organization · Reporting owner
3x5 RiverVest Fund II-B, L.P.
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Allakos Inc.
Report date January 04, 2021 · Filed January 08, 2021
Jointly reported with RiverVest Venture Fund III, L.P., RiverVest Venture Fund II (Ohio), L.P., RiverVest Venture Fund III (Ohio), L.P., RIVERVEST VENTURE FUND II L P, 3x5 RiverVest Fund II, L.P.
Section 16 reporting ended · disclosed 2021-01-08. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 4,887,932 |
Reported balance
After 2021-01-04 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-01-04 · Other · Disposed 862,574 · Balance 4,887,932 F1: Reflects a distribution of shares in kind, without consideration, by RiverVest Venture Fund II, L.P ("RiverVest II"), RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), RiverVest Venture Fund III, L.P ("RiverVest III"), RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), 3x5 RiverVest Fund II, L.P. ("3x5 II"), and 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B") to each fund's respective limited partners and general partners. F2: Consists of (i) shares held of record by RiverVest II, (ii) shares held of record by RiverVest (Ohio) II, (iii) shares held of record by RiverVest III, (iv) shares held of record by RiverVest (Ohio) III, (v) shares held of record by 3x5 II, and (vi) shares held of record by 3x5 II-B. The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F3: (Continued from footnote 2) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. The Reporting Person is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F4: (Continued from footnote 3) The Reporting Person is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. The Reporting Person is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. The Reporting Person disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. F5: The 4,887,932 shares consists of (i) 694,669 shares held of record by RiverVest II, (ii) 188,685 shares held of record by RiverVest (Ohio) II, (iii) 2,341,594 shares held of record by RiverVest III, (iv) 124,275 shares held of record by RiverVest (Ohio) III, (v) 1,483,103 shares held of record by 3x5 II and (vi) 55,606 shares held of record by 3x5 II-B. |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects a distribution of shares in kind, without consideration, by RiverVest Venture Fund II, L.P ("RiverVest II"), RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), RiverVest Venture Fund III, L.P ("RiverVest III"), RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), 3x5 RiverVest Fund II, L.P. ("3x5 II"), and 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B") to each fund's respective limited partners and general partners.
F2: Consists of (i) shares held of record by RiverVest II, (ii) shares held of record by RiverVest (Ohio) II, (iii) shares held of record by RiverVest III, (iv) shares held of record by RiverVest (Ohio) III, (v) shares held of record by 3x5 II, and (vi) shares held of record by 3x5 II-B. The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II.
F3: (Continued from footnote 2) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. The Reporting Person is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III.
F4: (Continued from footnote 3) The Reporting Person is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. The Reporting Person is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. The Reporting Person disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein.
F5: The 4,887,932 shares consists of (i) 694,669 shares held of record by RiverVest II, (ii) 188,685 shares held of record by RiverVest (Ohio) II, (iii) 2,341,594 shares held of record by RiverVest III, (iv) 124,275 shares held of record by RiverVest (Ohio) III, (v) 1,483,103 shares held of record by 3x5 II and (vi) 55,606 shares held of record by 3x5 II-B.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 04, 2021 Filed Jan 8, 2021 17:57 UTC | Allakos Inc. ALLK · Entity 79644 | OtherCommon Stock | 862,574 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-21-001187 · doc4.xml · nonDerivative · entry 1 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 4,887,932 F1 · kind: Reflects a distribution of shares in kind, without consideration, by RiverVest Venture Fund II, L.P ("RiverVest II"), RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), RiverVest Venture Fund III, L.P ("RiverVest III"), RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), 3x5 RiverVest Fund II, L.P. ("3x5 II"), and 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B") to each fund's respective limited partners and general partners. F2 · ownership.nature: Consists of (i) shares held of record by RiverVest II, (ii) shares held of record by RiverVest (Ohio) II, (iii) shares held of record by RiverVest III, (iv) shares held of record by RiverVest (Ohio) III, (v) shares held of record by 3x5 II, and (vi) shares held of record by 3x5 II-B. The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F3 · ownership.nature: (Continued from footnote 2) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. The Reporting Person is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F4 · ownership.nature: (Continued from footnote 3) The Reporting Person is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. The Reporting Person is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. The Reporting Person disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. F5 · ownership.nature: The 4,887,932 shares consists of (i) 694,669 shares held of record by RiverVest II, (ii) 188,685 shares held of record by RiverVest (Ohio) II, (iii) 2,341,594 shares held of record by RiverVest III, (iv) 124,275 shares held of record by RiverVest (Ohio) III, (v) 1,483,103 shares held of record by 3x5 II and (vi) 55,606 shares held of record by 3x5 II-B. Read SEC document |
