Alector, Inc. — Director's Dealing 2021

Jul 7, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Alector, Inc. (ALEC)
CIK: 0001653087
Period of Report: 2021-07-02

Reporting Person: Yu Calvin (Vice President, Finance)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-07-02	Common Stock	M	18420	$8.16	Acquired	145106	Direct
2021-07-02	Common Stock	M	11250	$10.14	Acquired	156356	Direct
2021-07-02	Common Stock	M	31170	$17.15	Acquired	187526	Direct
2021-07-02	Common Stock	S	90840	$31.14	Disposed	96686	Direct
2021-07-02	Common Stock	S	20000	$40.016	Disposed	76686	Direct
2021-07-06	Common Stock	M	1042	$8.16	Acquired	77728	Direct
2021-07-06	Common Stock	M	625	$10.14	Acquired	78353	Direct
2021-07-06	Common Stock	M	1667	$17.15	Acquired	80020	Direct
2021-07-06	Common Stock	S	3334	$34.65	Disposed	76686	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-07-02	Employee Stock Option (right to buy)	$8.16	M	18420	Disposed	2028-07-02	Common Stock (18420)	Direct
2021-07-02	Employee Stock Option (right to buy)	$10.14	M	11250	Disposed	2028-11-06	Common Stock (11250)	Direct
2021-07-02	Employee Stock Option (right to buy)	$17.15	M	31170	Disposed	2029-11-06	Common Stock (31170)	Direct
2021-07-06	Employee Stock Option (right to buy)	$8.16	M	1042	Disposed	2028-07-02	Common Stock (1042)	Direct
2021-07-06	Employee Stock Option (right to buy)	$10.14	M	625	Disposed	2028-11-06	Common Stock (625)	Direct
2021-07-06	Employee Stock Option (right to buy)	$17.15	M	1667	Disposed	2029-11-06	Common Stock (1667)	Direct

Footnotes

F1: The sales reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted August 31, 2020.

F2: The sale price reported in column 4 of Table I represents the weighted average sale price of the shares purchased ranging from $40.00 to $40.32 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.

F3: Shares subject to the option vest in 48 equal monthly installments beginning on August 2, 2018.

F4: 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 total number of shares vest monthly thereafter.

F5: Shares subject to the option vest in 48 equal monthly installments beginning on December 6, 2019.