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Filing Details

Accession Number:
0000899243-19-015869
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-06-06 19:27:36
Reporting Period:
2019-06-04
Accepted Time:
2019-06-06 19:27:36
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1564824 Allakos Inc. ALLK () 4
Insiders
Cik Name Reported Address Insider Title 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
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2019-06-04 900 $40.40 7,032,073 No 4 S Indirect See footnote
Common Stock Disposition 2019-06-04 21,194 $39.50 7,010,879 No 4 S Indirect See footnote
Common Stock Disposition 2019-06-05 6,248 $39.49 7,004,631 No 4 S Indirect See footnote
Common Stock Disposition 2019-06-05 17,500 $39.81 6,987,131 No 4 S Indirect See footnote
Common Stock Disposition 2019-06-06 47,893 $40.01 6,939,238 No 4 S Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See footnote
No 4 S Indirect See footnote
No 4 S Indirect See footnote
No 4 S Indirect See footnote
No 4 S Indirect See footnote
Footnotes
  1. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting persons on July 23, 2018.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $40.13 to $41.01, inclusive. The reporting persons undertake to provide Allakos Inc., any security holder of Allakos Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2), (6), (7), (8) and (9) to this Form 4.
  3. Consists of (i) shares held of record by RiverVest Venture Fund II, L.P ("RiverVest II"), (ii) shares held of record by RiverVest Venture Fund II (Ohio), L.P. ("RiverVest (Ohio) II"), (iii) shares held of record by RiverVest Venture Fund III, L.P ("RiverVest III"), (iv) shares held of record by RiverVest Venture Fund III (Ohio), L.P. ("RiverVest (Ohio) III"), (v) shares held of record by 3x5 RiverVest Fund II, L.P. ("3x5 II"), and (vi) shares held of record by 3x5 RiverVest Fund II-B, L.P. ("3x5 II-B"). The shares held by RiverVest II are indirectly held by RiverVest Venture Partners II, L.P. ("RiverVest Partners II"), which is the general partner of RiverVest II. The shares held by RiverVest (Ohio) II are indirectly held by RiverVest Venture Partners II (Ohio), LLC ("RiverVest Partners (Ohio) II"), which is the general partner of RiverVest (Ohio) II.
  4. (Continued from footnote 3) RiverVest Partners II is the sole member of RiverVest Partners (Ohio) II. RiverVest Venture Partners II, LLC is the general partner of RiverVest Partners II. The Reporting Person is an Authorized Person of RiverVest Venture Partners II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest II and RiverVest (Ohio) II. The shares held by RiverVest III are indirectly held by RiverVest Venture Partners III, L.P. ("RiverVest Partners III"), which is the general partner of RiverVest III. The shares held by RiverVest (Ohio) III are indirectly held by RiverVest Venture Partners III (Ohio), LLC ("RiverVest Partners (Ohio) III"), which is the general partner of RiverVest (Ohio) III. RiverVest Partners III is the sole member of RiverVest Partners (Ohio) III. RiverVest Venture Partners III, LLC is the general partner of RiverVest Partners III.
  5. (Continued from footnote 4) The Reporting Person is a Manager of RiverVest Venture Partners III, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by RiverVest III and RiverVest (Ohio) III. The shares held by 3x5 II and 3x5 II-B are indirectly held by 3x5 RiverVest Partners II, LLC ("3x5 Partners II"), which is the general partner of 3x5 II and 3x5 II-B. RiverVest 3x5 Managers II, L.P. ("3x5 Managers II"), is a Member of 3x5 Partners II. RiverVest 3x5 Managers II, LLC is the general partner of 3x5 Managers II. The Reporting Person is a Member of RiverVest 3x5 Managers II, LLC and may be deemed to share dispositive voting and investment power with respect to the shares held by 3x5 II and 3x5 II-B. The Reporting Person disclaims beneficial ownership of all shares held by RiverVest II, RiverVest (Ohio) II, RiverVest III, RiverVest (Ohio) III, 3x5 II and 3x5 II-B except to the extent of his pecuniary interests therein.
  6. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.41 to $39.73, inclusive.
  7. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.05 to $39.78, inclusive.
  8. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.39 to $40.07, inclusive.
  9. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.48 to $40.41, inclusive.
  10. The 6,939,238 shares consists of (i) 980,693 shares held of record by RiverVest II, (ii) 266,374 shares held of record by RiverVest (Ohio) II, (iii) 3,305,730 shares held of record by RiverVest III, (iv) 175,446 shares held of record by RiverVest (Ohio) III, (v) 2,131,093 shares held of record by 3x5 II, and (vi) 79,902 shares held of record by 3x5 II-B.