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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
March 15, 2021 Filed Mar 17, 2021 17:00 UTC
Bhavnagri VeerGeneral Counsel
SaleCommon Stock 6,623 $38.16 $252,730.37
Disclosure

SEC source: 0001214659-21-003242 · marketforms-51923.xml · nonDerivative · entry 2

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 409,151

F2 · kind: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.97 to $38.55, 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
March 15, 2021 Filed Mar 17, 2021 17:00 UTC
Bhavnagri VeerGeneral Counsel
Exercise / conversionCommon Stock 10,000 $2.27 $22,700.00
Disclosure

SEC source: 0001214659-21-003242 · marketforms-51923.xml · nonDerivative · entry 1

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 415,774

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.

F1 · balance_after: Includes 372 shares of the Issuer's common stock acquired by the reporting person on March 15, 2021 pursuant to an employee stock purchase program.

Read SEC document
March 15, 2021 Filed Mar 17, 2021 21:01 UTC
Amado RafaelEVP of R&D and CMO
SaleCommon Stock 2,798 $38.05 $106,470.62
Disclosure

SEC source: 0001214659-21-003241 · marketforms-51922.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,035

F1 · kind: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.975 to $38.12, 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.

F3 · balance_after: Includes 1,156 shares of the Issuer's common stock acquired by the reporting person on March 15, 2021 pursuant to an employee stock purchase program.

Read SEC document
March 15, 2021 Filed Mar 17, 2021 21:00 UTC
Chang David DDirector · President and CEO
SaleCommon Stock 20,513 $38.57 $791,270.51
Disclosure

SEC source: 0001214659-21-003240 · marketforms-51920.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,204,417

F1 · kind: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.97 to $38.90, 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.

F3 · balance_after: Includes 276 shares of the Issuer's common stock acquired by the reporting person on September 15, 2020 and includes 553 shares of the Issuer's common stock acquired by the reporting person on March 15, 2021 pursuant to an employee stock purchase program.

Read SEC document
March 15, 2021 Filed Mar 17, 2021 21:00 UTC
MOORE ALISONChief Technical Officer
SaleCommon Stock 6,164 $38.14 $235,089.41
Disclosure

SEC source: 0001214659-21-003239 · marketforms-51913.xml · nonDerivative · entry 1

MOORE ALISON · CIK 0001754937 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,574

F1 · kind: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.96 to $38.395, 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.

F3 · balance_after: Includes 368 shares of the Issuer's common stock acquired by the reporting person on March 15, 2021 pursuant to an employee stock purchase program.

Read SEC document
March 15, 2021 Filed Mar 17, 2021 21:00 UTC
SCHMIDT ERIC THOMASChief Financial Officer
SaleCommon Stock 8,053 $38.23 $307,888.74
Disclosure

SEC source: 0001214659-21-003238 · marketforms-51916.xml · nonDerivative · entry 1

SCHMIDT ERIC THOMAS · CIK 0001754403 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,231

F1 · shares: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.975 to $38.61, 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.

F3 · balance_after: Includes 368 shares of the Issuer's common stock acquired by the reporting person on March 15, 2021 pursuant to an employee stock purchase program.

Read SEC document
January 15, 2021 Filed Jan 19, 2021 21:31 UTC
SCHMIDT ERIC THOMASChief Financial Officer
SaleCommon Stock 400 $33.29 $13,314.00
Disclosure

SEC source: 0001214659-21-000617 · marketforms-50963.xml · nonDerivative · entry 5

SCHMIDT ERIC THOMAS · CIK 0001754403 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,152,595

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the trustee of the Eric Schmidt 2017 Family Irrevocable Trust in August 2020.

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $33.17 to $33.60, 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.

F3 · ownership.nature: The securities are held in the name of the Eric Schmidt 2017 Family Irrevocable Trust.

Read SEC document
January 15, 2021 Filed Jan 19, 2021 21:31 UTC
SCHMIDT ERIC THOMASChief Financial Officer
SaleCommon Stock 11,053 $32.40 $358,151.46
Disclosure

SEC source: 0001214659-21-000617 · marketforms-50963.xml · nonDerivative · entry 4

SCHMIDT ERIC THOMAS · CIK 0001754403 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,152,995

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the trustee of the Eric Schmidt 2017 Family Irrevocable Trust in August 2020.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.04 to $33.03, 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.

