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Ownership Document
|
| Schema Version: X0508 |
| Document Type: 4 |
| Period of Report: 3/14/24 |
| Issuer: |
| Issuer CIK: 1737287 |
| Issuer Name: Allogene Therapeutics, Inc. |
| Issuer Trading Symbol: ALLO |
| Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1611024 |
| | Owner Name: Chang David D |
| Reporting Owner Address: |
| | Owner Street 1: 210 EAST GRAND AVENUE |
| | Owner Street 2: |
| | Owner City: SOUTH SAN FRANCISCO |
| | Owner State: CA |
| | Owner ZIP Code: 94080 |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? Yes |
| | Is Officer? Yes |
| | Officer Title: President and CEO |
| Aff 10b5 One? No |
| Non-Derivative Table: |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock |
| | Transaction Date: |
| | | Value: 3/14/24 |
| | Deemed Execution Date: |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: F |
| | | Equity Swap Involved? No |
| | Transaction Timeliness: |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 53,393 |
| Footnote ID: F1 |
| | | Transaction Price Per Share: |
| Value: 4.33 |
| Footnote ID: F2 |
| | | Transaction Acquired-Disposed Code: |
| Value: D |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 4,465,278 |
| Footnote ID: F3 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Non-Derivative Holding: |
| | Security Title: |
| | | Value: Common Stock |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 1,201,108 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: I |
| | | Nature of Ownership: |
| Value: See footnote |
| Footnote ID: F4 |
| Non-Derivative Holding: |
| | Security Title: |
| | | Value: Common Stock |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 856,044 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: I |
| | | Nature of Ownership: |
| Value: See footnote |
| Footnote ID: F5 |
| Non-Derivative Holding: |
| | Security Title: |
| | | Value: Common Stock |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 856,044 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: I |
| | | Nature of Ownership: |
| Value: See footnote |
| Footnote ID: F6 |
| Derivative Table: |
| Footnotes: |
| Footnote - F1: 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. |
| Footnote - F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.29 to $4.43, 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. |
| Footnote - F3: Includes 5,468 shares of the Issuer's common stock acquired by the reporting person on March 15, 2024 pursuant to an employee stock purchase program. |
| Footnote - F4: Securities held in the name of the Chang 2006 Family Trust |
| Footnote - F5: Securities held in the name of the JEC 2019 Trust dated October 1, 2019. |
| Footnote - F6: Securities held in the name of the RTC 2019 Trust dated October 1, 2019. |
| Remarks: |
| Owner Signature: |
| Signature Name: /s/Earl Douglas, Attorney-in-Fact |
| Signature Date: 3/18/24 |
