ALLO Pengajuan SEC - Allogene Therapeutics, Inc.- Laporan Tahunan, Pernyataan Kuasa, Prospektus

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SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Allogene Therapeutics, Inc.

SEC Filings (Chronological Order)

Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.

August 13, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 13, 2025 Allogene Therapeu UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 13, 2025 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commis
August 13, 2025	EX-99.1	Allogene Therapeutics Reports Second Quarter 2025 Financial Results and Business Update Exhibit 99.1 Allogene Therapeutics Reports Second Quarter 2025 Financial Results and Business Update •Pivotal Phase 2 ALPHA3 Trial with Cemacabtagene Ansegedleucel (Cema-Cel) in First-Line (1L) Consolidation in Large B-Cell Lymphoma (LBCL) ◦ALPHA3 Proceeding as a Two-Arm Randomized Trial Comparing Cema-cel After Standard Fludarabine and Cyclophosphamide (FC) Lymphodepletion vs. Observation ◦More t
August 13, 2025	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT P Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38693 Allogene Therapeutics, Inc.
August 1, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2025 Allogene Therapeut UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2025 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commiss
June 23, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 18, 2025 Allogene Therapeuti UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 18, 2025 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commissi
May 13, 2025	EX-10.6	effective as of August 9 Exhibit 10.6 EXECUTION VERSION ALLOGENE THERAPEUTICS, INC. CONSULTING AGREEMENT This agreement (“Agreement”) is made effective as of August 9, 2018 (“Effective Date”) by and between Allogene Therapeutics, Inc., a Delaware corporation (together with its affiliates and subsidiaries, “Allogene”), having a principal place of business at 270 Littlefield Ave, South San Francisco, CA 94080, and Bello Cap
May 13, 2025	EX-10.5	Grant Notice and Award Agreement Exhibit 10.5 Director Form Allogene Therapeutics, Inc. Restricted Stock Unit Grant Notice (Amended and Restated 2018 Equity Incentive Plan) Allogene Therapeutics, Inc. (the “Company”), pursuant to its Amended and Restated 2018 Equity Incentive Plan (the “Plan”), hereby awards to Participant a Restricted Stock Unit Award for the number of shares of the Company’s Common Stock (“Restricted Stock Unit
May 13, 2025	EX-10.4	Amended and Restated Strategic Collaboration Agreement, dated as of February 19, 2025, by and between the Registrant and Foresight Diagnostics, Inc. Exhibit 10.4 CERTAIN INFORMATION CONTAINED IN THIS EXHIBIT, MARKED BY [***], HAS BEEN EXCLUDED BECAUSE THE REGISTRANT HAS DETERMINED THE INFORMATION IS BOTH NOT MATERIAL AND IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. AMENDED AND RESTATED STRATEGIC COLLABORATION AGREEMENT between FORESIGHT DIAGNOSTICS, INC. and ALLOGENE THERAPEUTICS, INC. Dated as of January 3, 2024 Exhibit
May 13, 2025	EX-10.1	Non-employee director compensation policy, as amended. Exhibit 10.1 Allogene Therapeutics, Inc. NON-EMPLOYEE DIRECTOR COMPENSATION POLICY ADOPTED: ADOPTED: SEPTEMBER 26, 2018 AMENDED: APRIL 16, 2019 Amended: September 17, 2019 Amended: September 13, 2023 AMENDED: MARCH 28, 2024 AMENDED: March 12, 2025 AMENDED: April 11, 2025 Each member of the Board of Directors (the “Board”) of Allogene Therapeutics, Inc. (the “Company”) who is a non-employee directo
May 13, 2025	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38693 Allogene Therapeutics, Inc.
May 13, 2025	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2025 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commissio
May 13, 2025	EX-99.1	Allogene Therapeutics Reports First Quarter 2025 Financial Results and Business Update Exhibit 99.1 Allogene Therapeutics Reports First Quarter 2025 Financial Results and Business Update •Pivotal Phase 2 ALPHA3 Trial with Cemacabtagene Ansegedleucel (Cema-Cel) in First-Line (1L) Consolidation in Large B-Cell Lymphoma (LBCL) ◦Nearly 50 Sites Activated Across U.S. with Strong Enthusiasm from Investigators ◦Lymphodepletion Selection and Futility Analysis Shifted to 1H 2026 in Part Due
April 30, 2025	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registran UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin
April 30, 2025	DEFA14A	SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.
