonDerivative · entry 1

Belldegrun Arie · CIK 0001296549 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,968

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March 26, 2021 Filed Mar 30, 2021 20:57 UTC
Chang David DDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 298,836 $0.00 Strike: $33.78 $0.00
Disclosure

SEC source: 0001214659-21-003609 · marketforms-52127.xml · derivative · entry 5

Chang David D · CIK 0001611024 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 298,836

Underlying: Common Stock · 298,836 shares

Expires 2031-03-26

F4 · derivative.exercise_date: 25% of the shares subject to the stock option shall vest on March 13, 2022, and the remaining shares shall vest in 36 equal monthly installments thereafter.

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March 26, 2021 Filed Mar 30, 2021 20:57 UTC
Chang David DDirector · President and CEO
GrantCommon Stock 80,452 $0.00 $0.00
Disclosure

SEC source: 0001214659-21-003609 · marketforms-52127.xml · nonDerivative · entry 1

Chang David D · CIK 0001611024 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,284,869

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March 26, 2021 Filed Mar 30, 2021 20:53 UTC
MOORE ALISONChief Technical Officer
GrantStock Option (Right to Buy) · Derivative 92,365 $0.00 Strike: $33.78 $0.00
Disclosure

SEC source: 0001214659-21-003605 · marketforms-52124.xml · derivative · entry 2

MOORE ALISON · CIK 0001754937 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,365

Underlying: Common Stock · 92,365 shares

Expires 2031-03-26

F1 · derivative.exercise_date: 25% of the shares subject to the stock option shall vest on March 13, 2022, and the remaining shares shall vest in 36 equal monthly installments thereafter.

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March 26, 2021 Filed Mar 30, 2021 20:53 UTC
MOORE ALISONChief Technical Officer
GrantCommon Stock 24,866 $0.00 $0.00
Disclosure

SEC source: 0001214659-21-003605 · marketforms-52124.xml · nonDerivative · entry 1

MOORE ALISON · CIK 0001754937 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,440

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March 26, 2021 Filed Mar 30, 2021 20:51 UTC
SCHMIDT ERIC THOMASChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 92,365 $0.00 Strike: $33.78 $0.00
Disclosure

SEC source: 0001214659-21-003603 · marketforms-52123.xml · derivative · entry 3

SCHMIDT ERIC THOMAS · CIK 0001754403 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,365

Underlying: Common Stock · 92,365 shares

Expires 2031-03-26

F2 · derivative.exercise_date: 25% of the shares subject to the stock option shall vest on March 13, 2022, and the remaining shares shall vest in 36 equal monthly installments thereafter.

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March 26, 2021 Filed Mar 30, 2021 20:51 UTC
SCHMIDT ERIC THOMASChief Financial Officer
GrantCommon Stock 24,866 $0.00 $0.00
Disclosure

SEC source: 0001214659-21-003603 · marketforms-52123.xml · nonDerivative · entry 1

SCHMIDT ERIC THOMAS · CIK 0001754403 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,097

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March 15, 2021 Filed Mar 17, 2021 17:00 UTC
Bhavnagri VeerGeneral Counsel
Exercise / conversionStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $2.27 $0.00
Disclosure

SEC source: 0001214659-21-003242 · marketforms-51923.xml · derivative · entry 5

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,300

Underlying: Common Stock · 10,000 shares

Expires 2028-06-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_date: 25% of the shares subject to the stock option vested on April 6, 2019, and the remaining shares vest in 36 equal monthly installments thereafter.

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March 15, 2021 Filed Mar 17, 2021 17:00 UTC
Bhavnagri VeerGeneral Counsel
SaleCommon Stock 400 $38.15 $15,260.00
Disclosure

SEC source: 0001214659-21-003242 · marketforms-51923.xml · nonDerivative · entry 4

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 399,151

F4 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in December 2020.

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March 15, 2021 Filed Mar 17, 2021 17:00 UTC
Bhavnagri VeerGeneral Counsel
SaleCommon Stock 9,600 $37.79 $362,808.00
Disclosure

SEC source: 0001214659-21-003242 · marketforms-51923.xml · nonDerivative · entry 3

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 399,551

F4 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in December 2020.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.15 to $38.14, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.