Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Allogene Therapeutics, Inc.ALLO · Entity 5243 | Chief Technical Officer | March 22, 2023 | March 25, 2023 |
| Artiva Biotherapeutics, Inc.ARTV · Entity 5404 | Director | September 10, 2026 | September 14, 2026 |
| CODEXIS, INC.CDXS · Entity 6428 | Director · President and CEO | October 12, 2026 | October 14, 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.
Allogene Therapeutics, Inc.
Report date March 22, 2023 · Filed March 25, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 672,731 |
Reported balance
After 2023-03-22 transaction · row 1
1 source rowRow 1 · 2023-03-22 · Grant · Acquired 558,094 · Balance 672,731 F1: Includes 429,303 of performance RSUs which shall vest as follows: (1) 33% shall vest if the 30-day weighted average stock price is equal to or greater than $18 and (2) 67% shall vest upon the first regulatory approval of a product candidate. Notwithstanding the foregoing (1) any portion that vests upon the stock price threshold shall no longer vest and be terminated after three years from the grant date if such threshold has not been met in such three-year period, and (2) any portion that vests upon product candidate approval shall no longer vest and be terminated after five years from the grant date if such approval has not occurred in such five-year period. |
| Stock Option (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.04 · Expires 2033-03-22 | Direct | 432,738 |
Reported balance
After 2023-03-22 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-03-22 · Grant · Acquired 432,738 · Balance 432,738 F2: 25% of the shares subject to the stock option shall vest on March 13, 2024, and the remaining shares shall vest in 36 equal monthly installments thereafter. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 429,303 of performance RSUs which shall vest as follows: (1) 33% shall vest if the 30-day weighted average stock price is equal to or greater than $18 and (2) 67% shall vest upon the first regulatory approval of a product candidate. Notwithstanding the foregoing (1) any portion that vests upon the stock price threshold shall no longer vest and be terminated after three years from the grant date if such threshold has not been met in such three-year period, and (2) any portion that vests upon product candidate approval shall no longer vest and be terminated after five years from the grant date if such approval has not occurred in such five-year period.
F2: 25% of the shares subject to the stock option shall vest on March 13, 2024, and the remaining shares shall vest in 36 equal monthly installments thereafter.
Artiva Biotherapeutics, Inc.
Report date September 10, 2026 · Filed September 14, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.42 · Expires 2036-09-09 | Direct | 16,250 |
Reported balance
After 2026-09-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-09-10 · Grant · Acquired 16,250 · Balance 16,250 F1: The shares subject to the option will vest in full on the earlier of September 10, 2027, or the date of the Issuer's 2027 annual stockholder meeting. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option will vest in full on the earlier of September 10, 2027, or the date of the Issuer's 2027 annual stockholder meeting.
CODEXIS, INC.
Report date October 12, 2026 · Filed October 14, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 244,171 |
Reported balance
After 2026-10-12 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-10-12 · Sale · Disposed 6,335 · Balance 244,171 F1: The shares were sold solely to satisfy tax or other government withholding obligations in connection with the vesting of shares subject to Restricted Stock Units ("RSUs") of the Issuer. F2: Includes 119,582 restricted stock units. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were sold solely to satisfy tax or other government withholding obligations in connection with the vesting of shares subject to Restricted Stock Units ("RSUs") of the Issuer.
F2: Includes 119,582 restricted stock units.