March 13, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 13, 2025 Allogene Therapeut UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 13, 2025 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commiss
March 13, 2025	EX-FILING FEES	Filing Fee Table. Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Allogene Therapeutics, Inc.
March 13, 2025	S-8	As filed with the Securities and Exchange Commission on March 13, 2025 As filed with the Securities and Exchange Commission on March 13, 2025 Registration No.
March 13, 2025	EX-99.1	Allogene Therapeutics Reports Fourth Quarter and Full Year 2024 Financial Results and Business Update Exhibit 99.1 Allogene Therapeutics Reports Fourth Quarter and Full Year 2024 Financial Results and Business Update •Momentum Builds Across Programs with Key Data Milestones Expected in 2025 •Cemacabtagene Ansegedleucel (Cema-Cel): First-Line (1L) Consolidation in Large B-Cell Lymphoma (LBCL) ◦Ongoing Pivotal Phase 2 ALPHA3 Trial Advancing with Site Activation and Patient Enrollment ◦Lymphodepletio
March 13, 2025	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 ☐ TRANSITION REPORT PURSUA Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-386
March 13, 2025	EX-19.1	Allogene Therapeutics, Inc. Insider Trading Policy Exhibit 19.1 ALLOGENE THERAPEUTICS, INC. INSIDER TRADING POLICY October 10, 2018, as last updated December 12, 2024 PERSONS COVERED This Insider Trading Policy of Allogene Therapeutics, Inc. (the “Company”) applies to all directors, officers, other employees and consultants of the Company and any subsidiaries. It also applies to their family members who reside with them, anyone else who lives in t
March 13, 2025	EX-10.13	Exclusive License and Collaboration Agreement, dated October 30, 2015, by and between the Registrant (assignee of Pfizer Inc.) and Les Laboratoires Servier and Institut de Recherches Internationales Servier CERTAIN INFORMATION CONTAINED IN THIS EXHIBIT, MARKED BY [***], HAS BEEN EXCLUDED BECAUSE THE REGISTRANT HAS DETERMINED THE INFORMATION IS BOTH NOT MATERIAL AND IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL.
February 25, 2025	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 19, 2025 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Comm
February 14, 2025	EX-99.1	JOINT ACQUISITION STATEMENT PURSUANT TO RULE 13d-1(k) EXHIBIT 99.1 JOINT ACQUISITION STATEMENT PURSUANT TO RULE 13d-1(k) The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint acquisition statements. The unders
February 13, 2025	EX-99.1	JOINT FILING AGREEMENT EX-99.1 2 ex-99-02132025090232.htm JOINT FILING AGREEMENT JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the common stock of Allogene Ther
February 13, 2025	EX-99.1	JOINT FILING AGREEMENT EX-99.1 2 ex-99-02132025090226.htm JOINT FILING AGREEMENT JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the common stock of Allogene Ther
January 29, 2025	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 23, 2025 Allogene Therape UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 23, 2025 Allogene Therapeutics, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38693 82-3562771 (State or Other Jurisdiction of Incorporation) (Commi
November 13, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 11, 2024 Allogene Therap UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 11, 2024 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Comm
November 7, 2024	EX-99.1	Allogene Therapeutics Reports Third Quarter 2024 Financial Results and Business Update Exhibit 99.1 Allogene Therapeutics Reports Third Quarter 2024 Financial Results and Business Update •Cemacabtagene Ansegedleucel (Cema-Cel): 1L Consolidation Large B-Cell Lymphoma (LBCL) ◦Pivotal Phase 2 ALPHA3 Trial Continuing with Site Activation and Patient Screening/Enrollment ◦Lymphodepletion Selection Planned for Mid-2025 ◦Enrollment Completion Expected in 1H 2026 with Primary EFS Data by YE
November 7, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REP Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38693 Allogene Therapeutics, Inc.
