Filing Details
- Accession Number:
- 0001209191-21-004742
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-01-21 18:46:12
- Reporting Period:
- 2021-01-19
- Accepted Time:
- 2021-01-21 18:46:12
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1653087 | Alector Inc. | ALEC | Biological Products, (No Disgnostic Substances) (2836) | 462702363 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1757964 | Robert Paul | C/O Alector, Inc. 131 Oyster Point Blvd, Suite 600 South San Francisco CA 94080 | Chief Medical Officer | No | Yes | No | 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 | 2021-01-19 | 27,917 | $8.16 | 241,636 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-01-19 | 2,083 | $10.14 | 243,719 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-01-19 | 30,000 | $18.12 | 213,719 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-01-20 | 6,484 | $8.16 | 220,203 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-01-20 | 2,083 | $10.14 | 222,286 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-01-20 | 8,567 | $18.00 | 213,719 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-01-19 | 27,917 | $0.00 | 27,917 | $8.16 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-01-19 | 2,083 | $0.00 | 2,083 | $10.14 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-01-20 | 6,484 | $0.00 | 6,484 | $8.16 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2021-01-20 | 2,083 | $0.00 | 2,083 | $10.14 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 292,083 | 2028-07-02 | No | 4 | M | Direct | |
| 70,834 | 2028-11-06 | No | 4 | M | Direct | |
| 285,599 | 2028-07-02 | No | 4 | M | Direct | |
| 68,751 | 2028-11-06 | No | 4 | M | Direct |
Footnotes
- The sales reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on May 28, 2020.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.00 to $18.50, 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 ranges set forth in footnotes (2) and (3) to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.00 to $18.01, inclusive.
- One forty-eighth (1/48th) of the shares subject to the option vested on August 2, 2018, and one forty-eighth (1/48th) of the shares subject to the option vest monthly thereafter.
- One-fourth (1/4th) of the shares subject to the option vested on November 1, 2019 and one forty-eighth (1/48th) of the shares vest monthly thereafter.
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