Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
- Peter Lynch
What is insider trading>>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 3)
ALLOGENE THERAPEUTICS, INC.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
019770 10 6
(CUSIP Number)
December 31, 2022
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
☐ Rule 13d-1(b)
☐ Rule 13d-1(c)
☒ Rule 13d-1(d)
| * | The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. |
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
| CUSIP No. 019770 10 6 | 13G | Page 2 of 9 Pages |
| 1 |
Names of Reporting Persons
Arie Belldegrun, M.D. | |||||
| 2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐
| |||||
| 3 | SEC Use Only
| |||||
| 4 | Citizenship or Place of Organization
United States of America and Israel | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With: |
5 | Sole Voting Power
2,155,538 Shares (1) | ||||
| 6 | Shared Voting Power
6,703,323 Shares (2) | |||||
| 7 | Sole Dispositive Power
2,155,538 Shares (1) | |||||
| 8 | Shared Dispositive Power
6,703,323 Shares (2) | |||||
| 9 |
Aggregate Amount Beneficially Owned by Each Reporting Person
8,858,861 Shares | |||||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares
☐ | |||||
| 11 | Percent of Class Represented by Amount in Row (9)
6.1% (3) | |||||
| 12 | Type of Reporting Person
IN | |||||
| (1) | Includes 1,852,689 shares of common stock issuable within 60 days of December 31, 2022 upon the exercise of stock options held by the Reporting Person and 42,241 shares issuable upon the settlement of Restricted Stock Units held by the Reporting Person that are releasable within 60 days of December 31, 2022. |
| (2) | Includes (a) 4,710,121 shares of common stock beneficially owned by Bellco Legacy IV LLC, a limited liability company managed by Dr. Belldegrun and Rebecka Belldegrun, (b) 195,039 shares of common stock beneficially owned by Bellco Legacy LLC, a limited liability company owned and managed by trusts controlled by Dr. Belldegrun and Rebecka Belldegrun and (c) 1,798,163 shares of common stock beneficially owned by Vida Ventures LLC (Vida), of which VV Manager LLC is the manager, of which Dr. Belldegrun is a Senior Managing Director. Dr. Belldegrun disclaims beneficial ownership of the shares held by Vida, except to the extent of any pecuniary interest therein. |
| (3) | This percentage is calculated based on 144,210,154 shares of common stock outstanding as of October 31, 2022, as reported in the Issuer’s Quarterly Report on Form 10-Q filed on November 2, 2022. |
| CUSIP No. 019770 10 6 | 13G | Page 3 of 9 Pages |
| 1 |
Names of Reporting Persons
Bellco Legacy IV, LLC | |||||
| 2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐
| |||||
| 3 | SEC Use Only
| |||||
| 4 | Citizenship or Place of Organization
Delaware | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With: |
5 | Sole Voting Power
0 Shares | ||||
| 6 | Shared Voting Power
4,710,121 Shares | |||||
| 7 | Sole Dispositive Power
0 Shares | |||||
| 8 | Shared Dispositive Power
4,710,121 Shares | |||||
| 9 |
Aggregate Amount Beneficially Owned by Each Reporting Person
4,710,121 Shares | |||||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares
☐ | |||||
| 11 | Percent of Class Represented by Amount in Row (9)
3.2% (1) | |||||
| 12 | Type of Reporting Person
OO | |||||
| (1) | This percentage is calculated based on 144,210,154 shares of common stock outstanding as of October 31, 2022, as reported in the Issuer’s Quarterly Report on Form 10-Q filed on November 2, 2022. |
| CUSIP No. 019770 10 6 | 13G | Page 4 of 9 Pages |
| 1 |
Names of Reporting Persons
Bellco Legacy LLC | |||||
| 2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐
| |||||
| 3 | SEC Use Only
| |||||
| 4 | Citizenship or Place of Organization
Delaware | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With: |
5 | Sole Voting Power
0 Shares | ||||
| 6 | Shared Voting Power
195,039 Shares | |||||
| 7 | Sole Dispositive Power
0 Shares | |||||
| 8 | Shared Dispositive Power
195,039 Shares | |||||
| 9 |
Aggregate Amount Beneficially Owned by Each Reporting Person
195,039 Shares | |||||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares
☐ | |||||
| 11 | Percent of Class Represented by Amount in Row (9)
0.1% (1) | |||||
| 12 | Type of Reporting Person
OO | |||||
| (1) | This percentage is calculated based on 144,210,154 shares of common stock outstanding as of October 31, 2022, as reported in the Issuer’s Quarterly Report on Form 10-Q filed on November 2, 2022. |
