Yu Calvin's Form 4 filing
Alector, Inc. (ALEC) · filed Jul 7, 2021
- Accession no.
- 0001209191-21-045930
- Filed
- Jul 7, 2021
- Trade date
- Jul 2-6, 2021
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 9 non-derivative transactions and 6 derivative transactions. Open-market sales total $3.74M. It was filed 5 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Yu CalvinCIK 0001757799 | Officer (Vice President, Finance) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 2, 2021 | Common Stock | MOption exerciseAcquired | +18,420 | $8.16 | +$150,307.2 | 145,106 | Direct | |
| Jul 2, 2021 | Common Stock | MOption exerciseAcquired | +11,250 | $10.14 | +$114,075 | 156,356 | Direct | |
| Jul 2, 2021 | Common Stock | MOption exerciseAcquired | +31,170 | $17.15 | +$534,565.5 | 187,526 | Direct | |
| Jul 2, 2021 | Common Stock | SSaleDisposed | −90,840 | $31.14 | −$2,828,757.6 | 96,686 | Direct | |
| Jul 2, 2021 | Common Stock | SSaleDisposed | −20,000 | $40.02F2 | −$800,400 | 76,686 | Direct | |
| Jul 6, 2021 | Common Stock | MOption exerciseAcquired | +1,042 | $8.16 | +$8,502.72 | 77,728 | Direct | |
| Jul 6, 2021 | Common Stock | MOption exerciseAcquired | +625 | $10.14 | +$6,337.5 | 78,353 | Direct | |
| Jul 6, 2021 | Common Stock | MOption exerciseAcquired | +1,667 | $17.15 | +$28,589.05 | 80,020 | Direct | |
| Jul 6, 2021 | Common Stock | SSaleDisposed | −3,334 | $34.65 | −$115,523.1 | 76,686 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 2, 2021 | Common Stock | MOption exerciseDisposed | −18,420 | $0.00 | $0 | 14,118 | Direct | |
| Jul 2, 2021 | Common Stock | MOption exerciseDisposed | −11,250 | $0.00 | $0 | 10,625 | Direct | |
| Jul 2, 2021 | Common Stock | MOption exerciseDisposed | −31,170 | $0.00 | $0 | 48,830 | Direct | |
| Jul 6, 2021 | Common Stock | MOption exerciseDisposed | −1,042 | $0.00 | $0 | 13,076 | Direct | |
| Jul 6, 2021 | Common Stock | MOption exerciseDisposed | −625 | $0.00 | $0 | 10,000 | Direct | |
| Jul 6, 2021 | Common Stock | MOption exerciseDisposed | −1,667 | $0.00 | $0 | 47,163 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- 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.
Referenced by the price of 1 transaction in Table I.