3//SEC Filing
OrbiMed Capital GP IV LLC 3
Accession 0001209191-19-007889
CIK 0001653087other
Filed
Feb 5, 7:00 PM ET
Accepted
Feb 6, 7:58 PM ET
Size
24.1 KB
Accession
0001209191-19-007889
Insider Transaction Report
Form 3
Alector, Inc.ALEC
OrbiMed Capital GP IV LLC
10% Owner
Holdings
- (indirect: See footnotes)
Series C Preferred Stock
→ Common Stock (2,280,479 underlying) - (indirect: See footnotes)
Series B Preferred Stock
→ Common Stock (2,029,626 underlying) - (indirect: See footnotes)
Series D Preferred Stock
→ Common Stock (1,012,282 underlying) - (indirect: See footnotes)
Series A-1 Preferred Stock
→ Common Stock (405,925 underlying) - (indirect: See footnotes)
Series A-2 Preferred Stock
→ Common Stock (4,282,288 underlying) - (indirect: See footnotes)
Series E Preferred Stock
→ Common Stock (266,437 underlying)
ORBIMED ADVISORS LLC
10% Owner
Holdings
- (indirect: See footnotes)
Series A-1 Preferred Stock
→ Common Stock (405,925 underlying) - (indirect: See footnotes)
Series B Preferred Stock
→ Common Stock (2,029,626 underlying) - (indirect: See footnotes)
Series E Preferred Stock
→ Common Stock (266,437 underlying) - (indirect: See footnotes)
Series A-2 Preferred Stock
→ Common Stock (4,282,288 underlying) - (indirect: See footnotes)
Series C Preferred Stock
→ Common Stock (2,280,479 underlying) - (indirect: See footnotes)
Series D Preferred Stock
→ Common Stock (1,012,282 underlying)
Footnotes (4)
- [F1]Each of the Series A-1 Preferred Stock, Series A-2 Preferred Stock, Series B Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock shall automatically convert into shares of Common Stock on a one to one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.
- [F2]The Shares are held of record by OrbiMed Private Investments IV-AL, LP ("OrbiMed IV-AL"). OrbiMed Capital GP IV LLC ("OrbiMed GP"), is the general partner of OrbiMed IV-AL. OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended, is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL and as a result may be deemed to have beneficial ownership over such securities.
- [F3]Each of OrbiMed GP and OrbiMed Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. This report on Form 3 shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. The Reporting Persons have designated a representative, currently Carl L. Gordon, a member of Advisors, to serve on the Issuer's board of directors.
- [F4]The Shares are held of record by OrbiMed Private Investments IV-AL (Feeder), LP ("OrbiMed IV-AL (Feeder)"). OrbiMed GP is the general partner of OrbiMed IV-AL (Feeder). OrbiMed Advisors, a registered adviser under the Investment Advisers Act of 1940, as amended, is the managing member of OrbiMed GP. By virtue of such relationships, OrbiMed GP and OrbiMed Advisors may be deemed to have voting and investment power over the securities held by OrbiMed IV-AL (Feeder) and as a result may be deemed to have beneficial ownership over such securities.
Issuer
Alector, Inc.
CIK 0001653087
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001502240
Filing Metadata
- Form type
- 3
- Filed
- Feb 5, 7:00 PM ET
- Accepted
- Feb 6, 7:58 PM ET
- Size
- 24.1 KB