Accession Number: | 0001387131-20-005873 |
Date: | 2020-06-18 |
Issuer: | ALLOGENE THERAPEUTICS, INC. (ALLO) |
Original Submission Date: |
TPG GROUP HOLDINGS (SBS) ADVISORS, INC.
C/O TPG GLOBAL, LLC
301 COMMERCE STREET, SUITE 3300
FORT WORTH, TX 76102
BONDERMAN DAVID
C/O TPG GLOBAL, LLC
301 COMMERCE STREET, SUITE 3300
FORT WORTH, TX 76102
COULTER JAMES G
C/O TPG GLOBAL, LLC
301 COMMERCE STREET, SUITE 3300
FORT WORTH, TX 76102
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2020-06-18 | S | 94,600 | d | $42.14 | 20,241,502 | indirect | f1,f2,f7,f8 | |
COMMON STOCK | 2020-06-19 | S | 47,767 | d | $42.04 | 20,193,735 | indirect | f1,f2,f7,f8 | |
COMMON STOCK | 2020-06-22 | S | 129,570 | d | $42.72 | 20,064,165 | indirect | f1,f2,f7,f8 | |
COMMON STOCK | 2020-06-22 | S | 42,855 | d | $43.16 | 20,021,310 | indirect | f1,f2,f7,f8 |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
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ID | footnote |
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f1 | david bonderman and james g. coulter are the sole shareholders of tpg group holdings (sbs) advisors, inc. (together with messrs. bonderman and coulter, the "reporting persons"), which is the sole member of tpg group holdings (sbs) advisors, llc, which is the general partner of tpg group holdings (sbs), l.p., which is the sole member of tpg holdings i-a, llc, which is the general partner of tpg holdings i, l.p., which is the sole member of each of (i) tpg genpar vii advisors, llc and (ii) the rise fund genpar advisors, llc. tpg genpar vii advisors, llc is the general partner of tpg genpar vii, l.p., which is the general partner of tpg carthage holdings, l.p., which directly holds 13,347,538 shares of common stock ("common stock") of allogene therapeutics, inc. |
f2 | the rise fund genpar advisors, llc is the general partner of the rise fund genpar, l.p., which is the general partner of the rise fund carthage, l.p. (together with tpg carthage holdings, l.p., the "tpg funds"), which directly holds 6,673,772 shares of common stock. |
f3 | the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $42.05 to $42.265, inclusive. the reporting persons undertake to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission (the "commission"), upon request, full information regarding the number of shares sold at each separate price within the range set forth above. |
f4 | the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $42.01 to $42.155, inclusive. the reporting persons undertake to provide to the issuer, any security holder of the issuer, or the staff of the commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. |
f5 | the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $42.01 to $43.005, inclusive. the reporting persons undertake to provide to the issuer, any security holder of the issuer, or the staff of the commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. |
f6 | the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $43.01 to $43.32, inclusive. the reporting persons undertake to provide to the issuer, any security holder of the issuer, or the staff of the commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. |
f7 | because of the relationship between the reporting persons and the tpg funds, the reporting persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the tpg funds. each tpg fund and each reporting person disclaims beneficial ownership of the securities reported herein, except to the extent of such tpg fund's or such reporting person's pecuniary interest therein, if any. |
f8 | pursuant to rule 16a-1(a)(4) under the securities exchange act of 1934, as amended (the "exchange act"), this filing shall not be deemed an admission that the reporting persons are, for purposes of section 16 of the exchange act or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests. |