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 |
|---|---|---|---|---|---|---|
| October 12, 2026 Filed Oct 14, 2026 21:17 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 6,335 | $1.36 | $8,619.40 |
DisclosureSEC source: 0001610717-26-000436 · form4.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 244,171 F1 · kind: The shares were sold solely to satisfy tax or other government withholding obligations in connection with the vesting of shares subject to Restricted Stock Units ("RSUs") of the Issuer. F2 · balance_after: Includes 119,582 restricted stock units. Read SEC document |
| September 10, 2026 Filed Sep 14, 2026 20:02 UTC | Artiva Biotherapeutics, Inc. ARTV · Entity 5404 | GrantDirector Stock Option (Right to Buy) · Derivative | 16,250 | $0.00 Strike: $10.42 | $0.00 |
DisclosureSEC source: 0001193125-26-390524 · ownership.xml · derivative · entry 1 MOORE ALISON · CIK 0001754937 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 16,250 Underlying: Common Stock · 16,250 shares Expires 2036-09-09 F1 · derivative.exercise_date: The shares subject to the option will vest in full on the earlier of September 10, 2027, or the date of the Issuer's 2027 annual stockholder meeting. Read SEC document |
| September 08, 2026 Filed Sep 8, 2026 21:55 UTC | Artiva Biotherapeutics, Inc. ARTV · Entity 5404 | GrantDirector Stock Option (Right to Buy) · Derivative | 13,750 | $0.00 Strike: $10.88 | $0.00 |
DisclosureSEC source: 0001193125-26-385409 · ownership.xml · derivative · entry 1 MOORE ALISON · CIK 0001754937 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,750 Underlying: Common Stock · 13,750 shares Expires 2036-09-07 F1 · derivative.exercise_date: The shares subject to the option will vest in full on the earlier of September 8, 2027, or the date of the Issuer's 2027 annual stockholder meeting. Read SEC document |
| February 23, 2026 Filed Feb 26, 2026 00:53 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 993,000 | $0.00 Strike: $1.07 | $0.00 |
DisclosureSEC source: 0001610717-26-000072 · form4.xml · derivative · entry 1 MOORE ALISON · CIK 0001754937 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 993,000 Underlying: Common Stock · 993,000 shares Expires 2036-02-23 F1 · derivative.exercise_date: This option vests and becomes exercisable with respect to 25% of the shares subject thereto on the first anniversary of the grant date, and with respect to 1/48th of the original number of shares subject thereto on each monthly anniversary thereafter, subject to the Reporting Person's continued employment through the applicable vesting dates. Read SEC document |
| February 06, 2026 Filed Feb 9, 2026 21:06 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 3,826 | $1.31 | $5,000.96 |
DisclosureSEC source: 0001610717-26-000045 · form4.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 250,506 F1 · kind: The shares were sold solely to satisfy tax or other government withholding obligations in connection with the vesting of shares subject to Restricted Stock Units ("RSUs") of the Issuer. F2 · balance_after: Includes 136,249 restricted stock units. Read SEC document |
| November 13, 2025 Filed Nov 17, 2025 22:11 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 500,000 | $0.00 Strike: $1.63 | $0.00 |
DisclosureSEC source: 0001610717-25-000382 · form4.xml · derivative · entry 2 MOORE ALISON · CIK 0001754937 · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 500,000 Underlying: Common Stock · 500,000 shares Expires 2035-11-13 F3 · derivative.exercise_date: This option vests and becomes exercisable with respect to 25% of the shares subject thereto on the first anniversary of the grant date, and with respect to 1/48th of the original number of shares subject thereto on each monthly anniversary thereafter, subject to the Reporting Person's continued employment through the applicable vesting dates. Read SEC document |
| November 13, 2025 Filed Nov 17, 2025 22:11 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 85,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001610717-25-000382 · form4.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 254,332 F1 · shares: These restricted stock units vest as to 1/3rd of the shares on each annual anniversary of the grant date, subject to the Reporting Person's continued employment through the applicable vesting dates. F2 · balance_after: Includes 145,208 restricted stock units. Read SEC document |
| October 13, 2025 Filed Oct 15, 2025 21:14 UTC | CODEXIS, INC. CDXS · Entity 6428 | SaleCommon Stock | 6,239 | $2.51 | $15,629.32 |
DisclosureSEC source: 0001610717-25-000363 · form4.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 169,332 F1 · kind: The shares were sold solely to satisfy tax or other government withholding obligations in connection with the vesting of shares subject to Restricted Stock Units ("RSUs") of the Issuer. F2 · balance_after: Includes 33,333 restricted stock units. Read SEC document |
| June 24, 2025 Filed Jun 26, 2025 20:30 UTC | Artiva Biotherapeutics, Inc. ARTV · Entity 5404 | GrantDirector Stock Option (Right to Buy) · Derivative | 13,750 | $0.00 Strike: $1.61 | $0.00 |