| CUSIP No. 019770 10 6 | 13G | Page 5 of 9 Pages |
| 1 |
Names of Reporting Persons
Vida Ventures LLC | |||||
| 2 | Check the Appropriate Box if a Member of a Group (a) ☐ (b) ☐
| |||||
| 3 | SEC Use Only
| |||||
| 4 | Citizenship or Place of Organization
Nevada | |||||
| Number of Shares Beneficially Owned by Each Reporting Person With: |
5 | Sole Voting Power
0 Shares | ||||
| 6 | Shared Voting Power
1,798,163 Shares | |||||
| 7 | Sole Dispositive Power
0 Shares | |||||
| 8 | Shared Dispositive Power
1,798,163 Shares | |||||
| 9 |
Aggregate Amount Beneficially Owned by Each Reporting Person
1,798,163 Shares | |||||
| 10 | Check if the Aggregate Amount in Row (9) Excludes Certain Shares
☐ | |||||
| 11 | Percent of Class Represented by Amount in Row (9)
1.2% (1) | |||||
| 12 | Type of Reporting Person
OO | |||||
| (1) | This percentage is calculated based on 144,210,154 shares of common stock outstanding as of October 31, 2022, as reported in the Issuer’s Quarterly Report on Form 10-Q filed on November 2, 2022. |
| CUSIP No. 019770 10 6 | 13G | Page 6 of 9 Pages |
| Item 1(a). | Name of Issuer:
Allogene Therapeutics, Inc. | |
| Item 1(b). | Address of Issuer’s Principal Executive Offices:
210 East Grand Avenue South San Francisco, CA 94080 | |
| Item 2(a). | Names of Persons Filing:
Arie Belldegrun, M.D. Bellco Legacy IV LLC Bellco Legacy LLC Vida Ventures LLC | |
| Item 2(b). | Address of Principal Business Office, or, if none, Residence:
The address of Arie Belldegrun, M.D. is: 2049 Century Park East, Suite 1940, Los Angeles, CA 90067
The address of Bellco Legacy IV LLC and Bellco Legacy LLC is: 2049 Century Park East, Suite 1940, Los Angeles, CA 90067
The address of Vida Ventures LLC is: 40 Broad Street, #201, Boston, MA 02109 | |
| Item 2(c). | Citizenship:
Arie Belldegrun: USA and Israel Bellco Legacy IV LLC: Delaware Bellco Legacy LLC: Delaware Vida Ventures LLC: Nevada | |
| Item 2(d). | Title of Class of Securities:
Common Stock
| |
| < /tr> | ||
| Item 2(e). | CUSIP No.:
019770 10 6 | |
| Item 3. | Not Applicable. | |
| CUSIP No. 019770 10 6 | 13G | Page 7 of 9 Pages |
| Item 4. | Ownership |
The information requested hereinafter is set forth in items 5 through 9 and 11 of the cover page to this Schedule 13G. Ownership is stated as of December 31, 2022. This percentage is calculated based on 144,210,154 shares of common stock outstanding as of October 31, 2022, as reported in the Issuer’s Quarterly Report on Form 10-Q filed on November 2, 2022.
| Reporting Person |
Shares Held Directly |
Sole Voting Power |
Shared Voting Power |
Sole Dispositive Power |
Shared Dispositive Power |
Beneficial Ownership |
Percentage of Class(1) |
|||||||||||||||||||||
| Arie Belldegrun |
2,155,538 | 2,155,538 | 6,703,323 | 2,155,538 | 6,703,323 | 8,858,861 | 6.1 | % | ||||||||||||||||||||
| Bellco Legacy IV, LLC |
4,710,121 | 0 | 4,710,121 | 0 | 4,710,121 | 4,710,121 | 3.2 | % | ||||||||||||||||||||
| Bellco Legacy LLC |
195,039 | 0 | 195,039 | 0 | 195,039 | 195,039 | 0.1 | % | ||||||||||||||||||||
| Vida Ventures LLC |
1,798,163 | 0 | 1,798,163 | 0 | 1,798,163 | 1,798,163 | 1.2 | % | ||||||||||||||||||||
| (1) | This percentage is calculated based on 144,210,154 shares of common stock outstanding as of October 31, 2022, as reported in the Issuer’s Quarterly Report on Form 10-Q filed on November 2, 2022. |
| Item 5. | Ownership of Five Percent or Less of a Class. |
If this statement is being filed to report the fact that as of the date hereof, the Reporting Persons have ceased to be the beneficial owner of more than five percent of the class of securities, check the following: ☐
| Item 6. | Ownership of More than Five Percent on Behalf of Another Person |
Not applicable
| Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person |
Not applicable
| Item 8. | Identification and Classification of Members of the Group |
Not applicable
| Item 9. | Notice of Dissolution of Group |
Not applicable
| Item 10. | Certifications |
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
| CUSIP No. 019770 10 6 | 13G | Page 8 of 9 Pages |
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated: February 10, 2023
| /s/ Arie Belldegrun | ||
| Arie Belldegrun, M.D. | ||
| Bellco Legacy IV LLC | ||
| By: | /s/ Arie Belldegrun | |
| Name: | Arie Belldegrun, Manager | |
| Bellco Legacy LLC | ||
| By: | /s/ Arie Belldegrun | |
| Name: | Arie Belldegrun, Manager | |
| Vida Ventures LLC By: VV Manager LLC, its Manager | ||
| By: | /s/ Arie Belldegrun | |
| Name: | Arie Belldegrun, Senior Managing Director | |