November 7, 2024	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2024 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commi
October 7, 2024	EX-14.1	Allogene Therapeutics, Inc. Code of Business Conduct and Ethics Exhibit 14.1 Allogene Therapeutics, Inc. Code of Business Conduct and Ethics Introduction Allogene Therapeutics, Inc. (the “Company,” “we,” “our,” or “us”) is committed to maintaining the highest standards of business conduct and ethics. This Code of Business Conduct and Ethics (this “Code”) reflects the business practices and principles of behavior that support this commitment. We expect every em
October 7, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 3, 2024 Allogene Therapeu UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 3, 2024 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commis
August 7, 2024	EX-10.1	Allogene Overland Biopharm (CY) Limited, Overland Pharmaceutic Exhibit 10.1 CERTAIN INFORMATION CONTAINED IN THIS EXHIBIT, MARKED BY [***], HAS BEEN EXCLUDED BECAUSE THE REGISTRANT HAS DETERMINED THE INFORMATION IS BOTH NOT MATERIAL AND IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. SHARE EXCHANGE AGREEMENT THIS SHARE EXCHANGE AGREEMENT (this “Agreement”) is entered into on May 24, 2024 (the “Effective Date”) by and among: (1) Allogene Ove
August 7, 2024	EX-10.2	Amended and Restated Shareholders' Agreement, dated May 24, 2024, by and among Allogene Overland Biopharm (CY) Limited, Allogene Therapeutics Inc. and HH BioPharma Holdings Ltd. (incorporated by reference to Exhibit 10.2 to the Registrant's Quarterly Report on Form 10-Q (File No. 001-38693), filed with the SEC on August 7, 2024). Exhibit 10.2 CERTAIN INFORMATION CONTAINED IN THIS EXHIBIT, MARKED BY [***], HAS BEEN EXCLUDED BECAUSE THE REGISTRANT HAS DETERMINED THE INFORMATION IS BOTH NOT MATERIAL AND IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. AMENDED AND RESTATED SHAREHOLDERS’ AGREEMENT THIS AMENDED AND RESTATED SHAREHOLDERS’ AGREEMENT (this “Agreement”) is entered into on May 24, 2024 by and among:
August 7, 2024	EX-10.4	Amendment and Settlement Agreement, dated May 10, 2024, by and between Les Laboratoires Servier, Institut de Recherches Internationales Servier and Allogene Therapeutics, Inc. (incorporated by reference to Exhibit 10.4 to the Registrant's Quarterly Report on Form 10-Q (File No. 001-38693), filed with the SEC on August 7, 2024). Exhibit 10.4 CERTAIN INFORMATION CONTAINED IN THIS EXHIBIT, MARKED BY [***], HAS BEEN EXCLUDED BECAUSE THE REGISTRANT HAS DETERMINED THE INFORMATION IS BOTH NOT MATERIAL AND IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. AMENDMENT AND SETTLEMENT AGREEMENT THIS AMENDMENT AND SETTLEMENT AGREEMENT (this “Amendment”) is made and entered into by and between Les Laboratoires Servier,
August 7, 2024	EX-10.3	. and Allogene Overland BioPharm (PRC) Co., Limited. Exhibit 10.3 CERTAIN INFORMATION CONTAINED IN THIS EXHIBIT, MARKED BY [***], HAS BEEN EXCLUDED BECAUSE THE REGISTRANT HAS DETERMINED THE INFORMATION IS BOTH NOT MATERIAL AND IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. FIRST AMENDMENT TO EXCLUSIVE LICENSE AGREEMENT This First Amendment to Exclusive License Agreement (“Amendment”), effective as of May 24, 2024, (the “Amendment
August 7, 2024	EX-10.6	, dated May 17, 2024, by and between Allogene Therapeutics, Inc. and Notch Thera Exhibit 10.6 CERTAIN INFORMATION CONTAINED IN THIS EXHIBIT, MARKED BY [***], HAS BEEN EXCLUDED BECAUSE THE REGISTRANT HAS DETERMINED THE INFORMATION IS BOTH NOT MATERIAL AND IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. AMENDMENT NO. 1 TO AMENDED AND RESTATED COLLABORATION AND LICENSE AGREEMENT This AMENDMENT NO. 1 TO AMENDED AND RESTATED COLLABORATION AND LICENSE AGREEMENT (t
August 7, 2024	EX-10.7	, 2024, by and between Allogene Therapeutics, Inc. and Exhibit 10.7 CERTAIN INFORMATION CONTAINED IN THIS EXHIBIT, MARKED BY [***], HAS BEEN EXCLUDED BECAUSE THE REGISTRANT HAS DETERMINED THE INFORMATION IS BOTH NOT MATERIAL AND IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. AMENDMENT 1 to STRATEGIC COLLABORATION AGREEMENT This Amendment 1 (“Amendment 1”) is effective as of April 4, 2024 (the “Amendment 1 Effective Date”) by and be
August 7, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT P Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38693 Allogene Therapeutics, Inc.