| May 12, 2020 Filed May 14, 2020 18:25 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 1,150,000 | $71.04 | $81,696,000.00 |
DisclosureSEC source: 0000899243-20-013117 · doc4.xml · nonDerivative · entry 1 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 5,750,506 F1 · ownership.nature: Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F2 · ownership.nature: (Continued from footnote 1) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. The Reporting Person is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F3 · ownership.nature: (Continued from footnote 2) The Reporting Person is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. The Reporting Person is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. The Reporting Person disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. F4 · ownership.nature: The 5,750,506 shares consists of (i) 817,257 shares held of record by RiverVest II, (ii) 221,982 shares held of record by RiverVest (Ohio) II, (iii) 2,754,816 shares held of record by RiverVest III, (iv) 146,206 shares held of record by RiverVest (Ohio) III, (v) 1,744,827 shares held of record by 3x5 II, and (vi) 65,418 shares held of record by 3x5 II-B. Read SEC document |
| June 07, 2019 Filed Jun 10, 2019 17:24 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 232 | $41.05 | $9,523.60 |
DisclosureSEC source: 0000899243-19-016233 · doc4.xml · nonDerivative · entry 3 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 6,900,506 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.02 to $41.09, inclusive. F3 · ownership.nature: Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F4 · ownership.nature: (Continued from footnote 3) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. The Reporting Person is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F5 · ownership.nature: (Continued from footnote 4) The Reporting Person is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. The Reporting Person is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. The Reporting Person disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. F8 · ownership.nature: The 6,900,506 shares consists of (i) 980,693 shares held of record by RiverVest II, (ii) 266,374 shares held of record by RiverVest (Ohio) II, (iii) 3,305,730 shares held of record by RiverVest III, (iv) 175,446 shares held of record by RiverVest (Ohio) III, (v) 2,093,762 shares held of record by 3x5 II, and (vi) 78,501 shares held of record by 3x5 II-B. Read SEC document |
| June 07, 2019 Filed Jun 10, 2019 17:24 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 7,100 | $40.58 | $288,118.00 |
DisclosureSEC source: 0000899243-19-016233 · doc4.xml · nonDerivative · entry 2 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 6,900,738 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.06 to $40.85, inclusive. F3 · ownership.nature: Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F4 · ownership.nature: (Continued from footnote 3) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. The Reporting Person is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F5 · ownership.nature: (Continued from footnote 4) The Reporting Person is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. The Reporting Person is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. The Reporting Person disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. Read SEC document |
| June 07, 2019 Filed Jun 10, 2019 17:24 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 31,400 | $39.62 | $1,244,068.00 |
DisclosureSEC source: 0000899243-19-016233 · doc4.xml · nonDerivative · entry 1 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 6,907,838 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.06 to $39.99, inclusive. The reporting persons undertake to provide Allakos Inc., any security holder of Allakos Inc., 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 ranges set forth in footnotes (2), (6) and (7) to this Form 4. F3 · ownership.nature: Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F4 · ownership.nature: (Continued from footnote 3) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. The Reporting Person is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F5 · ownership.nature: (Continued from footnote 4) The Reporting Person is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. The Reporting Person is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. The Reporting Person disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. Read SEC document |
| June 06, 2019 Filed Jun 6, 2019 19:27 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 47,893 | $40.01 | $1,916,198.93 |
DisclosureSEC source: 0000899243-19-015869 · doc4.xml · nonDerivative · entry 5 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 6,939,238 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.48 to $40.41, inclusive. F3 · ownership.nature: Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F4 · ownership.nature: (Continued from footnote 3) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. The Reporting Person is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F5 · ownership.nature: (Continued from footnote 4) The Reporting Person is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. The Reporting Person is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. The Reporting Person disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. F10 · ownership.nature: The 6,939,238 shares consists of (i) 980,693 shares held of record by RiverVest II, (ii) 266,374 shares held of record by RiverVest (Ohio) II, (iii) 3,305,730 shares held of record by RiverVest III, (iv) 175,446 shares held of record by RiverVest (Ohio) III, (v) 2,131,093 shares held of record by 3x5 II, and (vi) 79,902 shares held of record by 3x5 II-B. Read SEC document |
| June 05, 2019 Filed Jun 6, 2019 19:27 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 17,500 | $39.81 | $696,675.00 |
