Home > Insider Trading > Filing (0001209191-18-043631)

Filing Details

Accession Number:: 0001209191-18-043631
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-07-23 17:07:51
Reporting Period:: 2018-07-23

Accepted Time:: 2018-07-23 17:07:51
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1564824	Allakos Inc.	ALLK	()	4

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1374953	P L Ii Fund Venture Rivervest	101 S. Hanley Road Suite 1850 St. Louis MO 63105	No	No	Yes	No
1601559	Rivervest Venture Fund Iii, L.p.	101 S. Hanley Road Suite 1850 St. Louis MO 63105	No	No	Yes	No
1606398	Rivervest Venture Fund Ii (Ohio), L.p.	101 S. Hanley Road Suite 1850 St. Louis MO 63105	No	No	Yes	No
1636686	Rivervest Venture Fund Iii (Ohio), L.p.	101 S. Hanley Road Suite 1850 St. Louis MO 63105	No	No	Yes	No
1657449	3X5 Rivervest Fund Ii, L.p.	101 S. Hanley Road Suite 1850 St. Louis MO 63105	No	No	Yes	No
1684103	3X5 Rivervest Fund Ii-B, L.p.	101 S. Hanley Road Suite 850 St. Louis MO 63105	No	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2018-07-23	7,260,141	$0.00	7,260,141	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2018-07-23	111,111	$18.00	7,371,252	No	4	P	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See footnote
No	4	P	Indirect	See footnote

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A Preferred Stock	Disposition	2018-07-23	6,482,724	$0.00	6,482,724	$0.00
Common Stock	Series B Preferred Stock	Disposition	2018-07-23	777,417	$0.00	777,417	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0			No	4	C	Indirect
0			No	4	C	Indirect

Footnotes

The Series A Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
The Series B Preferred Stock automatically converted into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering and had no expiration date.
Consists of (i) 980,693 shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) 266,374 shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) 3,518,819 shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) 186,759 shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) 2,223,505 shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) 83,991 shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B").
The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II. RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. John P. McKearn is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II.
The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III. John P. McKearn is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III.
The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. John P. McKearn is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. Dr. McKearn disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein.
Consists of (i) 980,693 shares held of record by RiverVest II, (ii) 266,374 shares held of record by RiverVest (Ohio) II, (iii) 3,518,819 shares held of record by RiverVest III, (iv) 186,759 shares held of record by RiverVest (Ohio) III, (v) 2,331,987 shares held of record by 3x5 II, and (vi) 86,620 shares held of record by 3x5 II-B.
RiverVest II owns 954,494 shares of Series A Preferred Stock. RiverVest (Ohio) II owns 259,258 shares of Series A Preferred Stock. RiverVest III owns 3,234,069 shares of Series A Preferred Stock. RiverVest (Ohio) III owns 171,647 shares of Series A Preferred Stock. 3x5 II owns 1,795,434 shares of Series A Preferred Stock. 3x5 II-B owns 67,822 shares of Series A Preferred Stock.
RiverVest II owns 26,199 shares of Series B Preferred Stock. RiverVest (Ohio) II owns 7,116 shares of Series B Preferred Stock. RiverVest III owns 284,750 shares of Series B Preferred Stock. RiverVest (Ohio) III owns 15,112 shares of Series B Preferred Stock. 3x5 II owns 428,071 shares of Series B Preferred Stock. 3x5 II-B owns 16,169 shares of Series B Preferred Stock.