SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person*
ROCHE HOLDING LTD

(Last) (First) (Middle)
GRENZACHERSTRASSE 122

(Street)
BASEL V8 4070

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/18/2018
3. Issuer Name and Ticker or Trading Symbol
Allakos Inc. [ ALLK ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Series A Preferred Stock (1) (1) Common Stock 4,108,091 (1) I See footnote(2)
Series B Preferred Stock (1) (1) Common Stock 502,632 (1) I See footnote(2)
1. Name and Address of Reporting Person*
ROCHE HOLDING LTD

(Last) (First) (Middle)
GRENZACHERSTRASSE 122

(Street)
BASEL V8 4070

(City) (State) (Zip)
1. Name and Address of Reporting Person*
ROCHE FINANCE LTD

(Last) (First) (Middle)
GRENZACHERSTRASSE 122

(Street)
BASEL V8 4070

(City) (State) (Zip)
Explanation of Responses:
1. Each share of Series A Preferred Stock and Stock Series B Preferred Stock shall automatically convert into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering of common stock and has no expiration date.
2. The shares are held of record by Roche Finance Ltd ("Roche Finance"). Roche Finance is a wholly owned subsidiary of Roche Holding Ltd, a publicly-held corporation.
Remarks:
/s/ Carole Nuechterlein, authorized signatory 07/18/2018
/s/ Andreas Knierzinger, authorized signatory 07/18/2018
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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