DisclosureSEC source: 0000899243-19-015869 · doc4.xml · nonDerivative · entry 4 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 6,987,131 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.39 to $40.07, inclusive. F3 · ownership.nature: Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F4 · ownership.nature: (Continued from footnote 3) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. The Reporting Person is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F5 · ownership.nature: (Continued from footnote 4) The Reporting Person is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. The Reporting Person is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. The Reporting Person disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. Read SEC document |
| June 05, 2019 Filed Jun 6, 2019 19:27 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 6,248 | $39.49 | $246,733.52 |
DisclosureSEC source: 0000899243-19-015869 · doc4.xml · nonDerivative · entry 3 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 7,004,631 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.05 to $39.78, inclusive. F3 · ownership.nature: Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F4 · ownership.nature: (Continued from footnote 3) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. The Reporting Person is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F5 · ownership.nature: (Continued from footnote 4) The Reporting Person is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. The Reporting Person is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. The Reporting Person disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. Read SEC document |
| June 04, 2019 Filed Jun 6, 2019 19:27 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 21,194 | $39.50 | $837,163.00 |
DisclosureSEC source: 0000899243-19-015869 · doc4.xml · nonDerivative · entry 2 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 7,010,879 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.41 to $39.73, inclusive. F3 · ownership.nature: Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F4 · ownership.nature: (Continued from footnote 3) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. The Reporting Person is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F5 · ownership.nature: (Continued from footnote 4) The Reporting Person is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. The Reporting Person is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. The Reporting Person disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. Read SEC document |
| June 04, 2019 Filed Jun 6, 2019 19:27 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 900 | $40.40 | $36,360.00 |
DisclosureSEC source: 0000899243-19-015869 · doc4.xml · nonDerivative · entry 1 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 7,032,073 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.13 to $41.01, inclusive. The reporting persons undertake to provide Allakos Inc., any security holder of Allakos Inc., 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 ranges set forth in footnotes (2), (6), (7), (8) and (9) to this Form 4. F3 · ownership.nature: Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F4 · ownership.nature: (Continued from footnote 3) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. The Reporting Person is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F5 · ownership.nature: (Continued from footnote 4) The Reporting Person is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. The Reporting Person is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. The Reporting Person disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. Read SEC document |
| June 03, 2019 Filed Jun 3, 2019 18:40 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 2,600 | $38.97 | $101,322.00 |
DisclosureSEC source: 0000899243-19-015407 · doc4.xml · nonDerivative · entry 6 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 7,032,973 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.37 to $39.29, inclusive. F3 · ownership.nature: Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F4 · ownership.nature: (Continued from footnote 3) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F5 · ownership.nature: (Continued from footnote 4) John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. F11 · ownership.nature: The 7,032,973 shares consists of (i) 980,693 shares held of record by RiverVest II, (ii) 266,374 shares held of record by RiverVest (Ohio) II, (iii) 3,332,643 shares held of record by RiverVest III, (iv) 176,875 shares held of record by RiverVest (Ohio) III, (v) 2,194,122 shares held of record by 3x5 II, and (vi) 82,266 shares held of record by 3x5 II-B. Read SEC document |
| June 03, 2019 Filed Jun 3, 2019 18:40 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 22,049 | $39.63 | $873,801.87 |
DisclosureSEC source: 0000899243-19-015407 · doc4.xml · nonDerivative · entry 5 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 7,035,573 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.38 to $40.00, inclusive. F3 · ownership.nature: Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F4 · ownership.nature: (Continued from footnote 3) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F5 · ownership.nature: (Continued from footnote 4) John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. Read SEC document |
| June 03, 2019 Filed Jun 3, 2019 18:40 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 4,257 | $40.16 | $170,961.12 |
DisclosureSEC source: 0000899243-19-015407 · doc4.xml · nonDerivative · entry 4 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 7,057,622 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.01 to $40.39, inclusive. F3 · ownership.nature: Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F4 · ownership.nature: (Continued from footnote 3) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F5 · ownership.nature: (Continued from footnote 4) John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. Read SEC document |
