Alector, Inc. — Director's Dealing 2019

Feb 6, 2019

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Alector, Inc. (ALEC)
CIK: 0001653087
Period of Report: 2019-02-06

Reporting Person: Rosenthal Arnon (Director, Chief Executive Officer)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	1305226	Direct
Common Stock	2612500	Indirect
Common Stock	712500	Indirect
Common Stock	712500	Indirect
Common Stock	712500	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option (right to buy)	$8.16	2028-07-01	Common Stock (500000)		Direct
Stock Option (right to buy)	$10.14	2028-11-05	Common Stock (275000)		Direct

Footnotes

F1: The reported securities are held directly by The Rosenthal Family Revocable Trust Dated November 4, 1994, as restated on June 9, 1999, for which the Reporting Person serves as trustee.

F2: The reported securities are held directly by the Adi Rosenthal 2007 Trust dated March 27, 2007, for which the Reporting Person serves as trustee.

F3: The reported securities are held directly by the Noam Rosenthal 2007 Trust dated March 27, 2007, for which the Reporting Person serves as trustee.

F4: The reported securities are held directly by the Shani Rosenthal 2007 Trust dated March 27, 2007, for which the Reporting Person serves as trustee.

F5: One forty-eighth (1/48th) of the shares subject to the option vested on August 2, 2018, and an additional one forty-eighth (1/48th) of the shares subject to the option shall vest each month thereafter.

F6: One fourth (1/4th) of the shares subject to the option shall vest on November 1, 2019, and one forty-eighth (1/48th) of the shares subject to the option shall vest each month thereafter.