Filing Details

Accession Number:
0001209191-19-009111
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-02-11 19:06:14
Reporting Period:
2019-02-11
Accepted Time:
2019-02-11 19:06:14
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1653087 Alector Inc. ALEC () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1282930 L Carl Gordon C/O Orbimed Advisors, Llc
601 Lexington Avenue, 54Th Floor
New York NY 10022
Yes No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2019-02-11 405,925 $0.00 405,925 No 4 C Indirect See footnotes
Common Stock Acquisiton 2019-02-11 4,282,288 $0.00 4,688,213 No 4 C Indirect See footnotes
Common Stock Acquisiton 2019-02-11 2,029,626 $0.00 6,717,839 No 4 C Indirect See footnotes
Common Stock Acquisiton 2019-02-11 2,280,479 $0.00 8,998,318 No 4 C Indirect See footnotes
Common Stock Acquisiton 2019-02-11 1,012,282 $0.00 10,010,600 No 4 C Indirect See footnotes
Common Stock Acquisiton 2019-02-11 266,437 $0.00 10,277,037 No 4 C Indirect See footnotes
Common Stock Acquisiton 2019-02-11 157,939 $19.00 10,434,976 No 4 P Indirect See footnotes
Common Stock Acquisiton 2019-02-11 94,075 $0.00 94,075 No 4 C Indirect See footnotes
Common Stock Acquisiton 2019-02-11 992,437 $0.00 1,086,512 No 4 C Indirect See footnotes
Common Stock Acquisiton 2019-02-11 470,374 $0.00 1,556,886 No 4 C Indirect See footnotes
Common Stock Acquisiton 2019-02-11 528,510 $0.00 2,085,396 No 4 C Indirect See footnotes
Common Stock Acquisiton 2019-02-11 234,601 $0.00 2,319,997 No 4 C Indirect See footnotes
Common Stock Acquisiton 2019-02-11 85,295 $0.00 2,405,292 No 4 C Indirect See footnotes
Common Stock Acquisiton 2019-02-11 50,561 $19.00 2,455,853 No 4 P Indirect See footnotes
Common Stock Acquisiton 2019-02-11 203,200 $19.00 203,200 No 4 P Indirect See footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See footnotes
No 4 C Indirect See footnotes
No 4 C Indirect See footnotes
No 4 C Indirect See footnotes
No 4 C Indirect See footnotes
No 4 C Indirect See footnotes
No 4 P Indirect See footnotes
No 4 C Indirect See footnotes
No 4 C Indirect See footnotes
No 4 C Indirect See footnotes
No 4 C Indirect See footnotes
No 4 C Indirect See footnotes
No 4 C Indirect See footnotes
No 4 P Indirect See footnotes
No 4 P Indirect See footnotes
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series A-1 Preferred Stock Disposition 2019-02-11 405,925 $0.00 405,925 $0.00
Common Stock Series A-1 Preferred Stock Disposition 2019-02-11 94,075 $0.00 94,075 $0.00
Common Stock Series A-2 Preferred Stock Disposition 2019-02-11 4,282,288 $0.00 4,282,288 $0.00
Common Stock Series A-2 Preferred Stock Disposition 2019-02-11 992,437 $0.00 992,437 $0.00
Common Stock Series B Preferred Stock Disposition 2019-02-11 2,029,626 $0.00 2,029,626 $0.00
Common Stock Series B Preferred Stock Disposition 2019-02-11 470,374 $0.00 470,374 $0.00
Common Stock Series C Preferred Stock Disposition 2019-02-11 2,280,479 $0.00 2,280,479 $0.00
Common Stock Series C Preferred Stock Disposition 2019-02-11 528,510 $0.00 528,510 $0.00
Common Stock Series D Preferred Stock Disposition 2019-02-11 1,012,282 $0.00 1,012,282 $0.00
Common Stock Series D Preferred Stock Disposition 2019-02-11 234,601 $0.00 234,601 $0.00
Common Stock Series E Preferred Stock Disposition 2019-02-11 266,437 $0.00 266,437 $0.00
Common Stock Series E Preferred Stock Disposition 2019-02-11 85,295 $0.00 85,295 $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
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
Footnotes
  1. Each of the Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock automatically converted into shares of Common Stock on a one to one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.
  2. The Shares are held of record by OrbiMed Private Investments IV-AL, LP ("OrbiMed IV-AL"). OrbiMed Capital GP IV LLC ("OrbiMed GP"), is the general partner of OrbiMed IV-AL. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended, is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a member of OrbiMed Advisors.
  3. Each of OrbiMed GP, OrbiMed Capital LLC ("OrbiMed Capital"), OrbiMed Advisors and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report on Form 3 shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
  4. The Shares are held of record by OrbiMed Private Investments IV-AL (Feeder), LP ("OrbiMed IV-AL (Feeder)"). OrbiMed GP is the general partner of OrbiMed IV-AL (Feeder). OrbiMed Advisors, a registered adviser under the Investment Advisers Act of 1940, as amended, is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL (Feeder) and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is a member of OrbiMed Advisors.
  5. The Shares are held of record by OrbiMed Partners Master Fund Limited ("OPM"). OrbiMed Capital, a registered investment adviser under the Investment Advisers Act, acts as the investment advisor to OPM. By virtue of such relationships, OrbiMed Capital may be deemed to have voting and investment power over the securities held by OPM and as a result may be deemed to have beneficial ownership over such securities.