| May 31, 2019 Filed Jun 3, 2019 18:40 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 17,321 | $39.12 | $677,597.52 |
DisclosureSEC source: 0000899243-19-015407 · doc4.xml · nonDerivative · entry 3 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 7,061,879 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.50 to $39.45, inclusive. F3 · ownership.nature: Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F4 · ownership.nature: (Continued from footnote 3) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F5 · ownership.nature: (Continued from footnote 4) John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. F8 · ownership.nature: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.01 to $40.39, inclusive. Read SEC document |
| May 30, 2019 Filed Jun 3, 2019 18:40 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 7,079 | $40.06 | $283,584.74 |
DisclosureSEC source: 0000899243-19-015407 · doc4.xml · nonDerivative · entry 2 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 7,079,200 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.00 to $40.28, inclusive. F3 · ownership.nature: Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F4 · ownership.nature: (Continued from footnote 3) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F5 · ownership.nature: (Continued from footnote 4) John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. Read SEC document |
| May 30, 2019 Filed Jun 3, 2019 18:40 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 600 | $43.27 | $25,962.00 |
DisclosureSEC source: 0000899243-19-015407 · doc4.xml · nonDerivative · entry 1 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 7,086,279 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.20 to $43.36, inclusive. The reporting persons undertake to provide Allakos Inc., any security holder of Allakos Inc., 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 ranges set forth in footnotes (2), (6) and (7) to this Form 4. F3 · ownership.nature: Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F4 · ownership.nature: (Continued from footnote 3) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F5 · ownership.nature: (Continued from footnote 4) John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. Read SEC document |
| April 18, 2019 Filed Apr 18, 2019 18:55 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 1,028 | $34.82 | $35,794.96 |
DisclosureSEC source: 0000899243-19-010916 · doc4.xml · nonDerivative · entry 6 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 7,086,879 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.59 to $35.07, inclusive. F3 · ownership.nature: Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F4 · ownership.nature: (Continued from footnote 3) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F5 · ownership.nature: (Continued from footnote 4) John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. F11 · ownership.nature: The 7,086,879 shares consists of (i) 980,693 shares held of record by RiverVest II, (ii) 266,374 shares held of record by RiverVest (Ohio) II, (iii) 3,383,832 shares held of record by RiverVest III, (iv) 179,592 shares held of record by RiverVest (Ohio) III, (v) 2,194,122 shares held of record by 3x5 II, and (vi) 82,266 shares held of record by 3x5 II-B. Read SEC document |
| April 18, 2019 Filed Apr 18, 2019 18:55 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 2,400 | $36.07 | $86,568.00 |
DisclosureSEC source: 0000899243-19-010916 · doc4.xml · nonDerivative · entry 5 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 7,087,907 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.01 to $36.15, inclusive. F3 · ownership.nature: Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F4 · ownership.nature: (Continued from footnote 3) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F5 · ownership.nature: (Continued from footnote 4) John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. Read SEC document |
| April 17, 2019 Filed Apr 18, 2019 18:55 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 20,000 | $35.70 | $714,000.00 |
DisclosureSEC source: 0000899243-19-010916 · doc4.xml · nonDerivative · entry 4 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 7,090,307 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.70 to $35.80, inclusive. F3 · ownership.nature: Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F4 · ownership.nature: (Continued from footnote 3) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F5 · ownership.nature: (Continued from footnote 4) John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. Read SEC document |
| April 17, 2019 Filed Apr 18, 2019 18:55 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 35,889 | $36.33 | $1,303,847.37 |
DisclosureSEC source: 0000899243-19-010916 · doc4.xml · nonDerivative · entry 3 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 7,110,307 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.25 to $36.89, inclusive. F3 · ownership.nature: Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F4 · ownership.nature: (Continued from footnote 3) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F5 · ownership.nature: (Continued from footnote 4) John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. Read SEC document |
| April 16, 2019 Filed Apr 18, 2019 18:55 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 7,321 | $36.80 | $269,412.80 |
