# EDGAR Filing Document

**Accession Number:** 0001737287
**File Stem:** 0001593968-23-000523
**Filing Date:** 2023-3
**Character Count:** 7384
**Document Hash:** 39f1a79b4188b79242705209969b8141
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001593968-23-000523.hdr.sgml**: 20230324

**ACCESSION NUMBER**: 0001593968-23-000523

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230322

**FILED AS OF DATE**: 20230324

**DATE AS OF CHANGE**: 20230324

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Belldegrun Arie
- **CENTRAL INDEX KEY:** 0001296549

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38693
- **FILM NUMBER:** 23761239

**MAIL ADDRESS:**
- **STREET 1:** UCLA SCHOOL OF MEDICINE
- **STREET 2:** 10833 LE CONTE 66-118 CHS BOX 951738
- **CITY:** LOS ANGELES
- **STATE:** CA
- **ZIP:** 9095-1738
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Allogene Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001737287
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **IRS NUMBER:** 823562771
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 210 EAST GRAND AVENUE
- **CITY:** SOUTH SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94080
- **BUSINESS PHONE:** (650) 457-2700

**MAIL ADDRESS:**
- **STREET 1:** 210 EAST GRAND AVENUE
- **CITY:** SOUTH SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94080

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Belldegrun Arie<br><sub>(Last) (First) (Middle)</sub><br>210 EAST GRAND AVENUE<br><sub>(Street)</sub><br>SOUTH SAN FRANCISCO, CA 94080<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-22 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Allogene Therapeutics, Inc. [ ALLO ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-03-22 |  | A |  | 1282976<sup>(1)</sup> | A | $0 | 1654886 | D |  |
| Common Stock |  |  |  |  |  |  |  | 195039 | I | See footnote<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 1798163 | I | See footnote<sup>(3)</sup> |
| Common Stock |  |  |  |  |  |  |  | 4710120 | I | See footnote<sup>(4)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Stock Option (Right to Buy) | $5.04 | 2023-03-22 |  | A |  | 994800 |  | <sup>(5)</sup> | 2033-03-22 | Common Stock | 994800 | $0 | 994800 | D |  |

---

### Footnotes:

(1) Includes 986,905 of performance RSUs which shall vest as follows: (1) 50% shall vest if the 30-day weighted average stock price is equal to or greater than $18 and (2) 50% shall vest upon the first regulatory approval of a product candidate. Notwithstanding the foregoing (1) any portion that vests upon the stock price threshold shall no longer vest and be terminated after three years from the grant date if such threshold has not been met in such three-year period, and (2) any portion that vests upon product candidate approval shall no longer vest and be terminated after five years from the grant date if such approval has not occurred in such five-year period.

(2) The securities are held in the name of Bellco Legacy LLC. Bellco Legacy LLC is owned and managed by trusts controlled by the reporting person and Rebecka Belldegrun

(3) The securities are held by Vida Ventures LLC (Vida), of which VV Manager LLC is the manager. The reporting person is a Senior Managing Director of VV Manager LLC and may therefore be deemed to be the beneficial owner of the common shares held by Vida. The reporting person disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

(4) The securities are held in the name of Bellco Legacy Trust fbo Rebecka Belldegrun, of which the reporting person's spouse is trustee and beneficiary

(5) 25% of the shares subject to the stock option shall vest on March 13, 2024, and the remaining shares shall vest in 36 equal monthly installments thereafter.

**Signature:** /s/Veer Bhavnagri, Attorney-in-Fact  
**Date:** 2023-03-24

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**