F3 · ownership.nature: The securities are held in the name of the Eric Schmidt 2017 Family Irrevocable Trust.

Read SEC document
January 15, 2021 Filed Jan 19, 2021 21:31 UTC
SCHMIDT ERIC THOMASChief Financial Officer
SaleCommon Stock 3,547 $31.69 $112,393.43
Disclosure

SEC source: 0001214659-21-000617 · marketforms-50963.xml · nonDerivative · entry 3

SCHMIDT ERIC THOMAS · CIK 0001754403 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,164,048

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the trustee of the Eric Schmidt 2017 Family Irrevocable Trust in August 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 $31.00 to $31.98, 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.

F3 · ownership.nature: The securities are held in the name of the Eric Schmidt 2017 Family Irrevocable Trust.

Read SEC document
January 14, 2021 Filed Jan 19, 2021 21:31 UTC
SCHMIDT ERIC THOMASChief Financial Officer
SaleCommon Stock 5,149 $31.10 $160,129.27
Disclosure

SEC source: 0001214659-21-000617 · marketforms-50963.xml · nonDerivative · entry 2

SCHMIDT ERIC THOMAS · CIK 0001754403 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,167,595

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the trustee of the Eric Schmidt 2017 Family Irrevocable Trust in August 2020.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.00 to $31.49, 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.

F3 · ownership.nature: The securities are held in the name of the Eric Schmidt 2017 Family Irrevocable Trust.

Read SEC document
January 14, 2021 Filed Jan 19, 2021 21:31 UTC
SCHMIDT ERIC THOMASChief Financial Officer
SaleCommon Stock 9,851 $30.60 $301,480.99
Disclosure

SEC source: 0001214659-21-000617 · marketforms-50963.xml · nonDerivative · entry 1

SCHMIDT ERIC THOMAS · CIK 0001754403 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,172,744

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the trustee of the Eric Schmidt 2017 Family Irrevocable Trust in August 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 $30.00 to $30.98, 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.

F3 · ownership.nature: The securities are held in the name of the Eric Schmidt 2017 Family Irrevocable Trust.

Read SEC document
December 17, 2020 Filed Dec 18, 2020 16:34 UTC
Bhavnagri VeerGeneral Counsel
Exercise / conversionStock Option (Right to Buy) · Derivative 51,500 $0.00 Strike: $2.27 $0.00
Disclosure

SEC source: 0001214659-20-010544 · marketforms-50661.xml · derivative · entry 2

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,300

Underlying: Common Stock · 51,500 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.

F1 · 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
December 17, 2020 Filed Dec 18, 2020 16:34 UTC
Bhavnagri VeerGeneral Counsel
Exercise / conversionCommon Stock 51,500 $2.27 $116,905.00
Disclosure

SEC source: 0001214659-20-010544 · marketforms-50661.xml · nonDerivative · entry 1

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 405,402

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
November 16, 2020 Filed Nov 18, 2020 21:36 UTC
SCHMIDT ERIC THOMASChief Financial Officer
SaleCommon Stock 10,366 $33.00 $342,078.00
Disclosure

SEC source: 0001214659-20-009726 · marketforms-50139.xml · nonDerivative · entry 2

SCHMIDT ERIC THOMAS · CIK 0001754403 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,182,595

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the trustee of the Eric Schmidt 2017 Family Irrevocable Trust in August 2020.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.93 to $33.18, 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.

F3 · ownership.nature: The securities are held in the name of the Eric Schmidt 2017 Family Irrevocable Trust.

Read SEC document
November 16, 2020 Filed Nov 18, 2020 21:36 UTC
SCHMIDT ERIC THOMASChief Financial Officer
SaleCommon Stock 4,634 $32.60 $151,068.40
Disclosure

SEC source: 0001214659-20-009726 · marketforms-50139.xml · nonDerivative · entry 1

SCHMIDT ERIC THOMAS · CIK 0001754403 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,192,961

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the trustee of the Eric Schmidt 2017 Family Irrevocable Trust in August 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 $31.93 to $32.92, 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.

