PVP VI (AIV) Feeder Corp. Holding Partnership, L.P. 4

Accession 0001209191-19-009780

CIK 0001653087other

View on SEC.gov Company Profile

Filed

Feb 12, 7:00 PM ET

Accepted

Feb 13, 5:33 PM ET

Size

38.3 KB

Accession

0001209191-19-009780

Insider Transaction Report

Form 4

Period: 2019-02-11

Alector, Inc.ALEC

Polaris Venture Partners VI (AIV), L.P.

10% Owner

Transactions

Conversion
Common Stock
2019-02-11+500,000→ 500,000 total(indirect: See footnote)
Conversion
Common Stock
2019-02-11+2,500,000→ 8,274,725 total(indirect: See footnotes)
Conversion
Common Stock
2019-02-11+2,808,989→ 11,083,714 total(indirect: See footnotes)
Conversion
Common Stock
2019-02-11+1,246,883→ 12,330,597 total(indirect: See footnotes)
Conversion
Common Stock
2019-02-11+5,274,725→ 5,774,725 total(indirect: See footnotes)
Conversion
Common Stock
2019-02-11+527,597→ 12,858,194 total(indirect: See footnotes)
Conversion
Series A-1 Preferred Stock
2019-02-11−500,000→ 0 total(indirect: See footnote)
→ Common Stock (500,000 underlying)
Conversion
Series A-2 Preferred Stock
2019-02-11−5,274,725→ 0 total(indirect: See footnote)
→ Common Stock (5,274,725 underlying)
Conversion
Series B Preferred Stock
2019-02-11−2,500,000→ 0 total(indirect: See footnote)
→ Common Stock (2,500,000 underlying)
Conversion
Series C Preferred Stock
2019-02-11−2,808,989→ 0 total(indirect: See footnote)
→ Common Stock (2,808,989 underlying)
Conversion
Series D Preferred Stock
2019-02-11−1,246,883→ 0 total(indirect: See footnote)
→ Common Stock (1,246,883 underlying)
Conversion
Series E Preferred Stock
2019-02-11−527,597→ 0 total(indirect: See footnote)
→ Common Stock (527,597 underlying)

Polaris Venture Partners VI, L.P.

10% Owner

Transactions

Conversion
Series B Preferred Stock
2019-02-11−2,500,000→ 0 total(indirect: See footnote)
→ Common Stock (2,500,000 underlying)
Conversion
Series D Preferred Stock
2019-02-11−1,246,883→ 0 total(indirect: See footnote)
→ Common Stock (1,246,883 underlying)
Conversion
Common Stock
2019-02-11+500,000→ 500,000 total(indirect: See footnote)
Conversion
Common Stock
2019-02-11+5,274,725→ 5,774,725 total(indirect: See footnotes)
Conversion
Common Stock
2019-02-11+2,500,000→ 8,274,725 total(indirect: See footnotes)
Conversion
Common Stock
2019-02-11+2,808,989→ 11,083,714 total(indirect: See footnotes)
Conversion
Common Stock
2019-02-11+1,246,883→ 12,330,597 total(indirect: See footnotes)
Conversion
Common Stock
2019-02-11+527,597→ 12,858,194 total(indirect: See footnotes)
Conversion
Series A-1 Preferred Stock
2019-02-11−500,000→ 0 total(indirect: See footnote)
→ Common Stock (500,000 underlying)
Conversion
Series A-2 Preferred Stock
2019-02-11−5,274,725→ 0 total(indirect: See footnote)
→ Common Stock (5,274,725 underlying)
Conversion
Series C Preferred Stock
2019-02-11−2,808,989→ 0 total(indirect: See footnote)
→ Common Stock (2,808,989 underlying)
Conversion
Series E Preferred Stock
2019-02-11−527,597→ 0 total(indirect: See footnote)
→ Common Stock (527,597 underlying)

PVP VI (AIV) Feeder Corp. Holding Partnership, L.P.