DisclosureSEC source: 0001415889-25-018279 · form4-06262025_040610.xml · derivative · entry 1 MOORE ALISON · CIK 0001754937 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,750 Underlying: Common Stock · 13,750 shares Expires 2035-06-23 F1 · derivative.exercise_date: The shares subject to the option will vest in full on the earlier of June 24, 2026, or the date of the Issuer's 2026 annual stockholder meeting. Read SEC document |
| February 05, 2025 Filed Feb 8, 2025 01:18 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 161,250 | $0.00 Strike: $4.37 | $0.00 |
DisclosureSEC source: 0000905148-25-000442 · form4.xml · derivative · entry 2 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 161,250 Underlying: Common Stock · 161,250 shares Expires 2035-02-05 F2 · derivative.exercise_date: This option vests and becomes exercisable with respect to 25% of the shares subject thereto on the first anniversary of the grant date, and with respect to 1/48th of the original number of shares subject thereto on each monthly anniversary thereafter, subject to the Reporting Person's continued employment through the applicable vesting dates. Read SEC document |
| February 05, 2025 Filed Feb 8, 2025 01:18 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 26,875 | $0.00 | $0.00 |
DisclosureSEC source: 0000905148-25-000442 · form4.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 175,571 F1 · shares: These restricted stock units vest as to 1/3rd of the shares on each annual anniversary of the grant date, subject to the Reporting Person's continued employment through the applicable vesting dates. Read SEC document |
| October 21, 2024 Filed Oct 23, 2024 00:18 UTC | Artiva Biotherapeutics, Inc. ARTV · Entity 5404 | GrantDirector Stock Option (Right to Buy) · Derivative | 27,500 | $0.00 Strike: $10.48 | $0.00 |
DisclosureSEC source: 0001415889-24-025537 · form4-10232024_121029.xml · derivative · entry 1 MOORE ALISON · CIK 0001754937 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,500 Underlying: Common Stock · 27,500 shares Expires 2034-10-20 F1 · derivative.exercise_date: One-third of the shares vested following the grant date, with the remaining shares vesting monthly over an additional two years following October 21, 2024, Read SEC document |
| October 10, 2024 Filed Oct 10, 2024 22:20 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantStock Option (Right to Buy) · Derivative | 300,000 | $0.00 Strike: $2.97 | $0.00 |
DisclosureSEC source: 0000905148-24-002706 · form4.xml · derivative · entry 2 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 300,000 shares Expires 2034-10-10 F2 · derivative.exercise_date: This option vests and becomes exercisable with respect to 25% of the shares subject thereto on the first anniversary of September 30, 2024, and with respect to 1/48th of the original number of shares subject thereto on each monthly anniversary thereafter, subject to the Reporting Person's continued employment through the applicable vesting dates. Read SEC document |
| October 10, 2024 Filed Oct 10, 2024 22:20 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000905148-24-002706 · form4.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 148,696 F1 · shares: These restricted stock units vest as to 1/3rd of the shares on each annual anniversary of the grant date, subject to the Reporting Person's continued employment through the applicable vesting dates. Read SEC document |
| June 11, 2024 Filed Jun 13, 2024 22:27 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 30,120 | $0.00 | $0.00 |
DisclosureSEC source: 0000905148-24-001717 · form4.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 98,696 F1 · shares: The restricted stock award vests as to all of the shares subject to the award on the earlier of the first anniversary of the date of grant or the next annual stockholder meeting, subject to the director's continued service to the Company on such vesting date. Read SEC document |
| June 13, 2023 Filed Jun 15, 2023 20:09 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 34,602 | $0.00 | $0.00 |
DisclosureSEC source: 0001610717-23-000160 · form4.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 68,576 F1 · shares: The restricted stock award vests as to all of the shares subject to the award on the earlier of the first anniversary of the date of grant or the next annual stockholder meeting, subject to the director's continued service to the Company on such vesting date. Read SEC document |
| March 22, 2023 Filed Mar 25, 2023 00:19 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | GrantStock Option (Right to buy) · Derivative | 432,738 | $0.00 Strike: $5.04 | $0.00 |
DisclosureSEC source: 0001593968-23-000529 · primary_01.xml · derivative · entry 2 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 432,738 Underlying: Common Stock · 432,738 shares Expires 2033-03-22 F2 · derivative.exercise_date: 25% of the shares subject to the stock option shall vest on March 13, 2024, and the remaining shares shall vest in 36 equal monthly installments thereafter. Read SEC document |