August 7, 2024	EX-99.1	Allogene Therapeutics Reports Second Quarter 2024 Financial Results and Business Update Exhibit 99.1 Allogene Therapeutics Reports Second Quarter 2024 Financial Results and Business Update •Cemacabtagene Ansegedleucel (Cema-Cel): 1L Consolidation in Large B-Cell Lymphoma (LBCL) ◦Pivotal Phase 2 ALPHA3 Trial Initiated in June 2024 ◦Patient Screening for Minimal Residual Disease (MRD) and Enrollment Proceeding as Planned with Ten Community and Academic Sites Opened to Date Across the U
August 7, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 7, 2024 Allogene Therapeut UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 7, 2024 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commiss
June 10, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 5, 2024 Allogene Therapeutic UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 5, 2024 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commissio
May 31, 2024	8-K	Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 24, 2024 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commissio
May 14, 2024	EX-1.1	Underwriting Agreement by and between the Company and Goldman Sachs & Co. LLC, dated May 13, 2024 Exhibit 1.1 Allogene Therapeutics, Inc. Common Stock Underwriting Agreement May 13, 2024 Goldman Sachs & Co. LLC 200 West Street New York, NY 10282-2198 Ladies and Gentlemen: Allogene Therapeutics, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated in this agreement (this “Agreement”), to issue and sell to Goldman Sachs & Co. LLC (the “Underwriter”
May 14, 2024	424B5	37,931,035 Shares Common Stock Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-277951 Prospectus Supplement (To prospectus dated April 25, 2024) 37,931,035 Shares Common Stock We are offering 37,931,035 shares of our common stock. Our common stock is listed on the Nasdaq Global Select Market under the symbol “ALLO.” On May 13, 2024, the last reported sale price of our common stock was $2.90 per share. In
May 14, 2024	EX-10.1	Securities Purchase Agreement by and among the Company and the Purchasers named therein, dated May 13, 2024 Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of May 13, 2024, between Allogene Therapeutics, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and conditio
May 14, 2024	8-K	Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2024 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commissio
May 13, 2024	EX-10.1	Non-employee director compensation policy, as amended. Exhibit 10.1 ALLOGENE THERAPEUTICS, INC. NON-EMPLOYEE DIRECTOR COMPENSATION POLICY ADOPTED: SEPTEMBER 26, 2018 AMENDED: APRIL 16, 2019 AMENDED: SEPTEMBER 17, 2019 AMENDED: SEPTEMBER 13, 2023 AMENDED: March 28, 2024 Each member of the Board of Directors (the “Board”) of Allogene Therapeutics, Inc. (the “Company”) who is a non-employee director of the Company (each such member, a “Non- Employee Dire
May 13, 2024	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2024 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commissio
May 13, 2024	EX-99.1	Allogene Therapeutics Reports First Quarter 2024 Financial Results and Business Update Exhibit 99.1 Allogene Therapeutics Reports First Quarter 2024 Financial Results and Business Update •Cemacabtagene Ansegedleucel (Cema-Cel) ◦Expanded CD19 Oncology Rights to Include all EU Member States and the United Kingdom, Reinforcing Company’s Conviction in the Unique Opportunity in Large B Cell Lymphoma (LBCL) and Relapsed/Refractory (R/R) Chronic Lymphocytic Leukemia (CLL) ▪Extended Territo
May 13, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38693 Allogene Therapeutics, Inc.
April 23, 2024	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registran UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin
April 23, 2024	DEFA14A	SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.
April 23, 2024	CORRESP	ALLOGENE THERAPEUTICS, INC. 210 East Grand Avenue South San Francisco, CA 94080 ALLOGENE THERAPEUTICS, INC. 210 East Grand Avenue South San Francisco, CA 94080 April 23, 2024 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Tyler Howes RE: Allogene Therapeutics, Inc. Registration Statement on Form S-3 Filed March 14, 2024 File No. 333-277951 Ladies and Gentlemen: Allogene Therapeutics, I
March 14, 2024	S-8	As filed with the Securities and Exchange Commission on March 14, 2024 S-8 As filed with the Securities and Exchange Commission on March 14, 2024 Registration No.
