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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/29/21 Alector, Inc. 10-K/A 12/31/20 11:369K ActiveDisclosure/FA |
Document/Exhibit Description Pages Size 1: 10-K/A Amendment to Annual Report HTML 62K 2: EX-31.1 Certification -- §302 - SOA'02 HTML 14K 3: EX-31.2 Certification -- §302 - SOA'02 HTML 14K 8: R1 Document and Entity Information HTML 75K 10: XML IDEA XML File -- Filing Summary XML 11K 9: EXCEL IDEA Workbook of Financial Reports XLSX 7K 4: EX-101.INS XBRL Instance -- alec-20201231 XML 26K 6: EX-101.LAB XBRL Labels -- alec-20201231_lab XML 87K 7: EX-101.PRE XBRL Presentations -- alec-20201231_pre XML 52K 5: EX-101.SCH XBRL Schema -- alec-20201231 XSD 18K 11: ZIP XBRL Zipped Folder -- 0001564590-21-016109-xbrl Zip 8K
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1 | 1st Page – Filing Submission | ||||
" | Exhibits, Financial Statement Schedules | ||||
" | Signatures |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K
Amendment No. 1
(Mark One)
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ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the fiscal year ended December 31, 2020
OR
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TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO |
Commission File Number 001-38792
Alector, Inc.
(Exact name of Registrant as specified in its Charter)
Delaware |
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82-2933343 |
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(State or other jurisdiction of incorporation) |
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(Commission File Number) |
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(IRS Employer |
131 Oyster Point Blvd, Suite 600
South San Francisco, California 94080
(Address of principal executive offices, including zip code)
(415) 231-5660
(Registrant’s telephone number, including area code)
Not applicable
(Former name or former address, if changed since last report)
Securities registered pursuant to Section 12(b) of the Exchange Act:
Title of each class |
Trading Symbol |
Name of each exchange on which registered |
Common Stock |
ALEC |
The Nasdaq Stock Market LLC (The Nasdaq Global Select Market) |
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. YES ☐ NO ☒
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15(d) of the Act. YES ☐ NO ☒
Indicate by check mark whether the registrant: (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. YES ☒ NO ☐
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). YES ☒ NO ☐
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
Large accelerated filer |
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Accelerated filer |
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Non-accelerated filer |
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Smaller reporting company |
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Emerging growth company |
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If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Indicate by check mark whether the registrant has filed a report on and attestation to its management’s assessment of the effectiveness of its internal control over financial reporting under section 404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered public accounting firm that prepared or issued its audit report ☒
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). YES ☐ NO ☒
The aggregate market value of the common stock held by non-affiliates of the registrant as of June 30, 2020 (the last business day of the registrant’s most recently completed second fiscal quarter) was approximately $1,375.6 million, based on the closing price of the registrant’s common stock, as reported by the Nasdaq Global Select Market on June 30, 2020 of $24.44 per share.
The number of shares of the registrant’s Common Stock outstanding as of February 15, 2021 was 79,584,442.
Portions of the registrant’s Definitive Proxy Statement relating to the registrant’s Annual Meeting of Shareholders are incorporated by reference into Part III of this Annual Report on Form 10-K where indicated. Such Definitive Proxy Statement will be filed with the Securities and Exchange Commission within 120 days after the end of the registrant’s 2020 fiscal year ended December 31, 2020.
Annual Report on Form 10-K/A
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PART IV |
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Item 15. |
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2 |
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4 |
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Explanatory Note
This Amendment No. 1 (“Amendment”) on Form 10-K/A amends the annual report on Form 10-K of Alector, Inc. (the “Company”) for the period ended December 31, 2020, as filed with the Securities and Exchange Commission (the “Commission”) on February 25, 2021 (the “Form 10-K”).
This Amendment is an exhibit-only filing solely for the purpose of filing revised Exhibits 31.1 and 31.2 to comply with Section 302 of the Sarbanes-Oxley Act of 2002. No revisions are being made to the Company’s financial statements and this Amendment does not reflect events occurring after the filing of the Form 10-K, or modify or update those disclosures that may be affected by subsequent events, and no other changes are being made to any other disclosure contained in the Form 10-K.
1
PART IV
Item 15. Exhibits, Financial Statement Schedules.
2
10.14# |
S-1 |
10.15 |
1/7/2019 |
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10.15# |
S-1 |
10.16 |
1/7/2019 |
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10.16# |
2019 Collaboration Agreement between the Registrant and Adimab, LLC, dated August 16, 2019. |
10-Q |
10.17 |
11/12/2019 |
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10.17+ |
Offer Letter between the Registrant and Shehnaaz Suliman, M.D. |
8-K |
99.1 |
12/11/2019 |
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21.1 |
10-K |
21.1 |
2/25/2021 |
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23.1 |
10-K |
23.1 |
2/25/2021 |
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24.1 |
Power of Attorney (included on the signature page to the Annual Report on Form 10-K). |
10-K |
24.1 |
2/25/2021 |
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31.1 |
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X |
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31.2 |
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X |
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32.1* |
10-K |
32.1 |
2/25/2021 |
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32.2* |
10-K |
32.2 |
2/25/2021 |
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101.INS |
XBRL Instance Document |
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101.SCH |
XBRL Taxonomy Extension Schema Document |
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101.CAL |
XBRL Taxonomy Extension Calculation Linkbase Document |
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101.DEF |
Taxonomy Extension Definition Linkbase Document |
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101.LAB |
XBRL Taxonomy Extension Label Linkbase Document |
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101.PRE |
XBRL Taxonomy Extension Presentation Linkbase Document |
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Indicated management contract or compensatory plan. |
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Portions of this exhibit (indicated by asterisks) have been omitted pursuant to a request for confidential treatment and this exhibit has been filed separately with the SEC. |
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The certifications attached as Exhibits 32.1 and 32.2 that accompany this Annual Report on Form 10-K/A are not deemed filed with the Securities and Exchange Commission and are not to be incorporated by reference into any filing of the Registrant under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Annual Report on Form 10-K/A, irrespective of any general incorporation language contained in such filing.
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SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this Report to be signed on its behalf by the undersigned, thereunto duly authorized.
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ALECTOR, INC. |
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Date: March 29, 2021 |
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By: |
/s/ Arnon Rosenthal |
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Arnon Rosenthal, Ph.D. |
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Co-founder and Chief Executive Officer |
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This ‘10-K/A’ Filing | Date | Other Filings | ||
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Filed on: | 3/29/21 | |||
2/25/21 | 10-K, 8-K, S-8 | |||
2/15/21 | ||||
For Period end: | 12/31/20 | 10-K | ||
6/30/20 | 10-Q | |||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/25/21 Alector, Inc. 10-K 12/31/20 63:10M ActiveDisclosure/FA 10/06/20 Alector, Inc. 8-K:5,9 9/30/20 2:314K ActiveDisclosure/FA 3/24/20 Alector, Inc. 10-K 12/31/19 72:10M ActiveDisclosure/FA 12/11/19 Alector, Inc. 8-K:5,7,9 12/11/19 3:199K ActiveDisclosure/FA 11/12/19 Alector, Inc. 10-Q 9/30/19 52:7.2M ActiveDisclosure/FA 2/11/19 Alector, Inc. 8-K:5,8,9 2/11/19 3:206K Donnelley … Solutions/FA 1/29/19 Alector, Inc. S-1/A 9:5.7M Donnelley … Solutions/FA 1/07/19 Alector, Inc. S-1 21:9.3M Donnelley … Solutions/FA |