DisclosureSEC source: 0000899243-19-010916 · doc4.xml · nonDerivative · entry 2 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 7,146,196 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.52 to $37.00, inclusive. F3 · ownership.nature: Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F4 · ownership.nature: (Continued from footnote 3) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F5 · ownership.nature: (Continued from footnote 4) John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. Read SEC document |
| April 16, 2019 Filed Apr 18, 2019 18:55 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 22,679 | $37.23 | $844,339.17 |
DisclosureSEC source: 0000899243-19-010916 · doc4.xml · nonDerivative · entry 1 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 7,153,517 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.01 to $38.00, inclusive. The reporting persons undertake to provide Allakos Inc., any security holder of Allakos Inc., 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 ranges set forth in footnotes (2), (6), (7), (8), (9) and (10) to this Form 4. F3 · ownership.nature: Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. F4 · ownership.nature: (Continued from footnote 3) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. F5 · ownership.nature: (Continued from footnote 4) John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. Read SEC document |
| February 19, 2019 Filed Feb 20, 2019 17:58 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 92,219 | $34.34 | $3,166,800.46 |
DisclosureSEC source: 0000899243-19-004298 · doc4.xml · nonDerivative · entry 3 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 7,176,196 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.00 to $34.38, inclusive. F3 · ownership.nature: Consists of (i) 980,693 shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) 266,374 shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) 3,468,647 shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) 184,094 shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) 2,194,122 shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) 82,266 shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). F4 · ownership.nature: The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. F5 · ownership.nature: The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. F6 · ownership.nature: The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 17:58 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 40,772 | $34.72 | $1,415,603.84 |
DisclosureSEC source: 0000899243-19-004298 · doc4.xml · nonDerivative · entry 2 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 7,268,415 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.12 to $34.99, inclusive. F3 · ownership.nature: Consists of (i) 980,693 shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) 266,374 shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) 3,468,647 shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) 184,094 shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) 2,194,122 shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) 82,266 shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). F4 · ownership.nature: The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. F5 · ownership.nature: The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. F6 · ownership.nature: The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 17:58 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 9,228 | $35.03 | $323,256.84 |
DisclosureSEC source: 0000899243-19-004298 · doc4.xml · nonDerivative · entry 1 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 7,309,187 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.36, inclusive. The reporting persons undertake to provide Allakos Inc., any security holder of Allakos Inc., 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 ranges set forth in footnotes (2), (7) and (8) to this Form 4. F3 · ownership.nature: Consists of (i) 980,693 shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) 266,374 shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) 3,468,647 shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) 184,094 shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) 2,194,122 shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) 82,266 shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). F4 · ownership.nature: The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. F5 · ownership.nature: The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. F6 · ownership.nature: The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. Read SEC document |
| January 24, 2019 Filed Jan 28, 2019 14:59 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 39,882 | $42.42 | $1,691,794.44 |
DisclosureSEC source: 0000899243-19-002027 · doc4.xml · nonDerivative · entry 2 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 7,318,415 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.05 to $42.99, inclusive. F3 · ownership.nature: Consists of (i) 980,693 shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) 266,374 shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) 3,468,647 shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) 184,094 shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) 2,331,987 shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) 86,620 shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). F4 · ownership.nature: The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. F5 · ownership.nature: The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. F6 · ownership.nature: The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. Read SEC document |
| January 24, 2019 Filed Jan 28, 2019 14:59 UTC | Allakos Inc. ALLK · Entity 79644 | SaleCommon Stock | 12,955 | $43.26 | $560,433.30 |