10% Owner

Transactions

Conversion
Common Stock
2019-02-11+5,274,725→ 5,774,725 total(indirect: See footnotes)
Conversion
Common Stock
2019-02-11+2,808,989→ 11,083,714 total(indirect: See footnotes)
Conversion
Common Stock
2019-02-11+500,000→ 500,000 total(indirect: See footnote)
Conversion
Common Stock
2019-02-11+2,500,000→ 8,274,725 total(indirect: See footnotes)
Conversion
Common Stock
2019-02-11+1,246,883→ 12,330,597 total(indirect: See footnotes)
Conversion
Common Stock
2019-02-11+527,597→ 12,858,194 total(indirect: See footnotes)
Conversion
Series A-1 Preferred Stock
2019-02-11−500,000→ 0 total(indirect: See footnote)
→ Common Stock (500,000 underlying)
Conversion
Series A-2 Preferred Stock
2019-02-11−5,274,725→ 0 total(indirect: See footnote)
→ Common Stock (5,274,725 underlying)
Conversion
Series B Preferred Stock
2019-02-11−2,500,000→ 0 total(indirect: See footnote)
→ Common Stock (2,500,000 underlying)
Conversion
Series C Preferred Stock
2019-02-11−2,808,989→ 0 total(indirect: See footnote)
→ Common Stock (2,808,989 underlying)
Conversion
Series D Preferred Stock
2019-02-11−1,246,883→ 0 total(indirect: See footnote)
→ Common Stock (1,246,883 underlying)
Conversion
Series E Preferred Stock
2019-02-11−527,597→ 0 total(indirect: See footnote)
→ Common Stock (527,597 underlying)

Polaris Venture Management Co. VI, L.L.C.

10% Owner

Transactions

Conversion
Common Stock
2019-02-11+500,000→ 500,000 total(indirect: See footnote)
Conversion
Common Stock
2019-02-11+5,274,725→ 5,774,725 total(indirect: See footnotes)
Conversion
Common Stock
2019-02-11+2,500,000→ 8,274,725 total(indirect: See footnotes)
Conversion
Common Stock
2019-02-11+2,808,989→ 11,083,714 total(indirect: See footnotes)
Conversion
Common Stock
2019-02-11+1,246,883→ 12,330,597 total(indirect: See footnotes)
Conversion
Common Stock
2019-02-11+527,597→ 12,858,194 total(indirect: See footnotes)
Conversion
Series A-1 Preferred Stock
2019-02-11−500,000→ 0 total(indirect: See footnote)
→ Common Stock (500,000 underlying)
Conversion
Series A-2 Preferred Stock
2019-02-11−5,274,725→ 0 total(indirect: See footnote)
→ Common Stock (5,274,725 underlying)
Conversion
Series B Preferred Stock
2019-02-11−2,500,000→ 0 total(indirect: See footnote)
→ Common Stock (2,500,000 underlying)
Conversion
Series C Preferred Stock
2019-02-11−2,808,989→ 0 total(indirect: See footnote)
→ Common Stock (2,808,989 underlying)
Conversion
Series D Preferred Stock
2019-02-11−1,246,883→ 0 total(indirect: See footnote)
→ Common Stock (1,246,883 underlying)
Conversion
Series E Preferred Stock
2019-02-11−527,597→ 0 total(indirect: See footnote)
→ Common Stock (527,597 underlying)

Polaris Venture Partners Founders' Fund VI, L.P.