| March 22, 2023 Filed Mar 25, 2023 00:19 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | GrantCommon Stock | 558,094 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-23-000529 · primary_01.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 672,731 F1 · shares: Includes 429,303 of performance RSUs which shall vest as follows: (1) 33% shall vest if the 30-day weighted average stock price is equal to or greater than $18 and (2) 67% shall vest upon the first regulatory approval of a product candidate. Notwithstanding the foregoing (1) any portion that vests upon the stock price threshold shall no longer vest and be terminated after three years from the grant date if such threshold has not been met in such three-year period, and (2) any portion that vests upon product candidate approval shall no longer vest and be terminated after five years from the grant date if such approval has not occurred in such five-year period. Read SEC document |
| March 14, 2023 Filed Mar 16, 2023 20:49 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Tax withholdingCommon Stock | 8,351 | $5.51 | $45,989.79 |
DisclosureSEC source: 0001593968-23-000492 · primary_01.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,637 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 $5.49 to $5.515, 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 558 and 2000 share of the Issuer's common stock acquired by the reporting person on September 15, 2021 and on March 15, 2023 pursuant to an employee stock purchase program, respectively. Read SEC document |
| June 14, 2022 Filed Jun 16, 2022 20:10 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 11,273 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-22-012970 · doc1.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,974 F1 · shares: The restricted stock award vests as to all of the shares subject to the award on the earlier of the first anniversary of the date of grant or the next annual stockholder meeting, subject to the director's continued service to the Company on such vesting date. Read SEC document |
| March 23, 2022 Filed Mar 25, 2022 21:51 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | GrantStock Option (Right to Buy) · Derivative | 737,179 | $0.00 Strike: $9.69 | $0.00 |
DisclosureSEC source: 0001214659-22-004373 · marketforms-55852.xml · derivative · entry 1 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 737,179 Underlying: Common Stock · 737,179 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 15, 2022 Filed Mar 17, 2022 21:58 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 8,698 | $7.63 | $66,388.35 |
DisclosureSEC source: 0001214659-22-004083 · marketforms-55823.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,430 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 $7.58 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 1688 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 |
| June 15, 2021 Filed Jun 17, 2021 20:15 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 4,796 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-012318 · doc1.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,701 F1 · shares: The restricted stock award vests as to all of the shares subject to the award on the earlier of the first anniversary of the date of grant or the next annual stockholder meeting, subject to the director's continued service to the Company on such vesting date. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 20:53 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | GrantStock Option (Right to Buy) · Derivative | 92,365 | $0.00 Strike: $33.78 | $0.00 |
DisclosureSEC source: 0001214659-21-003605 · marketforms-52124.xml · derivative · entry 2 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,365 Underlying: Common Stock · 92,365 shares Expires 2031-03-26 F1 · derivative.exercise_date: 25% of the shares subject to the stock option shall vest on March 13, 2022, and the remaining shares shall vest in 36 equal monthly installments thereafter. Read SEC document |
| March 26, 2021 Filed Mar 30, 2021 20:53 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | GrantCommon Stock | 24,866 | $0.00 | $0.00 |
DisclosureSEC source: 0001214659-21-003605 · marketforms-52124.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,440 Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 21:00 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 6,164 | $38.14 | $235,089.41 |
DisclosureSEC source: 0001214659-21-003239 · marketforms-51913.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,574 F1 · kind: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.96 to $38.395, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F3 · balance_after: Includes 368 shares of the Issuer's common stock acquired by the reporting person on March 15, 2021 pursuant to an employee stock purchase program. Read SEC document |