March 14, 2024	10-K/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A _______________(Amendment No. 1)__________________ (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal ye Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission
March 14, 2024	EX-4.11	Form of Debt Securities Warrant Agreement and Warrant Certificate. EX-4.11 Exhibit 4.11 ALLOGENE THERAPEUTICS, INC. AND , AS WARRANT AGENT FORM OF DEBT SECURITIES WARRANT AGREEMENT DATED AS OF ALLOGENE THERAPEUTICS, INC. FORM OF DEBT SECURITIES WARRANT AGREEMENT THIS DEBT SECURITIES WARRANT AGREEMENT (this “Agreement”), dated as of [•], between Allogene Therapeutics, Inc., a Delaware corporation (the “Company”), and [•], a [corporation] [national banking associat
March 14, 2024	POSASR	As filed with the Securities and Exchange Commission on March 14, 2024 Table of Contents As filed with the Securities and Exchange Commission on March 14, 2024 Registration No.
March 14, 2024	EX-FILING FEES	Filing Fee Table. Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Allogene Therapeutics, Inc.
March 14, 2024	EX-10.7	Non-Employee Director Compensation Policy. Exhibit 10.7 ALLOGENE THERAPEUTICS, INC. NON-EMPLOYEE DIRECTOR COMPENSATION POLICY ADOPTED: SEPTEMBER 26, 2018 AMENDED: APRIL 16, 2019 AMENDED: SEPTEMBER 17, 2019 AMENDED: SEPTEMBER 13, 2023 Each member of the Board of Directors (the “Board”) of Allogene Therapeutics, Inc. (the “Company”) who is a non-employee director of the Company (each such member, a “Non- Employee Director”) will receive the
March 14, 2024	EX-4.9	Form of Common Stock Warrant Agreement and Warrant Certificate. EX-4.9 Exhibit 4.9 ALLOGENE THERAPEUTICS, INC. AND , AS WARRANT AGENT FORM OF COMMON STOCK WARRANT AGREEMENT DATED AS OF ALLOGENE THERAPEUTICS, INC. FORM OF COMMON STOCK WARRANT AGREEMENT THIS COMMON STOCK WARRANT AGREEMENT (this “Agreement”), dated as of [•], between Allogene Therapeutics, Inc., a Delaware corporation (the “Company”), and [•], a [corporation] [national banking association] organi
March 14, 2024	EX-4.10	Form of Preferred Stock Warrant Agreement and Warrant Certificate. EX-4.10 Exhibit 4.10 ALLOGENE THERAPEUTICS, INC. AND , AS WARRANT AGENT FORM OF PREFERRED STOCK WARRANT AGREEMENT DATED AS OF ALLOGENE THERAPEUTICS, INC. FORM OF PREFERRED STOCK WARRANT AGREEMENT THIS PREFERRED STOCK WARRANT AGREEMENT (this “Agreement”), dated as of [•], between Allogene Therapeutics, Inc., a Delaware corporation (the “Company”), and [•], a [corporation] [national banking associat
March 14, 2024	EX-97.1	Allogene Therapeutics, Inc. Incentive Compensation Recoupment Policy Exhibit 97.1 ALLOGENE THERAPEUTICS, INC. Incentive Compensation Recoupment Policy (Adopted: November 17, 2023) 1. Introduction The Compensation Committee (the “Compensation Committee”) of the Board of Directors (the “Board”) of Allogene Therapeutics, Inc., a Delaware corporation (the “Company”), has determined that it is in the best interests of the Company and its stockholders to adopt this Incen
March 14, 2024	S-3	As filed with the Securities and Exchange Commission on March 14, 2024 S-3 Table of Contents As filed with the Securities and Exchange Commission on March 14, 2024 Registration No.
