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Allogene (ALLO) director Kazam converts 47,700 RSUs and receives 95,400-unit equity grant

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

Rhea-AI Filing Summary

Allogene Therapeutics director Joshua A. Kazam reported equity compensation activity. On June 18, 2026, he exercised 47,700 Restricted Stock Units (RSUs), which converted into the same number of common shares, bringing his direct common stock holdings to 398,463 shares after the transactions.

On the same date he received a new award of 95,400 RSUs under the company’s 2018 plan. Each RSU represents a contingent right to receive one share of Allogene common stock, or cash at the company’s discretion, and will vest in two equal semi-annual installments over one year, subject to continued service.

Positive

  • None.

Negative

  • None.

Insights

Director activity reflects equity compensation grants and RSU conversion, not open-market trading.

The filing shows Joshua A. Kazam, a director of Allogene Therapeutics, exercising 47,700 RSUs into common shares and receiving a new grant of 95,400 RSUs. These are compensation-related equity events rather than open-market purchases or sales.

The new RSUs vest in two equal semi-annual installments over a one-year period from the grant date, contingent on continued service. After the RSU exercise, Kazam holds 398,463 common shares directly, and the filing shows no remaining derivative positions, indicating those RSUs were fully converted.

Insider Kazam Joshua A
Role null
Type Security Shares Price Value
Exercise Restricted Stock Unit 47,700 $0.00 --
Grant/Award Restricted Stock Unit 95,400 $0.00 --
Exercise Common Stock 47,700 $0.00 --
Holdings After Transaction: Restricted Stock Unit — 0 shares (Direct, null); Common Stock — 398,463 shares (Direct, null)
Footnotes (1)
  1. Each RSU represents a contingent right to receive either one share of common stock of the Issuer or cash in lieu thereof, at the Issuer's discretion, in accordance with the terms of the 2018 Plan. 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 two successive equal semi-annual installments over the one-year period measured from the date of grant, subject to continued service through the vesting date.
RSUs exercised 47,700 units Restricted Stock Units converted into common stock on June 18, 2026
New RSU grant 95,400 units Award of Restricted Stock Units on June 18, 2026
Common shares held after transactions 398,463 shares Direct ownership following RSU exercise
Underlying shares for new RSUs 95,400 shares Each RSU corresponds to one share of common stock
RSU vesting schedule Two semi-annual installments over one year Vesting from grant date, subject to continued service
Restricted Stock Unit financial
"Represents an award of Restricted Stock Units (RSUs). Each RSU represents a contingent right to receive one share..."
A restricted stock unit is a promise from a company to give an employee shares of stock after certain conditions are met, like staying with the company for a set amount of time. It’s like earning a bonus that turns into company stock once you’ve proven your commitment, making it a way to motivate and reward employees.
contingent right financial
"Each RSU represents a contingent right to receive either one share of common stock of the Issuer or cash in lieu thereof..."
2018 Plan financial
"at the Issuer's discretion, in accordance with the terms of the 2018 Plan."
semi-annual installments financial
"The RSUs will vest in two successive equal semi-annual installments over the one-year period..."
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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*
Kazam Joshua A
(Last)(First)(Middle)
210 EAST GRAND AVENUE
(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)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/18/2026		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 Stock06/18/2026M47,700A$0398,463D
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
Restricted Stock Unit(1)06/18/2026M47,700 (2) (2)Common Stock47,700$00D
Restricted Stock Unit(2)06/18/2026A95,400 (2) (2)Common Stock95,400$095,400D
Explanation of Responses:
1. Each RSU represents a contingent right to receive either one share of common stock of the Issuer or cash in lieu thereof, at the Issuer's discretion, in accordance with the terms of the 2018 Plan.
2. 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 two successive equal semi-annual installments over the one-year period measured from the date of grant, subject to continued service through the vesting date.
Remarks:
/s/Earl Douglas, Attorney-in-Fact06/23/2026
** 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 equity transactions did Allogene (ALLO) director Joshua A. Kazam report?

Joshua A. Kazam reported exercising 47,700 Restricted Stock Units into common stock and receiving a new grant of 95,400 RSUs. These transactions increased his common stock holdings and added a fresh RSU award under Allogene’s 2018 equity plan.

How many Allogene (ALLO) shares does Joshua A. Kazam hold after these transactions?

Following the reported transactions, Joshua A. Kazam directly holds 398,463 shares of Allogene common stock. In addition, he has a new award of 95,400 Restricted Stock Units that may settle in shares or cash, subject to vesting conditions.

What are the terms of Joshua A. Kazam’s new 95,400 RSU grant at Allogene (ALLO)?

The 95,400 RSUs represent contingent rights to receive one Allogene common share or cash per unit. They vest in two equal semi-annual installments over one year from the grant date, conditioned on Kazam’s continued service through each vesting date.

Were Joshua A. Kazam’s Allogene (ALLO) transactions open-market buys or sells?

The reported transactions are not open-market buys or sells. They consist of a derivative exercise of 47,700 RSUs into common stock and a 95,400 RSU grant, both categorized as equity compensation and derivative exercises, rather than market trades.

What does an RSU represent in Allogene (ALLO) director compensation?

Each Restricted Stock Unit represents a contingent right to receive one share of Allogene common stock, or cash instead, at the company’s discretion. Settlement occurs according to the plan terms and vesting schedule, which in this case spans one year with semi-annual installments.