F3 · ownership.nature: The securities are held in the name of the Eric Schmidt 2017 Family Irrevocable Trust.

Read SEC document
October 21, 2020 Filed Feb 3, 2021 21:22 UTC GiftCommon Stock 305,918 $0.00 $0.00
Disclosure

SEC source: 0001214659-21-001199 · marketforms-51228.xml · nonDerivative · entry 1

Kazam Joshua A · CIK 0001221355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 727,387

F1 · balance_after: On October 21, 2020, the reporting person transferred 305,918 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
October 15, 2020 Filed Oct 16, 2020 22:55 UTC
SCHMIDT ERIC THOMASChief Financial Officer
SaleCommon Stock 100 $43.01 $4,301.00
Disclosure

SEC source: 0001214659-20-008703 · marketforms-49861.xml · nonDerivative · entry 5

SCHMIDT ERIC THOMAS · CIK 0001754403 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,197,595

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the trustee of the Eric Schmidt 2017 Family Irrevocable Trust in August 2020.

F3 · ownership.nature: The securities are held in the name of the Eric Schmidt 2017 Family Irrevocable Trust.

Read SEC document
October 15, 2020 Filed Oct 16, 2020 22:55 UTC
SCHMIDT ERIC THOMASChief Financial Officer
SaleCommon Stock 2,099 $42.32 $88,839.55
Disclosure

SEC source: 0001214659-20-008703 · marketforms-49861.xml · nonDerivative · entry 4

SCHMIDT ERIC THOMAS · CIK 0001754403 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,197,695

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the trustee of the Eric Schmidt 2017 Family Irrevocable Trust in August 2020.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.00 to $42.61, 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.

F3 · ownership.nature: The securities are held in the name of the Eric Schmidt 2017 Family Irrevocable Trust.

Read SEC document
October 15, 2020 Filed Oct 16, 2020 22:55 UTC
SCHMIDT ERIC THOMASChief Financial Officer
SaleCommon Stock 3,479 $41.33 $143,799.59
Disclosure

SEC source: 0001214659-20-008703 · marketforms-49861.xml · nonDerivative · entry 3

SCHMIDT ERIC THOMAS · CIK 0001754403 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,199,794

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the trustee of the Eric Schmidt 2017 Family Irrevocable Trust in August 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 $40.91 to $41.87, 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.

F3 · ownership.nature: The securities are held in the name of the Eric Schmidt 2017 Family Irrevocable Trust.

Read SEC document
October 15, 2020 Filed Oct 16, 2020 22:55 UTC
SCHMIDT ERIC THOMASChief Financial Officer
SaleCommon Stock 4,218 $40.07 $169,010.62
Disclosure

SEC source: 0001214659-20-008703 · marketforms-49861.xml · nonDerivative · entry 2

SCHMIDT ERIC THOMAS · CIK 0001754403 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,203,273

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the trustee of the Eric Schmidt 2017 Family Irrevocable Trust in August 2020.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.82 to $40.51, 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.

F3 · ownership.nature: The securities are held in the name of the Eric Schmidt 2017 Family Irrevocable Trust.

Read SEC document
October 15, 2020 Filed Oct 16, 2020 22:55 UTC
SCHMIDT ERIC THOMASChief Financial Officer
SaleCommon Stock 5,104 $39.47 $201,441.61
Disclosure

SEC source: 0001214659-20-008703 · marketforms-49861.xml · nonDerivative · entry 1

SCHMIDT ERIC THOMAS · CIK 0001754403 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,207,491

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the trustee of the Eric Schmidt 2017 Family Irrevocable Trust in August 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 $38.80 to $39.80, 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.

F3 · ownership.nature: The securities are held in the name of the Eric Schmidt 2017 Family Irrevocable Trust.

Read SEC document
October 13, 2020 Filed Oct 13, 2020 20:34 UTC
MOORE ALISONChief Technical Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 11,031 $0.00 Strike: $2.27 $0.00
Disclosure

SEC source: 0001214659-20-008571 · marketforms-49856.xml · derivative · entry 6

MOORE ALISON · CIK 0001754937 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 579,959

Underlying: Common Stock · 11,031 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: One-fourth of the 892,500 shares subject to the stock option vested on June 1, 2019, and the remaining shares vest in 36 successive equal monthly installments thereafter.

