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  4. [Form 4] Alector, Inc. Insider Trading Activity

Alector (ALEC) director Kristine Yaffe granted 28,700 RSUs and options

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Yaffe Kristine reported acquisition or exercise transactions in this Form 4 filing.

Alector director Kristine Yaffe received new equity awards as part of her compensation. She was granted 28,700 restricted stock units representing shares of common stock, which vest on the earlier of June 17, 2027 or the date of Alector’s next annual meeting of stockholders.

She also received stock options for 9,450 shares of common stock, expiring on June 16, 2036. These options vest in 12 equal monthly installments beginning July 17, 2026, or fully on the earlier of the one-year anniversary of the grant date or the next annual meeting. Following the RSU grant, she directly holds 124,109 shares of common stock.

Positive

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Negative

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Insider Yaffe Kristine
Role null
Type Security Shares Price Value
Grant/Award Stock Option (right to buy) 9,450 $0.00 --
Grant/Award Common Stock 28,700 $0.00 --
Holdings After Transaction: Stock Option (right to buy) — 9,450 shares (Direct, null); Common Stock — 124,109 shares (Direct, null)
Footnotes (1)
  1. The reported shares are represented by restricted stock units, or RSUs, which vest on the earlier of (i) June 17, 2027 or (ii) the date of the Issuer's next annual meeting of stockholders. The shares subject to the option vest in 12 equal monthly installments beginning on July 17, 2026, provided that the shares subject to the option will vest in full on the earlier of the one-year anniversary of the date of grant or the date of the Issuer's next annual meeting of stockholders.
RSU grant size 28,700 units Restricted stock units vesting by June 17, 2027 or next annual meeting
Options granted 9,450 shares Stock options for common stock granted on June 17, 2026
Shares held after grant 124,109 shares Common stock directly held following RSU award
Option exercise price $0.00 per share Reported conversion or exercise price for the granted options
Option expiration June 16, 2036 Expiration date of the stock options
Option vesting start July 17, 2026 Date monthly vesting begins for the options, over 12 months
restricted stock units financial
"The reported shares are represented by restricted stock units, or RSUs, which vest on the earlier of (i) June 17, 2027 or (ii) the date of the Issuer's next annual meeting of stockholders."
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
RSUs financial
"The reported shares are represented by restricted stock units, or RSUs, which vest on the earlier of (i) June 17, 2027 or (ii) the date of the Issuer's next annual meeting of stockholders."
RSUs, or restricted stock units, are a form of company shares given to employees as part of their compensation. They are typically awarded with certain restrictions, such as a waiting period before they can be fully owned or sold, similar to earning a gift that becomes fully yours over time. For investors, RSUs can impact a company's stock offerings and reflect how much the company relies on stock-based incentives to attract and retain talent.
Stock Option (right to buy financial
"Stock Option (right to buy)"
vest financial
"The shares subject to the option vest in 12 equal monthly installments beginning on July 17, 2026, provided that the shares subject to the option will vest in full on the earlier of the one-year anniversary of the date of grant or the date of the Issuer's next annual meeting of stockholders."
A vest is the process by which an employee earns the right to receive certain benefits or ownership interests, such as stock or retirement funds, over time. It’s similar to earning a reward gradually, ensuring that the benefit becomes fully yours only after a set period or meeting specific conditions. This makes it important for investors because it determines when they can actually claim or use those benefits.
annual meeting of stockholders financial
"The reported shares are represented by restricted stock units, or RSUs, which vest on the earlier of (i) June 17, 2027 or (ii) the date of the Issuer's next annual meeting of stockholders."
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
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*
Yaffe Kristine
(Last)(First)(Middle)
C/O ALECTOR, INC.
131 OYSTER POINT BLVD., SUITE 600
(Street)
SOUTH SAN FRANCISCO CALIFORNIA 94080
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
Alector, Inc. [ ALEC ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/17/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock06/17/2026A28,700(1)A$0.00124,109D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (right to buy)$006/17/2026A9,450 (2)06/16/2036Common Stock9,450$09,450D
Explanation of Responses:
1. The reported shares are represented by restricted stock units, or RSUs, which vest on the earlier of (i) June 17, 2027 or (ii) the date of the Issuer's next annual meeting of stockholders.
2. The shares subject to the option vest in 12 equal monthly installments beginning on July 17, 2026, provided that the shares subject to the option will vest in full on the earlier of the one-year anniversary of the date of grant or the date of the Issuer's next annual meeting of stockholders.
/s/ Grace Wong-Sarad, by power of attorney06/17/2026
** Signature of Reporting PersonDate
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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Alector (ALEC) director Kristine Yaffe report?

Kristine Yaffe reported receiving equity awards from Alector, including 28,700 restricted stock units and stock options for 9,450 shares. These awards are compensation-related grants rather than open-market purchases or sales, and they increase her direct equity exposure to the company.

How many Alector (ALEC) shares does Kristine Yaffe hold after the Form 4?

After the reported RSU grant, Kristine Yaffe directly holds 124,109 shares of Alector common stock. This figure reflects her position following the award of 28,700 restricted stock units, which will settle into shares as they vest under the specified schedule.

When do Kristine Yaffe’s Alector (ALEC) RSUs from this grant vest?

The 28,700 restricted stock units granted to Kristine Yaffe vest on the earlier of June 17, 2027 or the date of Alector’s next annual meeting of stockholders. Vesting must occur before the RSUs convert into common shares that she can hold or eventually sell.

What are the key terms of Kristine Yaffe’s new Alector (ALEC) stock options?

Kristine Yaffe received stock options covering 9,450 Alector shares, expiring on June 16, 2036. These options vest in 12 equal monthly installments starting July 17, 2026, or fully on the earlier of the one-year grant anniversary or Alector’s next annual stockholder meeting.

Does Kristine Yaffe’s Form 4 show open-market buying or selling of Alector (ALEC) stock?

The Form 4 does not show open-market buying or selling. It reports compensation-related acquisitions: a grant of 28,700 restricted stock units and stock options for 9,450 shares, both awarded at a reported price of $0.00 per share as part of her director compensation.