March 14, 2024	EX-10.18	Amended and Restated Collaboration and License Agreement, dated January 17, 2024, by and between the Registrant and Notch Therapeutics Inc. Exhibit 10.18 CERTAIN INFORMATION CONTAINED IN THIS EXHIBIT, MARKED BY [*], HAS BEEN EXCLUDED BECAUSE THE REGISTRANT HAS DETERMINED THE INFORMATION IS BOTH NOT MATERIAL AND IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. AMENDED AND RESTATED COLLABORATION AND LICENSE AGREEMENT This Amended and Restated Collaboration and License Agreement (the “Agreement”), effective as of [*
March 14, 2024	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 14, 2024 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commiss
March 14, 2024	EX-10.10	First Amendment to Consulting Agreement, dated December 16, 2023, by and between the Registrant and Alison Moore, Ph.D. Exhibit 10.10 FIRST AMENDMENT TO CONSULTING AGREEMENT This First Amendment to the Consulting Agreement (“Amendment”) is made as of December 16, 2023 (“Amendment Effective Date”) by and between Alison Moore, Ph.D., having an address at 5 Hill Ave., San Carlos CA 94070 (“Consultant”) and Allogene Therapeutics, Inc., a Delaware corporation having an address at 210 E. Grand Ave., South San Francisco,
March 14, 2024	EX-10.30	Strategic Collaboration Agreement, dated January 3, 2024, by and between Foresight Diagnostics, Inc. and the Registrant (incorporated by reference to Exhibit 10.30 to the Registrant's Annual Report on Form 10-K, filed with the SEC on March 14, 2024). Exhibit 10.30 CERTAIN INFORMATION CONTAINED IN THIS EXHIBIT, MARKED BY [***], HAS BEEN EXCLUDED BECAUSE THE REGISTRANT HAS DETERMINED THE INFORMATION IS BOTH NOT MATERIAL AND IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. STRATEGIC COLLABORATION AGREEMENT between FORESIGHT DIAGNOSTICS, INC. and ALLOGENE THERAPEUTICS, INC. Dated as of January 3, 2024 STRATEGIC COLLABORATION AGRE
March 14, 2024	EX-99.1	Allogene Therapeutics Reports Fourth Quarter and Full Year 2023 Financial Results and Business Update Exhibit 99.1 Allogene Therapeutics Reports Fourth Quarter and Full Year 2023 Financial Results and Business Update •Cema-cel Pivotal ALPHA3 First Line (1L) Consolidation Trial in Large B-Cell Lymphoma (LBCL): Start-Up Activities Underway; Enrollment to Begin Mid-2024 •Cema-cel Phase 1 ALPHA2 Trial in Relapsed/Refractory Chronic Lymphocytic Leukemia (CLL): Enrolling Patients with Initial Data Proje
March 14, 2024	EX-FILING FEES	Filing Fee Table EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Allogene Therapeutics, Inc.
March 14, 2024	EX-FILING FEES	Filing Fee Table Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Allogene Therapeutics, Inc.
March 14, 2024	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 ☐ TRANSITION REPORT PURSUA Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-386
March 14, 2024	EX-4.6	Form of Indenture. EX-4.6 Exhibit 4.6 ALLOGENE THERAPEUTICS, INC., Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [•], 20 Debt Securities TABLE OF CONTENTS PAGE ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 5 Section 2.01 Designation and Terms of Securities 5 Section 2.02 Form of Securities and Trustee’s Certi
February 22, 2024	CORRESP	FOIA Confidential Treatment requested by Allogene Therapeutics, Inc. pursuant to 17 C.F.R. § 200.83 Certain confidential information identified by “[*]” has been omitted. FOIA Confidential Treatment requested by Allogene Therapeutics, Inc. pursuant to 17 C.F.R. § 200.83 Certain confidential information identified by “[*]” has been omitted. February 22, 2024 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attn: Li Xiao Angela Connell Re: Allogene Therapeutics, Inc.
February 16, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 14, 2024 Allogene Therap UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 14, 2024 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Comm
February 14, 2024	EX-99.1	JOINT FILING AGREEMENT EX-99.1 2 d751841dex991.htm EX-99.1 CUSIP No. 019770 10 6 13G Page 9 of 9 Pages Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13G referred to below) on behalf of each of them of a stateme
February 14, 2024	EX-99.1	JOINT FILING AGREEMENT EX-99.1 2 d770260dex991.htm EX-99.1 CUSIP No. 019770 10 6 13G Page 9 of 9 Pages Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13G referred to below) on behalf of each of them of a stateme
February 14, 2024	SC 13G/A	ALLO / Allogene Therapeutics, Inc. / Chang David D - SC 13G/A Passive Investment SC 13G/A 1 d770260dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) ALLOGENE THERAPEUTICS, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 019770 10 6 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box
February 14, 2024	SC 13G/A	ALLO / Allogene Therapeutics, Inc. / Belldegrun Arie - SC 13G/A Passive Investment SC 13G/A 1 d751841dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4) ALLOGENE THERAPEUTICS, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 019770 10 6 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box
February 13, 2024	SC 13G/A	ALLO / Allogene Therapeutics, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv0232-allogenetherapeuticsi.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* Name of issuer: Allogene Therapeutics Inc Title of Class of Securities: Common Stock CUSIP Number: 019770106 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box
January 31, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 25, 2024 Allogene Therape UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 25, 2024 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commi
January 5, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 3, 2024 Allogene Therapeu UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 3, 2024 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commis
December 19, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 9, 2023 Allogene Therape UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 9, 2023 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commi
December 15, 2023	CORRESP	FOIA Confidential Treatment requested by Allogene Therapeutics, Inc. pursuant to 17 C.F.R. § 200.83. Certain confidential information identified by “[*]” has been omitted. FOIA Confidential Treatment requested by Allogene Therapeutics, Inc. pursuant to 17 C.F.R. § 200.83. Certain confidential information identified by “[*]” has been omitted. December 15, 2023 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attn: Li Xiao Angela Connell Re: Allogene Therapeutics, Inc.