10% Owner

Transactions

Conversion
Common Stock
2019-02-11+500,000→ 500,000 total(indirect: See footnote)
Conversion
Common Stock
2019-02-11+5,274,725→ 5,774,725 total(indirect: See footnotes)
Conversion
Common Stock
2019-02-11+2,500,000→ 8,274,725 total(indirect: See footnotes)
Conversion
Common Stock
2019-02-11+2,808,989→ 11,083,714 total(indirect: See footnotes)
Conversion
Common Stock
2019-02-11+1,246,883→ 12,330,597 total(indirect: See footnotes)
Conversion
Common Stock
2019-02-11+527,597→ 12,858,194 total(indirect: See footnotes)
Conversion
Series A-1 Preferred Stock
2019-02-11−500,000→ 0 total(indirect: See footnote)
→ Common Stock (500,000 underlying)
Conversion
Series A-2 Preferred Stock
2019-02-11−5,274,725→ 0 total(indirect: See footnote)
→ Common Stock (5,274,725 underlying)
Conversion
Series B Preferred Stock
2019-02-11−2,500,000→ 0 total(indirect: See footnote)
→ Common Stock (2,500,000 underlying)
Conversion
Series C Preferred Stock
2019-02-11−2,808,989→ 0 total(indirect: See footnote)
→ Common Stock (2,808,989 underlying)
Conversion
Series D Preferred Stock
2019-02-11−1,246,883→ 0 total(indirect: See footnote)
→ Common Stock (1,246,883 underlying)
Conversion
Series E Preferred Stock
2019-02-11−527,597→ 0 total(indirect: See footnote)
→ Common Stock (527,597 underlying)

Footnotes (7)

[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 converted into Common Stock on a one-for-one basis upon the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date.
[F2]27,606 shares are held by Polaris Venture Partners Founders' Fund VI, L.P ("PVPFF VI"), 379,174 shares are held by Polaris Venture Partners VI (AIV), L.P. ("PVP VI AIV") and 93,220 shares are held by PVP VI (AIV) Feeder Corp. Holding Partnership, L.P. ("PVP VI Feeder" and, together with PVP VI AIV, PVPFF VI, and Polaris Venture Partners VI, L.P. ("PVP VI"), the "Polaris Funds"). The general partner of each of the Polaris Funds is Polaris Venture Management Co. VI, L.L.C. ("PVM"). PVM disclaims beneficial ownership of the securities held by the Polaris Funds, and this report shall not be deemed an admission that PVM is the beneficial owner of such securities, except to the extent of its pecuniary interest therein, if any.
[F3]291,223 shares are held by PVPFF VI, 4,000,075 shares are held by PVP VI AIV and 983,427 shares are held by PVP VI Feeder. PVM disclaims beneficial ownership of the securities held by the Polaris Funds, and this report shall not be deemed an admission that PVM is the beneficial owner of such securities, except to the extent of its pecuniary interest therein, if any.
[F4]138,030 shares are held by PVPFF VI, 1,895,867 shares are held by PVP VI AIV and 466,103 shares are held by PVP VI Feeder. PVM disclaims beneficial ownership of the securities held by the Polaris Funds, and this report shall not be deemed an admission that PVM is the beneficial owner of such securities, except to the extent of its pecuniary interest therein, if any.
[F5]155,087 shares are held by PVPFF VI, 2,130,190 shares are held by PVP VI AIV and 523,712 shares are held by PVP VI Feeder. PVM disclaims beneficial ownership of the securities held by the Polaris Funds, and this report shall not be deemed an admission that PVM is the beneficial owner of such securities, except to the extent of its pecuniary interest therein, if any.
[F6]68,842 shares are held by PVPFF VI, 945,571 shares are held by PVP VI AIV and 232,470 shares are held by PVP VI Feeder. PVM disclaims beneficial ownership of the securities held by the Polaris Funds, and this report shall not be deemed an admission that PVM is the beneficial owner of such securities, except to the extent of its pecuniary interest therein, if any.
[F7]29,129 shares are held by PVPFF VI and 498,468 shares are held by PVP VI. PVM disclaims beneficial ownership of the securities held by the Polaris Funds, and this report shall not be deemed an admission that PVM is the beneficial owner of such securities, except to the extent of its pecuniary interest therein, if any.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

Alector, Inc.

CIK 0001653087

→

Entity typeother

IncorporatedDE

Related Parties

filerCIK 0001767130

Filing Metadata

Form type: 4
Filed: Feb 12, 7:00 PM ET
Accepted: Feb 13, 5:33 PM ET
Size: 38.3 KB

View on SEC.gov