| October 13, 2020 Filed Oct 13, 2020 20:34 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionStock Option (Right to Buy) · Derivative | 11,031 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001214659-20-008571 · marketforms-49856.xml · derivative · entry 6 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 579,959 Underlying: Common Stock · 11,031 shares Expires 2028-06-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: One-fourth of the 892,500 shares subject to the stock option vested on June 1, 2019, and the remaining shares vest in 36 successive equal monthly installments thereafter. Read SEC document |
| October 13, 2020 Filed Oct 13, 2020 20:34 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 11,031 | $42.00 | $463,302.00 |
DisclosureSEC source: 0001214659-20-008571 · marketforms-49856.xml · nonDerivative · entry 4 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,370 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in June 2020. Read SEC document |
| October 13, 2020 Filed Oct 13, 2020 20:34 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionCommon Stock | 11,031 | $2.27 | $25,040.37 |
DisclosureSEC source: 0001214659-20-008571 · marketforms-49856.xml · nonDerivative · entry 3 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,401 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 12, 2020 Filed Oct 13, 2020 20:34 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionStock Option (Right to Buy) · Derivative | 24,233 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001214659-20-008571 · marketforms-49856.xml · derivative · entry 5 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 590,990 Underlying: Common Stock · 24,233 shares Expires 2028-06-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: One-fourth of the 892,500 shares subject to the stock option vested on June 1, 2019, and the remaining shares vest in 36 successive equal monthly installments thereafter. Read SEC document |
| October 12, 2020 Filed Oct 13, 2020 20:34 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 24,233 | $42.00 | $1,017,786.00 |
DisclosureSEC source: 0001214659-20-008571 · marketforms-49856.xml · nonDerivative · entry 2 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,370 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in June 2020. Read SEC document |
| October 12, 2020 Filed Oct 13, 2020 20:34 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionCommon Stock | 24,233 | $2.27 | $55,008.91 |
DisclosureSEC source: 0001214659-20-008571 · marketforms-49856.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,603 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 09, 2020 Filed Oct 9, 2020 21:49 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionStock Option (Right to Buy) · Derivative | 30,199 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001214659-20-008532 · marketforms-49849.xml · derivative · entry 6 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 615,223 Underlying: Common Stock · 30,199 shares Expires 2028-06-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: One-fourth of the 892,500 shares subject to the stock option vested on June 1, 2019, and the remaining shares vest in 36 successive equal monthly installments thereafter. Read SEC document |
| October 09, 2020 Filed Oct 9, 2020 21:49 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 39,509 | $41.00 | $1,619,869.00 |
DisclosureSEC source: 0001214659-20-008532 · marketforms-49849.xml · nonDerivative · entry 4 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,370 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in June 2020. Read SEC document |
| October 09, 2020 Filed Oct 9, 2020 21:49 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionCommon Stock | 30,199 | $2.27 | $68,551.73 |
DisclosureSEC source: 0001214659-20-008532 · marketforms-49849.xml · nonDerivative · entry 3 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,879 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 08, 2020 Filed Oct 9, 2020 21:49 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,065 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001214659-20-008532 · marketforms-49849.xml · derivative · entry 5 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 645,422 Underlying: Common Stock · 5,065 shares Expires 2028-06-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: One-fourth of the 892,500 shares subject to the stock option vested on June 1, 2019, and the remaining shares vest in 36 successive equal monthly installments thereafter. Read SEC document |
| October 08, 2020 Filed Oct 9, 2020 21:49 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 5,065 | $41.00 | $207,665.00 |
DisclosureSEC source: 0001214659-20-008532 · marketforms-49849.xml · nonDerivative · entry 2 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,680 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in June 2020. Read SEC document |
| October 08, 2020 Filed Oct 9, 2020 21:49 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionCommon Stock | 5,065 | $2.27 | $11,497.55 |