November 2, 2023	EX-10.1	Employment Letter of Agreement, dated August 11, 2023, by and between the Registrant and Earl Douglas Exhibit 10.1 August 11, 2023 Earl Douglas Re: Employment Letter of Agreement (“Agreement”) Dear Earl, Allogene Therapeutics, Inc. (“Allogene” or the “Company”) is pleased to offer you employment on the following terms and conditions. 1.Title; Reporting; Duties. (a)When you commence employment with Allogene, you shall be employed in the position of SVP, General Counsel, shall report directly to Dav
November 2, 2023	EX-FILING FEES	Calculation of Filing Fee Tables (Form Type) Allogene Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Exhibit 107 Calculation of Filing Fee Tables 424(b)(5) (Form Type) Allogene Therapeutics, Inc.
November 2, 2023	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 2, 2023 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commi
November 2, 2023	EX-99.1	Allogene Therapeutics Reports Third Quarter 2023 Financial Results and Business Update Exhibit 99.1 Allogene Therapeutics Reports Third Quarter 2023 Financial Results and Business Update •Preclinical Posters to Be Presented at the Society for Immunotherapy of Cancer (SITC) Annual Meeting on the Next Generation AlloCAR T™ Platform ◦Cloak ™ and Dagger™ Technologies Highlighted Potential to Enhance Engraftment, Expansion and Persistence of AlloCAR T Cells ◦Preclinical Validation of ALL
November 2, 2023	EX-10.3	Asset Contribution Agreement, dated April 2, 2018, by and between the Registrant and Pfizer Inc. ( Exhibit 10.3 CERTAIN IDENTIFIED INFORMATION, MARKED BY […***…], HAS BEEN OMITTED FROM THIS EXHIBIT BECAUSE IT IS BOTH NOT MATERIAL AND IS OF THE TYPE OF INFORMATION THAT ALLOGENE THERAPEUTICS, INC. CUSTOMARILY AND ACTUALLY TREATS AS PRIVATE OR CONFIDENTIAL EXECUTION VERSION ASSET CONTRIBUTION AGREEMENT BY AND BETWEEN PFIZER INC. AND ALLOGENE THERAPEUTICS, INC. Dated as of April 2, 2018 TABLE OF CO
November 2, 2023	EX-10.4	Amendment No. 2 to Sales Agreement, dated November 2, 2023, by and between the registrant and Cowen and Company, LLC (incorporated by reference to Exhibit 10.4 to the registrant’s Quarterly Report on Form 10-Q, filed with the SEC on November 2, 2023) ALLOGENE THERAPEUTICS, INC. Shares of Common Stock ($0.001 par value) AMENDMENT NO. 2 TO THE SALES AGREEMENT November 2, 2023 Cowen and Company, LLC 599 Lexington Avenue New York, NY 10022 To the addressee set forth above: Reference is made to the Sales Agreement, dated November 5, 2019, as amended by Amendment No.1 to the Sales Agreement (the “Amendment No. 1”), dated November 2, 2022 (as amended
November 2, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REP Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38693 Allogene Therapeutics, Inc.
November 2, 2023	424B5	Up to $250,000,000 Common Stock Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-268117 PROSPECTUS SUPPLEMENT (To Prospectus dated November 2, 2022) Up to $250,000,000 Common Stock We have entered into a sales agreement, or the sales agreement, with Cowen and Company, LLC (TD Cowen), dated as of November 5, 2019 and as amended on November 2, 2022 and November 2, 2023, relating to shares of our common stock
November 2, 2023	EX-10.2	Employment Letter of Agreement, dated October 12, 2023, by and between the Registrant and Geoffrey Parker Exhibit 10.2 October 12, 2023 Geoffrey Parker Re: Employment Letter of Agreement (“Agreement”) Dear Geoff, Allogene Therapeutics, Inc. (“Allogene” or the “Company”) is pleased to offer you employment on the following terms and conditions. 1.Title; Reporting; Duties. (a)When you commence employment with Allogene, you will be employed in the position of Executive Vice President, Chief Financial Offi
October 25, 2023	SC 13D/A	ALLO / Allogene Therapeutics Inc / PFIZER INC - SC 13D/A ALLOGENE THERAPEUTICS Activist Investment SC 13D/A 1 sch13dallox1023.htm SC 13D/A ALLOGENE THERAPEUTICS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* ALLOGENE THERAPEUTICS, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 019770 106 (CUSIP Number) Margaret M. Madden, Esq. Senior Vice President an
October 17, 2023	8-K/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 16, 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 16, 2023 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of i
October 16, 2023	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 16, 2023 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commi
August 2, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT P Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38693 Allogene Therapeutics, Inc.
