Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-21-004742
Date:2021-01-19
Issuer: ALECTOR, INC. (ALEC)
Original Submission Date:

Reporting Person:

PAUL ROBERT
C/O ALECTOR, INC.
131 OYSTER POINT BLVD, SUITE 600 SOUTH SAN FRANCISCO, CA 94080

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-01-19 M 27,917 a $8.16 241,636 direct
COMMON STOCK 2021-01-19 M 2,083 a $10.14 243,719 direct
COMMON STOCK 2021-01-19 S 30,000 d $18.12 213,719 direct
COMMON STOCK 2021-01-20 M 6,484 a $8.16 220,203 direct
COMMON STOCK 2021-01-20 M 2,083 a $10.14 222,286 direct
COMMON STOCK 2021-01-20 S 8,567 d $18.00 213,719 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
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 ExercisableExpiration 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
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 8.16 2021-01-19 deemed execution date M 27,917 (d) 2028-07-02 common stock 27,917 $8.16 292,083 direct
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 10.14 2021-01-19 deemed execution date M 2,083 (d) 2028-11-06 common stock 2,083 $10.14 70,834 direct
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 8.16 2021-01-20 deemed execution date M 6,484 (d) 2028-07-02 common stock 6,484 $8.16 285,599 direct
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 10.14 2021-01-20 deemed execution date M 2,083 (d) 2028-11-06 common stock 2,083 $10.14 68,751 direct
Footnotes
IDfootnote
f1 the sales reported by the reporting person were effected pursuant to a rule 10b5-1 trading plan adopted on may 28, 2020.
f2 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $18.00 to $18.50, inclusive. the reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) and (3) to this form 4.
f3 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $18.00 to $18.01, inclusive.
f4 one forty-eighth (1/48th) of the shares subject to the option vested on august 2, 2018, and one forty-eighth (1/48th) of the shares subject to the option vest monthly thereafter.
f5 one-fourth (1/4th) of the shares subject to the option vested on november 1, 2019 and one forty-eighth (1/48th) of the shares vest monthly thereafter.

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