DisclosureSEC source: 0000899243-19-002027 · doc4.xml · nonDerivative · entry 1 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 7,278,533 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.005 to $43.67, inclusive. The reporting persons undertake to provide Allakos Inc., any security holder of Allakos Inc., 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 ranges set forth in footnotes (1) and (6) to this Form 4. F3 · ownership.nature: Consists of (i) 980,693 shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) 266,374 shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) 3,468,647 shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) 184,094 shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) 2,331,987 shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) 86,620 shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). F4 · ownership.nature: The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. F5 · ownership.nature: The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. F6 · ownership.nature: The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. Read SEC document |
| July 23, 2018 Filed Jul 23, 2018 17:07 UTC | Allakos Inc. ALLK · Entity 79644 | ConversionSeries B Preferred Stock · Derivative | 777,417 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-043631 · doc4.xml · derivative · entry 4 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 777,417 shares Expires not disclosed 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_price: The Series B Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F2 · derivative.exercise_date: The Series B Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F2 · derivative.expiration_date: The Series B Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F4 · ownership.nature: The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. F5 · ownership.nature: The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. F6 · ownership.nature: The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. F9 · ownership.nature: RiverVest II owns 26,199 shares of Series B Preferred Stock. RiverVest (Ohio) II owns 7,116 shares of Series B Preferred Stock. RiverVest III owns 284,750 shares of Series B Preferred Stock. RiverVest (Ohio) III owns 15,112 shares of Series B Preferred Stock. 3x5 II owns 428,071 shares of Series B Preferred Stock. 3x5 II-B owns 16,169 shares of Series B Preferred Stock. Read SEC document |
| July 23, 2018 Filed Jul 23, 2018 17:07 UTC | Allakos Inc. ALLK · Entity 79644 | ConversionSeries A Preferred Stock · Derivative | 6,482,724 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-043631 · doc4.xml · derivative · entry 3 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 6,482,724 shares Expires not disclosed 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_price: The Series A Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_date: The Series A Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.expiration_date: The Series A Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F4 · ownership.nature: The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. F5 · ownership.nature: The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. F6 · ownership.nature: The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. F8 · ownership.nature: RiverVest II owns 954,494 shares of Series A Preferred Stock. RiverVest (Ohio) II owns 259,258 shares of Series A Preferred Stock. RiverVest III owns 3,234,069 shares of Series A Preferred Stock. RiverVest (Ohio) III owns 171,647 shares of Series A Preferred Stock. 3x5 II owns 1,795,434 shares of Series A Preferred Stock. 3x5 II-B owns 67,822 shares of Series A Preferred Stock. Read SEC document |
| July 23, 2018 Filed Jul 23, 2018 17:07 UTC | Allakos Inc. ALLK · Entity 79644 | PurchaseCommon Stock | 111,111 | $18.00 | $1,999,998.00 |
DisclosureSEC source: 0001209191-18-043631 · doc4.xml · nonDerivative · entry 2 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 7,371,252 F4 · ownership.nature: The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. F5 · ownership.nature: The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. F6 · ownership.nature: The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. F7 · ownership.nature: Consists of (i) 980,693 shares held of record by RiverVest II, (ii) 266,374 shares held of record by RiverVest (Ohio) II, (iii) 3,518,819 shares held of record by RiverVest III, (iv) 186,759 shares held of record by RiverVest (Ohio) III, (v) 2,331,987 shares held of record by 3x5 II, and (vi) 86,620 shares held of record by 3x5 II-B. Read SEC document |
| July 23, 2018 Filed Jul 23, 2018 17:07 UTC | Allakos Inc. ALLK · Entity 79644 | ConversionCommon Stock | 7,260,141 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-043631 · doc4.xml · nonDerivative · entry 1 RiverVest Venture Fund III, L.P. · CIK 0001601559 · 10% owner RiverVest Venture Fund II (Ohio), L.P. · CIK 0001606398 · 10% owner RiverVest Venture Fund III (Ohio), L.P. · CIK 0001636686 · 10% owner RIVERVEST VENTURE FUND II L P · CIK 0001374953 · 10% owner 3x5 RiverVest Fund II, L.P. · CIK 0001657449 · 10% owner 3x5 RiverVest Fund II-B, L.P. · CIK 0001684103 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 7,260,141 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 · price: The Series A Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F2 · price: The Series B Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date. F3 · ownership.nature: Consists of (i) 980,693 shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) 266,374 shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) 3,518,819 shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) 186,759 shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) 2,223,505 shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) 83,991 shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). F4 · ownership.nature: The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. F5 · ownership.nature: The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. F6 · ownership.nature: The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein. 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.