Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Adaptimmune Therapeutics PLCADAP · Entity 9824 | President, R&D | August 06, 2019 | August 08, 2019 |
| Allogene Therapeutics, Inc.ALLO · Entity 5243 | EVP of R&D | October 07, 2022 | October 11, 2022 |
| Zai Lab LtdZLAB · Entity 4271 | See Remarks | April 06, 2026 | April 08, 2026 |
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.
Adaptimmune Therapeutics PLC
Report date August 06, 2019 · Filed August 08, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| American Depositary Shares representing Ordinary SharesSEC Table I · non-derivative | Direct | 17,237 |
Reported balance
After 2019-08-06 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-08-06 · Sale · Disposed 11,043 · Balance 17,237 F1: Each American Depositary Share ("ADS") represents six ordinary shares, nominal value GBP 0.001 per ordinary share, of the Issuer. The ADSs were obtained from the exercise of approximately 25% of an RSU-style share option covering ordinary shares of the Issuer granted on August 6, 2018 and which vested on August 6, 2019. Once vested, the RSU-style options must be exercised within a restricted period or they are forfeited. The exercise of the portion of these RSU-style share options and the sale reported in this Form 4 were effected pursuant to a Sell to Cover exercise implemented automatically in accordance with the Issuer's option plan, under which sufficient ADSs were sold by the Issuer to satisfy the Reporting Person's tax withholding obligations and associated sale costs. The residual ADSs are held by the Reporting Person. F2: The price reported in Column 4 is a weighted average price. These ADSs were sold in multiple transactions at prices ranging from $2.02 to $2.085, inclusive. Upon request, the Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission full information regarding the ADSs sold at each separate price within the range set forth in this footnote. F3: The ADSs reported in this Column 5 represent solely those residual ADSs held by the Reporting Person which result from the Sell to Cover exercise transaction reported on this Form 4. Additionally, the Reporting Person holds 20,974 ADSs and RSU-style options and other options covering an aggregate of 9,356,928 ordinary shares of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: Each American Depositary Share ("ADS") represents six ordinary shares, nominal value GBP 0.001 per ordinary share, of the Issuer. The ADSs were obtained from the exercise of approximately 25% of an RSU-style share option covering ordinary shares of the Issuer granted on August 6, 2018 and which vested on August 6, 2019. Once vested, the RSU-style options must be exercised within a restricted period or they are forfeited. The exercise of the portion of these RSU-style share options and the sale reported in this Form 4 were effected pursuant to a Sell to Cover exercise implemented automatically in accordance with the Issuer's option plan, under which sufficient ADSs were sold by the Issuer to satisfy the Reporting Person's tax withholding obligations and associated sale costs. The residual ADSs are held by the Reporting Person.
F2: The price reported in Column 4 is a weighted average price. These ADSs were sold in multiple transactions at prices ranging from $2.02 to $2.085, inclusive. Upon request, the Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission full information regarding the ADSs sold at each separate price within the range set forth in this footnote.
F3: The ADSs reported in this Column 5 represent solely those residual ADSs held by the Reporting Person which result from the Sell to Cover exercise transaction reported on this Form 4. Additionally, the Reporting Person holds 20,974 ADSs and RSU-style options and other options covering an aggregate of 9,356,928 ordinary shares of the Issuer.
Allogene Therapeutics, Inc.
Report date October 07, 2022 · Filed October 11, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 541,946 |
Ending reported balance
After 2022-10-07 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2022-10-07 · Grant · Acquired 19,120 · Balance 550,410 F1: Represents the vesting of performance-based restricted stock units (Performance RSUs) granted on September 3, 2019. Performance RSUs vested upon the initiation of a Phase 2 clinical trial of ALLO-501A. Each Performance RSU represents the right to receive one share of common stock of the Issuer. Row 2 · 2022-10-07 · Tax withholding · Disposed 8,464 · Balance 541,946 F2: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.7081 to $11.845, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the vesting of performance-based restricted stock units (Performance RSUs) granted on September 3, 2019. Performance RSUs vested upon the initiation of a Phase 2 clinical trial of ALLO-501A. Each Performance RSU represents the right to receive one share of common stock of the Issuer.
F2: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.7081 to $11.845, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
Zai Lab Ltd
Report date April 06, 2026 · Filed April 08, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| American Depositary SharesSEC Table I · non-derivative | Direct | 57,022 |
Reported balance
After 2026-04-06 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-04-06 · Sale · Disposed 2,739 · Balance 57,022 F1: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs. F2: These ADSs were sold automatically to cover taxes upon vesting of Restricted Share Units. |
Filing footnotes · ownership attribution and instrument terms
F1: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.
