AI assistant
Alector, Inc. — Director's Dealing 2021
Jun 21, 2021
33290_dirs_2021-06-21_867c85e2-847a-4b26-85bf-242760343075.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Alector, Inc. (ALEC)
CIK: 0001653087
Period of Report: 2021-06-15
Reporting Person: Paul Robert (Chief Medical Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-06-15 | Common Stock | M | 17100 | $8.16 | Acquired | 290819 | Direct |
| 2021-06-15 | Common Stock | M | 12900 | $10.14 | Acquired | 303719 | Direct |
| 2021-06-15 | Common Stock | S | 30000 | $22.0651 | Disposed | 273719 | Direct |
| 2021-06-16 | Common Stock | M | 4600 | $10.14 | Acquired | 278319 | Direct |
| 2021-06-16 | Common Stock | S | 4600 | $22.1845 | Disposed | 273719 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-06-15 | Employee Stock Option (right to buy) | $8.16 | M | 17100 | Disposed | 2028-07-02 | Common Stock (17100) | Direct |
| 2021-06-15 | Employee Stock Option (right to buy) | $10.14 | M | 12900 | Disposed | 2028-11-06 | Common Stock (12900) | Direct |
| 2021-06-16 | Employee Stock Option (right to buy) | $10.14 | M | 4600 | Disposed | 2028-11-06 | Common Stock (4600) | 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 $22.00 to $22.305, 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.
F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $22.54, inclusive.
F4: 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.
F5: 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.