SEC FORM 4/A SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Asbury Mark

(Last) (First) (Middle)
975 ISLAND DRIVE, SUITE 201

(Street)
REDWOOD CITY CA 94065

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Allakos Inc. [ ALLK ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) X Other (specify below)
Chief Legal Officer / General Counsel
3. Date of Earliest Transaction (Month/Day/Year)
04/26/2019
4. If Amendment, Date of Original Filed (Month/Day/Year)
04/30/2019
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) $40.62(2) 04/26/2019 A(3) 39,910 (1) 04/26/2029 Common Stock 39,910 $0(4) 39,910 D
Explanation of Responses:
1. Mr. Asbury was granted options to purchase 39,910 shares of common stock on April 26, 2019, of which 25% will vest on April 26, 2020, the first anniversary of the vesting commencement date, with the remaining 75% of the options vesting monthly in substantially equal installments over the following 36 months, subject to Mr. Asbury's continued services to the Company through each vesting date. The options will terminate on the tenth anniversary of the date of grant, unless otherwise previously terminated pursuant to the terms of the option agreement accompanying the grant.
2. This report on Form 4/A corrects an error with respect to the Conversion or Exercise Price of Derivative Security on the Form 4 filed April 30, 2019.
3. This report on Form 4/A corrects an error with respect to the Transaction Code on the Form 4 filed April 30, 2019.
4. This report on Form 4/A corrects an error with respect to the Price of Derivative Security on the Form 4 filed April 30, 2019.
/s/ Mark Asbury 06/14/2019
** 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 4 (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).
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