F2: These ADSs were sold automatically to cover taxes upon vesting of Restricted Share Units.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Poseida Therapeutics, Inc.
Report date January 08, 2025 · Filed January 08, 2025
Section 16 reporting ended · disclosed 2025-01-08. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2025-01-08 transaction · row 1
1 source rowRow 1 · 2025-01-08 · Other · Disposed 58,950 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 25, 2024, by and among Poseida Therapeutics, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Blue Giant Acquisition Corp., a wholly owned subsidiary of Parent ("Merger Sub"). On January 8, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $9.00 per Share in cash (the "Cash Amount"), and (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $4.00 per Share, [continues to Footnote 2] F2: [continues from Footnote 1] in cash, upon the achievement of specified milestones, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"), in each case, without interest, and subject to any applicable withholding taxes (the Cash Amount plus one CVR, collectively, the "Offer Price"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.76 · Expires 2033-04-30 | Direct | 0 |
Reported balance
After 2025-01-08 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-01-08 · Disposition to issuer · Disposed 55,200 · Balance 0 F3: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4] F4: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5] F5: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.81 · Expires 2034-06-16 | Direct | 0 |
Reported balance
After 2025-01-08 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-01-08 · Disposition to issuer · Disposed 27,350 · Balance 0 F3: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4] F4: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5] F5: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 25, 2024, by and among Poseida Therapeutics, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Blue Giant Acquisition Corp., a wholly owned subsidiary of Parent ("Merger Sub"). On January 8, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $9.00 per Share in cash (the "Cash Amount"), and (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $4.00 per Share, [continues to Footnote 2]
F2: [continues from Footnote 1] in cash, upon the achievement of specified milestones, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"), in each case, without interest, and subject to any applicable withholding taxes (the Cash Amount plus one CVR, collectively, the "Offer Price"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price.
F3: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4]
F4: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5]
F5: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof.
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 |
|---|---|---|---|---|---|---|
| December 30, 2022 Filed Jan 3, 2023 21:10 UTC | Zai Lab Ltd ZLAB · Entity 4271 | GrantStock Options (Right to Buy) · Derivative | 183,700 | $0.00 Strike: $30.70 | $0.00 |
DisclosureSEC source: 0000899243-23-000212 · doc4.xml · derivative · entry 2 Amado Rafael · CIK 0001662119 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,700 Underlying: American Depositary Shares · 183,700 shares Expires 2032-12-30 F2 · derivative.exercise_date: The Stock Options vest in equal annual installments over five years beginning on 12/30/2023, the first anniversary of the date of grant. Read SEC document |
| December 30, 2022 Filed Jan 3, 2023 21:10 UTC | Zai Lab Ltd ZLAB · Entity 4271 | GrantAmerican Depositary Shares | 126,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-000212 · doc4.xml · nonDerivative · entry 1 Amado Rafael · CIK 0001662119 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,000 F1 · security: Each American Depositary Share (ADS) represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs. Read SEC document |
| October 07, 2022 Filed Oct 11, 2022 20:35 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Tax withholdingCommon Stock | 8,464 | $11.83 | $100,099.50 |
DisclosureSEC source: 0001593968-22-001505 · primary_01.xml · nonDerivative · entry 2 Amado Rafael · CIK 0001662119 · EVP of R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 541,946 F2 · shares: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.7081 to $11.845, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. Read SEC document |
| October 07, 2022 Filed Oct 11, 2022 20:35 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | GrantCommon Stock | 19,120 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-22-001505 · primary_01.xml · nonDerivative · entry 1 Amado Rafael · CIK 0001662119 · EVP of R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 550,410 F1 · shares: Represents the vesting of performance-based restricted stock units (Performance RSUs) granted on September 3, 2019. Performance RSUs vested upon the initiation of a Phase 2 clinical trial of ALLO-501A. Each Performance RSU represents the right to receive one share of common stock of the Issuer. Read SEC document |