Read SEC document
October 13, 2020 Filed Oct 13, 2020 20:34 UTC
MOORE ALISONChief Technical Officer
SaleCommon Stock 11,031 $42.00 $463,302.00
Disclosure

SEC source: 0001214659-20-008571 · marketforms-49856.xml · nonDerivative · entry 4

MOORE ALISON · CIK 0001754937 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,370

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

Read SEC document
October 13, 2020 Filed Oct 13, 2020 20:34 UTC
MOORE ALISONChief Technical Officer
Exercise / conversionCommon Stock 11,031 $2.27 $25,040.37
Disclosure

SEC source: 0001214659-20-008571 · marketforms-49856.xml · nonDerivative · entry 3

MOORE ALISON · CIK 0001754937 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,401

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
October 12, 2020 Filed Oct 13, 2020 20:34 UTC
MOORE ALISONChief Technical Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 24,233 $0.00 Strike: $2.27 $0.00
Disclosure

SEC source: 0001214659-20-008571 · marketforms-49856.xml · derivative · entry 5

MOORE ALISON · CIK 0001754937 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 590,990

Underlying: Common Stock · 24,233 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: One-fourth of the 892,500 shares subject to the stock option vested on June 1, 2019, and the remaining shares vest in 36 successive equal monthly installments thereafter.

Read SEC document
October 12, 2020 Filed Oct 13, 2020 20:34 UTC
MOORE ALISONChief Technical Officer
SaleCommon Stock 24,233 $42.00 $1,017,786.00
Disclosure

SEC source: 0001214659-20-008571 · marketforms-49856.xml · nonDerivative · entry 2

MOORE ALISON · CIK 0001754937 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,370

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

Read SEC document
October 12, 2020 Filed Oct 13, 2020 20:34 UTC
MOORE ALISONChief Technical Officer
Exercise / conversionCommon Stock 24,233 $2.27 $55,008.91
Disclosure

SEC source: 0001214659-20-008571 · marketforms-49856.xml · nonDerivative · entry 1

MOORE ALISON · CIK 0001754937 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,603

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
October 09, 2020 Filed Oct 9, 2020 21:49 UTC
MOORE ALISONChief Technical Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 30,199 $0.00 Strike: $2.27 $0.00
Disclosure

SEC source: 0001214659-20-008532 · marketforms-49849.xml · derivative · entry 6

MOORE ALISON · CIK 0001754937 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 615,223

Underlying: Common Stock · 30,199 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: One-fourth of the 892,500 shares subject to the stock option vested on June 1, 2019, and the remaining shares vest in 36 successive equal monthly installments thereafter.

Read SEC document
October 09, 2020 Filed Oct 9, 2020 21:49 UTC
MOORE ALISONChief Technical Officer
SaleCommon Stock 39,509 $41.00 $1,619,869.00
Disclosure

SEC source: 0001214659-20-008532 · marketforms-49849.xml · nonDerivative · entry 4

MOORE ALISON · CIK 0001754937 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,370

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

Read SEC document
October 09, 2020 Filed Oct 9, 2020 21:49 UTC
MOORE ALISONChief Technical Officer
Exercise / conversionCommon Stock 30,199 $2.27 $68,551.73
Disclosure

SEC source: 0001214659-20-008532 · marketforms-49849.xml · nonDerivative · entry 3

MOORE ALISON · CIK 0001754937 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,879

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
October 08, 2020 Filed Oct 9, 2020 21:49 UTC
MOORE ALISONChief Technical Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 5,065 $0.00 Strike: $2.27 $0.00
Disclosure

SEC source: 0001214659-20-008532 · marketforms-49849.xml · derivative · entry 5

MOORE ALISON · CIK 0001754937 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 645,422

Underlying: Common Stock · 5,065 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: One-fourth of the 892,500 shares subject to the stock option vested on June 1, 2019, and the remaining shares vest in 36 successive equal monthly installments thereafter.

