Alector, Inc. — Director's Dealing 2021

Jul 8, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Alector, Inc. (ALEC)
CIK: 0001653087
Period of Report: 2021-07-06

Reporting Person: Paul Robert (Chief Medical Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-07-06	Common Stock	M	30000	$17.15	Acquired	264319	Direct
2021-07-06	Common Stock	S	10224	$35.0952	Disposed	254095	Direct
2021-07-06	Common Stock	S	3600	$35.9536	Disposed	250495	Direct
2021-07-06	Common Stock	S	1000	$37.434	Disposed	249495	Direct
2021-07-06	Common Stock	S	3581	$38.5532	Disposed	245914	Direct
2021-07-06	Common Stock	S	10495	$39.2007	Disposed	235419	Direct
2021-07-06	Common Stock	S	1100	$40.0145	Disposed	234319	Direct
2021-07-07	Common Stock	M	7292	$8.16	Acquired	241611	Direct
2021-07-07	Common Stock	M	11883	$10.14	Acquired	253494	Direct
2021-07-07	Common Stock	M	10574	$17.15	Acquired	264068	Direct
2021-07-07	Common Stock	S	4900	$37.4147	Disposed	259168	Direct
2021-07-07	Common Stock	S	7700	$38.141	Disposed	251468	Direct
2021-07-07	Common Stock	S	17149	$39.3154	Disposed	234319	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-07-06	Employee Stock Option (right to buy)	$17.15	M	30000	Disposed	2029-11-06	Common Stock (30000)	Direct
2021-07-07	Employee Stock Option (right to buy)	$8.16	M	7292	Disposed	2028-07-02	Common Stock (7292)	Direct
2021-07-07	Employee Stock Option (right to buy)	$10.14	M	11883	Disposed	2028-11-06	Common Stock (11883)	Direct
2021-07-07	Employee Stock Option (right to buy)	$17.15	M	10574	Disposed	2029-11-06	Common Stock (10574)	Direct

Footnotes

F1: The sales reported by the reporting person were effected pursuant to a Rule 10b5-1 trading plan adopted on May 28, 2020.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.65 to $35.63, 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) through (10) to this Form 4.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.66 to $36.64, inclusive.

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.80 to $37.78, inclusive.

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.81 to $38.79, inclusive.

F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.81 to $39.79, inclusive.

F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.91 to $40.16, inclusive.

F8: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.70 to $37.69, inclusive.

F9: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.70 to $38.54, inclusive.

F10: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.95 to $39.62, inclusive.

F11: Shares subject to the option vest in 48 equal monthly installments beginning on December 6, 2019.

F12: Shares subject to the option vest in 48 equal monthly installments beginning on August 2, 2018.

F13: One-fourth of the total number of shares subject to the option grant vested on November 1, 2019, and an additional 1/48th of the shares subject vest monthly thereafter.