| October 03, 2022 Filed Oct 5, 2022 20:02 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Tax withholdingCommon Stock | 8,968 | $11.06 | $99,201.33 |
DisclosureSEC source: 0001593968-22-001495 · primary_01.xml · nonDerivative · entry 1 Amado Rafael · CIK 0001662119 · EVP of R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 531,290 F1 · shares: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.01 to $11.08, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F3 · balance_after: Includes 1 share of the Issuer's common stock acquired by the reporting person on September 15, 2022 pursuant to an employee stock purchase program Read SEC document |
| August 02, 2022 Filed Aug 2, 2022 21:40 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 2,000 | $11.97 | $23,940.00 |
DisclosureSEC source: 0001737287-22-000057 · primary_doc.xml · nonDerivative · entry 1 Amado Rafael · CIK 0001662119 · EVP of R&D and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 540,257 F1 · shares: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in February 2022. Read SEC document |
| July 05, 2022 Filed Jul 6, 2022 20:16 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 2,000 | $11.44 | $22,880.00 |
DisclosureSEC source: 0001662119-22-000002 · primary_doc.xml · nonDerivative · entry 1 Amado Rafael · CIK 0001662119 · EVP of R&D and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 542,257 F1 · kind: 1. The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in February 2022. Read SEC document |
| June 21, 2022 Filed Jun 22, 2022 20:47 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 2,000 | $11.18 | $22,360.00 |
DisclosureSEC source: 0001214659-22-008241 · marketforms-56501.xml · nonDerivative · entry 1 Amado Rafael · CIK 0001662119 · EVP of R&D and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 544,257 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in February 2022. Read SEC document |
| May 19, 2022 Filed May 19, 2022 21:40 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 11,500 | $7.40 | $85,091.95 |
DisclosureSEC source: 0001214659-22-007226 · marketforms-56248.xml · nonDerivative · entry 1 Amado Rafael · CIK 0001662119 · EVP of R&D and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 546,257 F1 · kind: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.32 to 7.445, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F3 · balance_after: Includes 280 shares of the Issuer's common stock acquired by the reporting person on September 15, 2021 pursuant to an employee stock purchase program. Read SEC document |
| March 23, 2022 Filed Mar 25, 2022 21:52 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | GrantStock Option (Right to Buy) · Derivative | 368,589 | $0.00 Strike: $9.69 | $0.00 |
DisclosureSEC source: 0001214659-22-004375 · marketforms-55855.xml · derivative · entry 2 Amado Rafael · CIK 0001662119 · EVP of R&D and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 368,589 Underlying: Common Stock · 368,589 shares Expires 2032-03-23 F1 · derivative.exercise_date: 25% of the shares subject to the stock option shall vest on March 13, 2023, and the remaining shares shall vest in 36 equal monthly installments thereafter Read SEC document |
| March 23, 2022 Filed Mar 25, 2022 21:52 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | GrantCommon Stock | 237,358 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-22-004375 · marketforms-55855.xml · nonDerivative · entry 1 Amado Rafael · CIK 0001662119 · EVP of R&D and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 557,477 Read SEC document |
| March 15, 2022 Filed Mar 17, 2022 21:59 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 5,169 | $7.71 | $39,847.82 |
DisclosureSEC source: 0001214659-22-004087 · marketforms-55824.xml · nonDerivative · entry 1 Amado Rafael · CIK 0001662119 · EVP of R&D and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 320,119 F1 · shares: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.69 to $7.73, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F3 · balance_after: Includes 1360 shares of the Issuer's common stock acquired by the reporting person on March 15, 2022 pursuant to an employee stock purchase program. Read SEC document |
| October 01, 2021 Filed Oct 4, 2021 21:55 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 11,507 | $24.35 | $280,185.09 |
DisclosureSEC source: 0001214659-21-010210 · marketforms-53959.xml · nonDerivative · entry 1 Amado Rafael · CIK 0001662119 · EVP of R&D and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 323,928 F1 · kind: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.17 to $24.52, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. Read SEC document |
| May 18, 2021 Filed May 20, 2021 21:22 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | GrantCommon Stock | 200,534 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-21-005769 · marketforms-52850.xml · nonDerivative · entry 1 Amado Rafael · CIK 0001662119 · EVP of R&D and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 335,435 Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 20:47 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | GrantStock Option (Right to Buy) · Derivative | 92,365 | $0.00 Strike: $33.78 | $0.00 |