Read SEC document
October 08, 2020 Filed Oct 9, 2020 21:49 UTC
MOORE ALISONChief Technical Officer
SaleCommon Stock 5,065 $41.00 $207,665.00
Disclosure

SEC source: 0001214659-20-008532 · marketforms-49849.xml · nonDerivative · entry 2

MOORE ALISON · CIK 0001754937 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,680

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

Read SEC document
October 08, 2020 Filed Oct 9, 2020 21:49 UTC
MOORE ALISONChief Technical Officer
Exercise / conversionCommon Stock 5,065 $2.27 $11,497.55
Disclosure

SEC source: 0001214659-20-008532 · marketforms-49849.xml · nonDerivative · entry 1

MOORE ALISON · CIK 0001754937 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,745

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
October 07, 2020 Filed Oct 8, 2020 21:10 UTC
Amado RafaelEVP of R&D and CMO
SaleCommon Stock 16,538 $39.40 $651,514.51
Disclosure

SEC source: 0001214659-20-008508 · marketforms-49847.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,677

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 June 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 $39.00 to $39.64, 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
October 06, 2020 Filed Oct 8, 2020 17:01 UTC
Bhavnagri VeerGeneral Counsel
Exercise / conversionStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $2.27 $0.00
Disclosure

SEC source: 0001214659-20-008504 · marketforms-49844.xml · derivative · entry 3

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,800

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.

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
October 06, 2020 Filed Oct 8, 2020 17:01 UTC
Bhavnagri VeerGeneral Counsel
SaleCommon Stock 10,000 $40.00 $400,000.00
Disclosure

SEC source: 0001214659-20-008504 · marketforms-49844.xml · nonDerivative · entry 2

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 353,902

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 June 2020.

Read SEC document
October 06, 2020 Filed Oct 8, 2020 17:01 UTC
Bhavnagri VeerGeneral Counsel
Exercise / conversionCommon Stock 10,000 $2.27 $22,700.00
Disclosure

SEC source: 0001214659-20-008504 · marketforms-49844.xml · nonDerivative · entry 1

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 363,902

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
October 06, 2020 Filed Oct 8, 2020 21:03 UTC
MOORE ALISONChief Technical Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 35,264 $0.00 Strike: $2.27 $0.00
Disclosure

SEC source: 0001214659-20-008506 · marketforms-49846.xml · derivative · entry 3

MOORE ALISON · CIK 0001754937 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 650,487

Underlying: Common Stock · 35,264 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: One-fourth of the 892,500 shares subject to the stock option vested on June 1, 2019, and the remaining shares vest in 36 successive equal monthly installments thereafter.

Read SEC document
October 06, 2020 Filed Oct 8, 2020 21:03 UTC
MOORE ALISONChief Technical Officer
SaleCommon Stock 44,574 $40.00 $1,782,960.00
Disclosure

SEC source: 0001214659-20-008506 · marketforms-49846.xml · nonDerivative · entry 2

MOORE ALISON · CIK 0001754937 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,680

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 June 2020.

F2 · balance_after: Includes 718 shares of the Issuer's common stock acquired by the reporting person on September 15, 2020 pursuant to an employee stock purchase program.

Read SEC document
October 06, 2020 Filed Oct 8, 2020 21:03 UTC
MOORE ALISONChief Technical Officer
Exercise / conversionCommon Stock 35,264 $2.27 $80,049.28
Disclosure

SEC source: 0001214659-20-008506 · marketforms-49846.xml · nonDerivative · entry 1

MOORE ALISON · CIK 0001754937 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,536

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
October 01, 2020 Filed Oct 2, 2020 16:42 UTC
Bhavnagri VeerGeneral Counsel
Exercise / conversionStock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $2.27 $0.00
Disclosure

SEC source: 0001214659-20-008378 · marketforms-49819.xml · derivative · entry 5

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 223,800

Underlying: Common Stock · 25,000 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.

