Allogene Therapeutics, Inc. — Director's Dealing 2021

Mar 17, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Allogene Therapeutics, Inc. (ALLO)
CIK: 0001737287
Period of Report: 2021-03-15

Reporting Person: Bhavnagri Veer (N/A)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-03-15	Common Stock	M	10000	$2.27	Acquired	415774	Direct
2021-03-15	Common Stock	S	6623	$38.1595	Disposed	409151	Direct
2021-03-15	Common Stock	S	9600	$37.7925	Disposed	399551	Direct
2021-03-15	Common Stock	S	400	$38.15	Disposed	399151	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-03-15	Stock Option (Right to Buy)	$2.27	M	10000	Disposed	2028-06-25	Common Stock (10000)	Direct

Footnotes

F1: Includes 372 shares of the Issuer's common stock acquired by the reporting person on March 15, 2021 pursuant to an employee stock purchase program.

F2: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.97 to $38.55, 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 range set forth above.

F4: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in December 2020.

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.15 to $38.14, 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 range set forth above.

F6: 25% of the shares subject to the stock option vested on April 6, 2019, and the remaining shares vest in 36 equal monthly installments thereafter.