DisclosureSEC source: 0001214659-21-003598 · marketforms-52122.xml · derivative · entry 2 Amado Rafael · CIK 0001662119 · EVP of R&D and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,365 Underlying: Common Stock · 92,365 shares Expires 2031-03-26 F1 · derivative.exercise_date: 25% of the shares subject to the stock option shall vest on March 13, 2022, and the remaining shares shall vest in 36 equal monthly installments thereafter. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 20:47 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | GrantCommon Stock | 24,866 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-21-003598 · marketforms-52122.xml · nonDerivative · entry 1 Amado Rafael · CIK 0001662119 · EVP of R&D and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,901 Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 21:01 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 2,798 | $38.05 | $106,470.62 |
DisclosureSEC source: 0001214659-21-003241 · marketforms-51922.xml · nonDerivative · entry 1 Amado Rafael · CIK 0001662119 · EVP of R&D and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,035 F1 · kind: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.975 to $38.12, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F3 · balance_after: Includes 1,156 shares of the Issuer's common stock acquired by the reporting person on March 15, 2021 pursuant to an employee stock purchase program. Read SEC document |
| October 07, 2020 Filed Oct 8, 2020 21:10 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 16,538 | $39.40 | $651,514.51 |
DisclosureSEC source: 0001214659-20-008508 · marketforms-49847.xml · nonDerivative · entry 1 Amado Rafael · CIK 0001662119 · EVP of R&D and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,677 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in June 2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.00 to $39.64, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. Read SEC document |
| October 01, 2020 Filed Oct 2, 2020 20:40 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 9,752 | $36.37 | $354,661.71 |
DisclosureSEC source: 0001214659-20-008375 · marketforms-49821.xml · nonDerivative · entry 1 Amado Rafael · CIK 0001662119 · EVP of R&D and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,215 F1 · kind: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.20 to $36.74, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F3 · balance_after: Includes 863 and 1,142 shares of the Issuer's common stock acquired by the reporting person on March 13, 2020 and September 15, 2020, respectively, pursuant to an employee stock purchase program. Read SEC document |
| March 18, 2020 Filed Mar 20, 2020 20:37 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | GrantStock Option (Right to Buy) · Derivative | 109,600 | $0.00 Strike: $18.22 | $0.00 |
DisclosureSEC source: 0001214659-20-002804 · marketforms-48393.xml · derivative · entry 2 Amado Rafael · CIK 0001662119 · EVP of R&D and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,600 Underlying: Common Stock · 109,600 shares Expires 2030-03-17 F1 · derivative.exercise_date: 25% of the shares subject to the stock option shall vest on March 13, 2021, and the remaining shares shall vest in 36 equal monthly installments thereafter. Read SEC document |
| March 18, 2020 Filed Mar 20, 2020 20:37 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | GrantCommon Stock | 30,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-20-002804 · marketforms-48393.xml · nonDerivative · entry 1 Amado Rafael · CIK 0001662119 · EVP of R&D and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,962 Read SEC document |
| September 03, 2019 Filed Sep 5, 2019 20:44 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | GrantStock Option (Right to Buy) · Derivative | 160,630 | $0.00 Strike: $26.15 | $0.00 |
DisclosureSEC source: 0001214659-19-005669 · marketforms-45677.xml · derivative · entry 2 Amado Rafael · CIK 0001662119 · EVP of R&D and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,630 Underlying: Common Stock · 160,630 shares Expires 2029-09-02 F1 · derivative.exercise_date: Twenty-five percent of the shares subject to the stock option shall vest on the first anniversary of the grant date, and the remaining shares shall vest in 36 equal monthly installments thereafter. Read SEC document |
| September 03, 2019 Filed Sep 5, 2019 20:44 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | GrantCommon Stock | 105,162 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-19-005669 · marketforms-45677.xml · nonDerivative · entry 1 Amado Rafael · CIK 0001662119 · EVP of R&D and CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,162 Read SEC document |