F5 · 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
October 01, 2020 Filed Oct 2, 2020 16:42 UTC
Bhavnagri VeerGeneral Counsel
SaleCommon Stock 800 $37.73 $30,180.00
Disclosure

SEC source: 0001214659-20-008378 · marketforms-49819.xml · nonDerivative · entry 4

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 353,902

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

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.64 to $37.81, 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
October 01, 2020 Filed Oct 2, 2020 16:42 UTC
Bhavnagri VeerGeneral Counsel
SaleCommon Stock 7,985 $37.03 $295,663.79
Disclosure

SEC source: 0001214659-20-008378 · marketforms-49819.xml · nonDerivative · entry 3

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 354,702

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in June 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 $36.62 to $37.49, 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
October 01, 2020 Filed Oct 2, 2020 16:42 UTC
Bhavnagri VeerGeneral Counsel
SaleCommon Stock 16,215 $36.21 $587,068.94
Disclosure

SEC source: 0001214659-20-008378 · marketforms-49819.xml · nonDerivative · entry 2

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 362,687

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in June 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 $35.62 to $36.60, 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
October 01, 2020 Filed Oct 2, 2020 16:42 UTC
Bhavnagri VeerGeneral Counsel
Exercise / conversionCommon Stock 25,000 $2.27 $56,750.00
Disclosure

SEC source: 0001214659-20-008378 · marketforms-49819.xml · nonDerivative · entry 1

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 378,902

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
October 01, 2020 Filed Oct 2, 2020 20:40 UTC
Amado RafaelEVP of R&D and CMO
SaleCommon Stock 9,752 $36.37 $354,661.71
Disclosure

SEC source: 0001214659-20-008375 · marketforms-49821.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,215

F1 · kind: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.20 to $36.74, 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.

F3 · balance_after: Includes 863 and 1,142 shares of the Issuer's common stock acquired by the reporting person on March 13, 2020 and September 15, 2020, respectively, pursuant to an employee stock purchase program.

Read SEC document
September 21, 2020 Filed Sep 22, 2020 20:48 UTC
SCHMIDT ERIC THOMASChief Financial Officer
SaleCommon Stock 1,911 $37.04 $70,783.44
Disclosure

SEC source: 0001214659-20-008039 · marketforms-49727.xml · nonDerivative · entry 3

SCHMIDT ERIC THOMAS · CIK 0001754403 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,212,595

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the trustee of the Eric Schmidt 2017 Family Irrevocable Trust on August 18, 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 $36.71 to $37.60, 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.

F3 · ownership.nature: The securities are held in the name of the Eric Schmidt 2017 Family Irrevocable Trust.

Read SEC document
September 21, 2020 Filed Sep 22, 2020 20:48 UTC
SCHMIDT ERIC THOMASChief Financial Officer
SaleCommon Stock 3,200 $35.96 $115,069.12
Disclosure

SEC source: 0001214659-20-008039 · marketforms-49727.xml · nonDerivative · entry 2

SCHMIDT ERIC THOMAS · CIK 0001754403 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,214,506

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the trustee of the Eric Schmidt 2017 Family Irrevocable Trust on August 18, 2020.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.47 to $36.44, 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.

F3 · ownership.nature: The securities are held in the name of the Eric Schmidt 2017 Family Irrevocable Trust.

Read SEC document
September 21, 2020 Filed Sep 22, 2020 20:48 UTC
SCHMIDT ERIC THOMASChief Financial Officer
SaleCommon Stock 9,889 $34.76 $343,692.20
Disclosure

SEC source: 0001214659-20-008039 · marketforms-49727.xml · nonDerivative · entry 1

SCHMIDT ERIC THOMAS · CIK 0001754403 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,217,706

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the trustee of the Eric Schmidt 2017 Family Irrevocable Trust on August 18, 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 $34.34 to $35.30, 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.

F3 · ownership.nature: The securities are held in the name of the Eric Schmidt 2017 Family Irrevocable Trust.

Read SEC document
September 01, 2020 Filed Sep 3, 2020 16:12 UTC
Bhavnagri VeerGeneral Counsel
Exercise / conversionStock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $2.27 $0.00
Disclosure

SEC source: 0001214659-20-007671 · marketforms-49584.xml · derivative · entry 4

Bhavnagri Veer · CIK 0001808980 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248,800

Underlying: Common Stock · 25,000 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

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