Form 4 for ALEC Alector, Inc.
Accepted 2021-07-07 00:00:00 ET · period of report 2021-07-02 · accession 0001209191-21-045930 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-07-07 | 2021-07-02+ | ALEC | Yu Calvin | VP, Fin | M - OptEx | $13.13 | +64.2K | 80.0K | +405% | +$842.4K |
| DM | 2021-07-07 | 2021-07-02+ | ALEC | Yu Calvin | VP, Fin | S - Sale+OE | $32.80 | -114.2K | 76.7K | -60% | -$3.74M |
| DM | 2021-07-07 | 2021-07-02+ | ALEC | Yu Calvin | VP, Fin | M - OptEx | $0.00 | -64.2K | 47.2K | -58% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-07-06 | M | A | 625 | $10.14 | 78,353 | D | — | — | |
| 2 | Common | Common Stock | 2021-07-06 | M | A | 1,042 | $8.16 | 77,728 | D | — | — | |
| 3 | Common | Common Stock | 2021-07-02 | S | D | 20,000 | $40.02 | 76,686 | D | — | — | (F2) The sale price reported in column 4 of Table I represents the weighted average sale price of the shares purchased ranging from $40.00 to $40.32 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price. |
| 4 | Common | Common Stock | 2021-07-02 | S | D | 90,840 | $31.14 | 96,686 | D | — | — | |
| 5 | Common | Common Stock | 2021-07-02 | M | A | 31,170 | $17.15 | 187,526 | D | — | — | |
| 6 | Common | Common Stock | 2021-07-02 | M | A | 11,250 | $10.14 | 156,356 | D | — | — | |
| 7 | Common | Common Stock | 2021-07-02 | M | A | 18,420 | $8.16 | 145,106 | D | — | — | |
| 8 | Common | Common Stock | 2021-07-06 | S | D | 3,334 | $34.65 | 76,686 | D | — | — | |
| 9 | Common | Common Stock | 2021-07-06 | M | A | 1,667 | $17.15 | 80,020 | D | — | — | |
| 10 | Derivative | Employee Stock Option (right to buy) | 2021-07-02 | M | D | 11,250 | $0.00 | 10,625 | D | $10.14 · — to 2028-11-06 | 11,250 Common Stock | (F4) One-fourth of the total number of shares subject to the option grant vested on November 1, 2019, and an additional 1/48th of the total number of shares vest monthly thereafter. |
| 11 | Derivative | Employee Stock Option (right to buy) | 2021-07-02 | M | D | 18,420 | $0.00 | 14,118 | D | $8.16 · — to 2028-07-02 | 18,420 Common Stock | (F3) Shares subject to the option vest in 48 equal monthly installments beginning on August 2, 2018. |
| 12 | Derivative | Employee Stock Option (right to buy) | 2021-07-02 | M | D | 31,170 | $0.00 | 48,830 | D | $17.15 · — to 2029-11-06 | 31,170 Common Stock | (F5) Shares subject to the option vest in 48 equal monthly installments beginning on December 6, 2019. |
| 13 | Derivative | Employee Stock Option (right to buy) | 2021-07-06 | M | D | 1,042 | $0.00 | 13,076 | D | $8.16 · — to 2028-07-02 | 1,042 Common Stock | (F3) Shares subject to the option vest in 48 equal monthly installments beginning on August 2, 2018. |
| 14 | Derivative | Employee Stock Option (right to buy) | 2021-07-06 | M | D | 625 | $0.00 | 10,000 | D | $10.14 · — to 2028-11-06 | 625 Common Stock | (F4) One-fourth of the total number of shares subject to the option grant vested on November 1, 2019, and an additional 1/48th of the total number of shares vest monthly thereafter. |
| 15 | Derivative | Employee Stock Option (right to buy) | 2021-07-06 | M | D | 1,667 | $0.00 | 47,163 | D | $17.15 · — to 2029-11-06 | 1,667 Common Stock | (F5) Shares subject to the option vest in 48 equal monthly installments beginning on December 6, 2019. |