| August 06, 2019 Filed Aug 8, 2019 01:00 UTC | Adaptimmune Therapeutics PLC ADAP · Entity 9824 | SaleAmerican Depositary Shares representing Ordinary Shares | 11,043 | $2.06 | $22,748.58 |
DisclosureSEC source: 0001104659-19-044630 · a4.xml · nonDerivative · entry 1 Amado Rafael · CIK 0001662119 · President, R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,237 F1 · security: Each American Depositary Share ("ADS") represents six ordinary shares, nominal value GBP 0.001 per ordinary share, of the Issuer. The ADSs were obtained from the exercise of approximately 25% of an RSU-style share option covering ordinary shares of the Issuer granted on August 6, 2018 and which vested on August 6, 2019. Once vested, the RSU-style options must be exercised within a restricted period or they are forfeited. The exercise of the portion of these RSU-style share options and the sale reported in this Form 4 were effected pursuant to a Sell to Cover exercise implemented automatically in accordance with the Issuer's option plan, under which sufficient ADSs were sold by the Issuer to satisfy the Reporting Person's tax withholding obligations and associated sale costs. The residual ADSs are held by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. These ADSs were sold in multiple transactions at prices ranging from $2.02 to $2.085, inclusive. Upon request, the Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission full information regarding the ADSs sold at each separate price within the range set forth in this footnote. F3 · balance_after: The ADSs reported in this Column 5 represent solely those residual ADSs held by the Reporting Person which result from the Sell to Cover exercise transaction reported on this Form 4. Additionally, the Reporting Person holds 20,974 ADSs and RSU-style options and other options covering an aggregate of 9,356,928 ordinary shares of the Issuer. Read SEC document |
| January 14, 2019 Filed Jan 17, 2019 02:31 UTC | Adaptimmune Therapeutics PLC ADAP · Entity 9824 | SaleAmerican Depositary Shares representing Ordinary Shares | 3,028 | $5.37 | $16,258.54 |
DisclosureSEC source: 0001104659-19-002164 · a4.xml · nonDerivative · entry 1 Amado Rafael · CIK 0001662119 · President, R & D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,974 F1 · security: Each American Depositary Share ("ADS") represents six ordinary shares, nominal value GBP 0.001 per ordinary share, of the Issuer. The ADSs were obtained from the exercise of approximately 25% of an RSU-style share option covering ordinary shares of the Issuer granted on January 12, 2018 and which vested on January 12, 2019. Once vested, the RSU-style options must be exercised within a restricted period or they are forfeited. The exercise of the portion of these RSU-style share options and the sale reported in this Form 4 were effected pursuant to a Sell to Cover exercise implemented automatically in accordance with the Issuer's option plan, under which sufficient ADSs were sold by the Issuer to satisfy the Reporting Person's tax withholding obligations and associated sale costs. The residual ADSs are held by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. These ADSs were sold in multiple transactions at prices ranging from $5.21 to $5.70, inclusive. Upon request, the Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission full information regarding the ADSs sold at each separate price within the range set forth in this footnote. F3 · balance_after: The ADSs reported in this Column 5 represent solely those residual ADSs held by the Reporting Person which result from the Sell to Cover exercise transaction reported on this Form 4. Additionally, the Reporting Person holds 16,000 ADSs and RSU-style options and other options covering an aggregate of 9,526,608 ordinary shares of the Issuer. Read SEC document |
| January 04, 2019 Filed Jan 9, 2019 02:01 UTC | Adaptimmune Therapeutics PLC ADAP · Entity 9824 | GrantOption to purchase Ordinary Shares · Derivative | 224,724 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-001301 · a4.xml · derivative · entry 2 Amado Rafael · CIK 0001662119 · President, R & D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 224,724 Underlying: Ordinary Shares · 224,724 shares Expires not disclosed F3 · derivative.exercise_price: The exercise price was converted from GBP0.001, being the nominal value of an ordinary share, based on an exchange rate of $U.S. 1.26332 - GBP1.00. The actual exercise price will be the pounds sterling amount. F4 · derivative.exercise_date: Exercisable as to 56,178 Ordinary Shares on January 4, 2020 and will be exercisable as to the remainder in annual installments of 56,178 Ordinary Shares on January 4, 2021 and January 4, 2022 and 56,190 Ordinary Shares on January 4, 2023. F5 · derivative.expiration_date: The expiration date of each annual installment of ordinary shares is March 15 of the calendar year following the year in which that installment becomes exercisable. Read SEC document |
| January 04, 2019 Filed Jan 9, 2019 02:01 UTC | Adaptimmune Therapeutics PLC ADAP · Entity 9824 | GrantOption to purchase Ordinary Shares · Derivative | 1,006,224 | $0.00 Strike: $0.89 | $0.00 |