DisclosureSEC source: 0001214659-20-008532 · marketforms-49849.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,745 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| October 06, 2020 Filed Oct 8, 2020 21:03 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionStock Option (Right to Buy) · Derivative | 35,264 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001214659-20-008506 · marketforms-49846.xml · derivative · entry 3 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 650,487 Underlying: Common Stock · 35,264 shares Expires 2028-06-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: One-fourth of the 892,500 shares subject to the stock option vested on June 1, 2019, and the remaining shares vest in 36 successive equal monthly installments thereafter. Read SEC document |
| October 06, 2020 Filed Oct 8, 2020 21:03 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 44,574 | $40.00 | $1,782,960.00 |
DisclosureSEC source: 0001214659-20-008506 · marketforms-49846.xml · nonDerivative · entry 2 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,680 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in June 2020. F2 · balance_after: Includes 718 shares of the Issuer's common stock acquired by the reporting person on September 15, 2020 pursuant to an employee stock purchase program. Read SEC document |
| October 06, 2020 Filed Oct 8, 2020 21:03 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionCommon Stock | 35,264 | $2.27 | $80,049.28 |
DisclosureSEC source: 0001214659-20-008506 · marketforms-49846.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,536 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 13, 2020 Filed Aug 14, 2020 20:04 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionStock Option (Right to Buy) · Derivative | 32,451 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001214659-20-007184 · marketforms-49454.xml · derivative · entry 2 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 685,751 Underlying: Common Stock · 32,451 shares Expires 2028-06-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: One-fourth of the 892,500 shares subject to the stock option vested on June 1, 2019, and the remaining shares vest in 36 successive equal monthly installments thereafter. Read SEC document |
| August 13, 2020 Filed Aug 14, 2020 20:04 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionCommon Stock | 32,451 | $2.27 | $73,663.77 |
DisclosureSEC source: 0001214659-20-007184 · marketforms-49454.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,272 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 16, 2020 Filed Jun 18, 2020 20:10 UTC | CODEXIS, INC. CDXS · Entity 6428 | GrantCommon Stock | 17,905 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-20-012366 · doc1.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,905 F1 · shares: Restricted stock. The restricted stock vests as to 1/3 of the shares on June 16, 2021, another 1/3 of the shares on June 16, 2022 and the final 1/3 of the shares on June 16, 2023. 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: 0001214659-20-002805 · marketforms-48391.xml · derivative · entry 2 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 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: 0001214659-20-002805 · marketforms-48391.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,821 Read SEC document |
| March 16, 2020 Filed Mar 18, 2020 20:32 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 3,750 | $19.19 | $71,980.13 |
DisclosureSEC source: 0001214659-20-002736 · marketforms-48347.xml · nonDerivative · entry 1 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,021 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 $19.02 to $19.25, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. F3 · ownership.direct: Includes 704 shares of the Issuer's common stock acquired by the reporting person on March 16, 2020 pursuant to an employee stock purchase program. Read SEC document |
| September 18, 2019 Filed Sep 18, 2019 23:05 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionStock Option (Right to Buy) · Derivative | 21,067 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001214659-19-005941 · marketforms-45786.xml · derivative · entry 9 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 718,202 Underlying: Common Stock · 21,067 shares Expires 2028-06-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_date: One-fourth of the 892,500 shares subject to the stock option vested on June 1, 2019, and the remaining shares vest in 36 successive equal monthly installments thereafter. Read SEC document |
| September 18, 2019 Filed Sep 18, 2019 23:05 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | SaleCommon Stock | 21,067 | $32.13 | $676,872.18 |
DisclosureSEC source: 0001214659-19-005941 · marketforms-45786.xml · nonDerivative · entry 6 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,067 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 15, 2019. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.00 to $32.29, 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 |
| September 18, 2019 Filed Sep 18, 2019 23:05 UTC | Allogene Therapeutics, Inc. ALLO · Entity 5243 | Exercise / conversionCommon Stock | 21,067 | $2.27 | $47,822.09 |
DisclosureSEC source: 0001214659-19-005941 · marketforms-45786.xml · nonDerivative · entry 5 MOORE ALISON · CIK 0001754937 · Chief Technical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,134 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.