Yoshiyama Annie 4

4 · Allogene Therapeutics, Inc. · Filed Feb 4, 2026

AI-generated summary of this filing

Updated Feb 4, 2026

Allogene (ALLO) SVP Finance Annie Yoshiyama Receives RSUs, Sells Shares

What Happened

Annie Yoshiyama, Senior Vice President, Finance at Allogene Therapeutics (ALLO), received awards totaling 230,518 restricted stock units (RSUs) on 2026-02-02 (179,691 RSUs + 50,827 RSUs). These are derivative awards (no cash paid) and will convert to common shares if and when they vest. On the same date she sold 4,167 shares in an open-market transaction at a weighted-average price of $1.72 for proceeds of $7,167. The sale was to satisfy tax withholding obligations and was not a discretionary sell.

Key Details

Transaction date: February 2, 2026; Form 4 filed February 4, 2026 (appears timely).
Sale: 4,167 shares disposed, weighted-average price $1.72 (sales ranged $1.71–$1.74), proceeds $7,167. (Footnote F2: weighted avg; full per-lot prices available on request.)
Awards: 179,691 RSUs and 50,827 RSUs granted (total 230,518 RSUs); reported price $0.00 (derivative awards).
Vesting/other schedules: RSUs vest in four equal annual installments beginning Feb 2, 2026 (Footnote F5). A separate option vesting schedule is noted in the filing (25% vest Feb 2, 2027, then monthly over 36 months — Footnote F4). Footnote F3 notes prior ESPP purchase of 3,826 shares on Sept 15, 2025.
Reason for sale: Footnote F1 states the 4,167-share sale was a mandated "sell to cover" to satisfy tax withholding — not a discretionary sale by the insider.
Shares owned after transaction: not specified in the summary data provided.

Context

RSUs are contingent rights to receive shares upon vesting; these grants are not immediate share purchases and vest over time (so they are not a same-day bullish cash purchase).
The small, mandated sell was solely for tax withholding, which is common and does not by itself indicate a change in insider sentiment.
Filing appears timely (filed two days after the transaction), so no late-filing flag.

Form 4

Period: 2026-02-02

SVP, Finance

Transactions

Sale
Common Stock
[F1][F2][F3]
2026-02-02$1.72/sh−4,167$7,167→ 130,322 total
Award
Stock Option (Right to buy)
[F4]
2026-02-02+179,691→ 179,691 total
Exercise: $1.87Exp: 2036-02-02→ Common Stock (179,691 underlying)
Award
Restricted Stock Unit
[F5]
2026-02-02+50,827→ 50,827 total
→ Common Stock (50,827 underlying)

Footnotes (5)

[F1]Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.
[F2]The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions ranging from $1.71 to $1.74, inclusive. The reporting person undertakes to provide 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 range set forth above.
[F3]Includes 3,826 shares of the Issuer's common stock acquired by the reporting person on September 15, 2025 pursuant to an employee stock purchase program.
[F4]25% of the shares subject to the stock option shall vest on February 2, 2027, and the remaining shares shall vest in 36 equal monthly installments thereafter.
[F5]Represents an award of Restricted Stock Units (RSUs). Each RSU represents a contingent right to receive one share of the Companys Common Stock. The RSUs will vest in 4 successive equal annual installments over the four-year period measured from February 2, 2026, subject to continued service through the vesting date.

Signature

/s/Earl Douglas, Attorney-in-Fact|2026-02-04

1 file