Allogene SVP sells shares to cover RSU taxes

Allogene Therapeutics SVP of Finance Annie Yoshiyama reported a small share sale mainly for tax purposes.

Rhea-AI Filing Summary

Allogene Therapeutics SVP of Finance Annie Yoshiyama reported a small share sale mainly for tax purposes. She sold 9,586 shares of common stock in an open-market transaction to cover tax withholding obligations tied to the vesting of restricted stock units under a mandated “sell to cover” arrangement, rather than a discretionary trade. The weighted average sale price ranged from $2.31 to $2.33 per share. After this transaction, she directly holds 124,517 Allogene shares, which include 3,781 shares acquired on March 15, 2026 through an employee stock purchase program.

Insider Trade Summary

Net Seller: 9,586 shares

Net Sell 1 txn

Insider Yoshiyama Annie

Role SVP, Finance

Sold 9,586 shs ($22K)

Type	Security	Shares	Price	Value
Sale	Common Stock	9,586	$2.31	$22K

Holdings After Transaction: Common Stock — 124,517 shares (Direct)

Footnotes (3)

1. 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.
2. F2. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions ranging from $2.31 to $2.33, 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.
3. F3. Includes 3,781 shares of the Issuer's common stock acquired by the reporting person on March 15, 2026 pursuant to an employee stock purchase program.

Key Figures

Shares sold: 9,586 shares Sale price range: $2.31–$2.33 per share Shares held after transaction: 124,517 shares +1 more

4 metrics

Shares sold 9,586 shares Open-market sale on April 21, 2026 to cover RSU taxes

Sale price range $2.31–$2.33 per share Weighted average price for April 21, 2026 transactions

Shares held after transaction 124,517 shares Direct Allogene common stock ownership following the sale

Recent ESPP acquisition 3,781 shares Shares acquired March 15, 2026 via employee stock purchase program

Key Terms

sell to cover, restricted stock units, weighted average price, employee stock purchase program

4 terms

sell to cover financial

"require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction"

Sell to cover is when a person who receives company stock through options or awards sells just enough shares immediately to pay required taxes, exercise costs, or fees, keeping the rest. Think of it like cashing part of a bonus to cover the tax bill so you can keep the remainder. For investors, it can create predictable small selling pressure and slightly change the number of shares actually held by insiders without increasing long‑term dilution.

restricted stock units financial

"tax withholding obligations in connection with the vesting of restricted stock units"

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.

weighted average price financial

"The price reported in Column 4 is a weighted average price."

Weighted average price is the average price of a security where each trade or component is counted according to its size, so bigger trades pull the average more than smaller ones. Think of it like calculating the average cost of a grocery haul where items you bought more of have greater influence on the final per-item cost. Investors use it to understand the true average price paid or received, judge execution quality, and compare trading performance against market movement.

employee stock purchase program financial

"acquired by the reporting person on March 15, 2026 pursuant to an employee stock purchase program."

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did Allogene Therapeutics (ALLO) report for Annie Yoshiyama?

Allogene reported that SVP, Finance Annie Yoshiyama sold 9,586 shares of common stock. The sale was to cover tax withholding obligations from restricted stock unit vesting under a mandated “sell to cover” arrangement, not a discretionary open-market decision.

At what price did Allogene (ALLO) SVP Annie Yoshiyama sell her shares?

The reported sale price was a weighted average of $2.31–$2.33 per share. Shares were sold in multiple transactions within this price range, and detailed breakdowns are available upon request from the company, security holders, or the SEC staff.

How many Allogene (ALLO) shares does Annie Yoshiyama hold after the transaction?

After the sale, Annie Yoshiyama directly holds 124,517 shares of Allogene common stock. This figure includes 3,781 shares she acquired on March 15, 2026 through an employee stock purchase program, as disclosed in the filing footnotes.

Was the Allogene (ALLO) insider sale by Annie Yoshiyama a discretionary trade?

The filing states the sale was not discretionary. Shares were sold to cover tax withholding obligations from vesting restricted stock units under Allogene’s equity incentive plan, which requires a “sell to cover” transaction rather than allowing the insider to choose another payment method.

What role do restricted stock units play in the Allogene (ALLO) insider sale?

The transaction relates to restricted stock units (RSUs) vesting for Annie Yoshiyama. When the RSUs vested, tax obligations arose and were satisfied by selling 9,586 shares under the company’s mandated “sell to cover” policy, as described in the Form 4 footnotes.

Did Annie Yoshiyama recently acquire additional Allogene (ALLO) shares?

Yes. The filing notes she acquired 3,781 Allogene shares on March 15, 2026 through an employee stock purchase program. These shares are included in her total direct holding of 124,517 shares following the reported sale transaction.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 04/23/2026 - 04:16 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED 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^*

Yoshiyama Annie

(Last) (First) (Middle)

210 EAST GRAND AVE

(Street)

SOUTH SAN FRANCISCO CALIFORNIA 94080

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Allogene Therapeutics, Inc. [ ALLO ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	SVP, Finance

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/21/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form 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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	04/21/2026		S		9,586(1)	D	$2.31(2)	124,517(3)	D

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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. 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.

2. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions ranging from $2.31 to $2.33, 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.

3. Includes 3,781 shares of the Issuer's common stock acquired by the reporting person on March 15, 2026 pursuant to an employee stock purchase program.

Remarks:

	/s/Earl Douglas, Attorney-in-Fact	04/23/2026
	** Signature of Reporting Person	Date
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)