DisclosureSEC source: 0001104659-19-001301 · a4.xml · derivative · entry 1 Amado Rafael · CIK 0001662119 · President, R & D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,006,224 Underlying: Ordinary Shares · 1,006,224 shares Expires 2029-01-04 F1 · derivative.exercise_price: The exercise price was converted from GBP0.70 based on an exchange rate of $U.S. 1.26332 - GBP1.00. The actual exercise price will be the pounds sterling amount. F2 · derivative.exercise_date: Exercisable as to 251,556 Ordinary Shares on January 4, 2020 and will be exercisable as to the remainder in monthly installments of 20,958 Ordinary Shares on the fourth of each month from February 4, 2020 through December 4, 2022 and 21,138 Ordinary Shares on January 4, 2023. Read SEC document |
| August 06, 2018 Filed Aug 7, 2018 21:14 UTC | Adaptimmune Therapeutics PLC ADAP · Entity 9824 | GrantOption to purchase Ordinary Shares · Derivative | 678,720 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-050188 · a4.xml · derivative · entry 1 Amado Rafael · CIK 0001662119 · President, R & D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 678,720 Underlying: Ordinary Shares · 678,720 shares Expires not disclosed F1 · derivative.exercise_price: The exercise price was converted from GBP0.001, being the nominal value of an ordinary share, based on an exchange rate of $U.S. 1.29679 - GBP1.00. The actual exercise price will be the pounds sterling amount. F2 · derivative.exercise_date: Exercisable as to 169,680 Ordinary Shares on August 6, 2019 and will be exercisable as to the remainder in annual installments of 169,680 Ordinary Shares on the sixth of each August from August 6, 2020 through August 6, 2022. F3 · derivative.expiration_date: The expiration date of each annual installment of ordinary shares is March 15 of the calendar year following the year in which that installment becomes exercisable. Read SEC document |
| January 12, 2018 Filed Jan 17, 2018 22:20 UTC | Adaptimmune Therapeutics PLC ADAP · Entity 9824 | GrantOption to purchase Ordinary Shares · Derivative | 192,060 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-002674 · a4.xml · derivative · entry 2 Amado Rafael · CIK 0001662119 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,060 Underlying: Ordinary Shares · 192,060 shares Expires not disclosed F3 · derivative.exercise_price: The exercise price was converted from GBP0.001, being the nominal value of an ordinary share, based on an exchange rate of $U.S. 1.3542 - GBP1.00. The actual exercise price will be the pounds sterling amount. F4 · derivative.exercise_date: Exercisable as to 48,015 Ordinary Shares on January 12, 2019 and will be exercisable as to the remainder in annual installments of 48,015 Ordinary Shares on the twelfth of each January from January 12, 2020 through January 12, 2022. F5 · derivative.expiration_date: The expiration date of each annual installment of ordinary shares is March 15 of the calendar year following the year in which that installment becomes exercisable. Read SEC document |
| January 12, 2018 Filed Jan 17, 2018 22:20 UTC | Adaptimmune Therapeutics PLC ADAP · Entity 9824 | GrantOption to purchase Ordinary Shares · Derivative | 859,968 | $0.00 Strike: $1.30 | $0.00 |
DisclosureSEC source: 0001104659-18-002674 · a4.xml · derivative · entry 1 Amado Rafael · CIK 0001662119 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 859,968 Underlying: Ordinary Shares · 859,968 shares Expires 2028-01-12 F1 · derivative.exercise_price: The exercise price was converted from GBP0.96 based on an exchange rate of $U.S. 1.3542 - GBP1.00. The actual exercise price will be the pounds sterling amount. F2 · derivative.exercise_date: Exercisable as to 214,992 Ordinary Shares on January 12, 2019 and will be exercisable as to the remainder in monthly installments of 17,916 Ordinary Shares on the twelfth of each month from February 12, 2019 through January 12, 2022. Read SEC document |
| January 13, 2017 Filed Jan 18, 2017 22:01 UTC | Adaptimmune Therapeutics PLC ADAP · Entity 9824 | GrantOption to purchase Ordinary Shares · Derivative | 2,072,976 | $0.00 Strike: $0.72 | $0.00 |
DisclosureSEC source: 0001104659-17-002823 · a4.xml · derivative · entry 1 Amado Rafael · CIK 0001662119 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,072,976 Underlying: Ordinary Shares · 2,072,976 shares Expires 2027-01-13 F1 · derivative.exercise_price: The exercise price was converted from GBP0.59 based on the closing midpoint exchange rate for the U.S. dollar on the day prior to the date of grant listed in the Financial Times. The actual exercise price will be the pounds sterling amount. F2 · derivative.exercise_date: Exercisable as to 518,244 Ordinary Shares on January 13, 2018 and will be exercisable as to the remainder in monthly installments of 43,187 Ordinary Shares on the thirteenth of each month from February 13, 2018 through January 13, 2021. 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.