August 2, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2023 Allogene Therapeut UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2023 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commiss
August 2, 2023	EX-99.1	Allogene Therapeutics Reports Second Quarter 2023 Financial Results and Business Update Exhibit 99.1 Allogene Therapeutics Reports Second Quarter 2023 Financial Results and Business Update •Presented Long-Term Data for an Allogeneic CD19 CAR T Product Candidate in Relapsed/Refractory Large B Cell Lymphoma (LBCL) at the American Society of Clinical Oncology (ASCO) Annual Meeting and International Conference on Malignant Lymphoma (ICML) Lugano ◦ALLO-501/501A Demonstrated Rates of Durab
June 21, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 15, 2023 Allogene Therapeuti UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 15, 2023 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commissi
June 15, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 13, 2023 Allogene Therapeuti UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 13, 2023 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commissi
June 14, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 9, 2023 Allogene Therapeutic UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 9, 2023 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commissio
June 7, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 3, 2023 Allogene Therapeutic UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 3, 2023 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commissio
May 3, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2023 Allogene Therapeutics UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2023 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commission
May 3, 2023	EX-10.1	, by and between the Registrant and Veer Bhavnagri. Exhibit 10.1 CONSULTING AGREEMENT THIS CONSULTING AGREEMENT (this “Agreement”), effective as of April 1, 2023 (“Effective Date”), is by and between Veer Bhavnagri, having an address at 469 Fairfax Avenue, San Mateo, CA 94402 (“Consultant”) and Allogene Therapeutics, Inc. having an address at 210 East Grand Avenue, South San Francisco, CA 94080 (“Allogene”). Allogene desires to engage Consultant as
May 3, 2023	EX-10.2	Consulting Agreement, dated April 29, 2023, by and between the Registrant and Alison Moore, Ph.D. Exhibit 10.2 CONSULTING AGREEMENT THIS CONSULTING AGREEMENT (this “Agreement”), effective as of April 29, 2023 (“Effective Date”), is by and between Alison Moore, Ph.D., having an address at 5 Hill Ave., San Carlos, CA 94070 (“Consultant”) and Allogene Therapeutics, Inc. having an address at 210 East Grand Avenue, South San Francisco, CA 94080 (“Allogene”). Allogene desires to engage Consultant as
May 3, 2023	EX-10.3	Employment Letter of Agreement, dated April 18, 2023, by and between the Registrant and Timothy Moore Exhibit 10.3 April 18, 2023 Timothy Moore Re: Employment Letter of Agreement (“Agreement”) Dear Tim, Allogene Therapeutics, Inc. (“Allogene” or the “Company”) is pleased to offer you employment on the following terms and conditions. 1.Title; Reporting; Duties. (a)When you commence employment with Allogene, you shall be employed in the position of EVP, Chief Technical Officer, shall report directly
May 3, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38693 Allogene Therapeutics, Inc.
May 3, 2023	EX-99.1	Allogene Therapeutics Reports First Quarter 2023 Financial Results and Business Update Exhibit 99.1 Allogene Therapeutics Reports First Quarter 2023 Financial Results and Business Update •Enrollment Ongoing in Industry’s First Potentially Pivotal Phase 2 Allogeneic CAR T Trial, ALPHA2, in Relapsed/Refractory Large B Cell Lymphoma •Initiated Phase 2 EXPAND Trial to Support Licensure of ALLO-647 As a Lymphodepleting Agent for ALLO-501A •Announced American Society of Clinical Oncology
April 24, 2023	DEF 14A	SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.
April 24, 2023	DEFA14A	SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.
April 20, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 18, 2023 Allogene Therapeut UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 18, 2023 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commiss
March 10, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2023 Allogene Therapeut UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2023 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commiss
February 28, 2023	EX-FILING FEES	Filing Fee Table. Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Allogene Therapeutics, Inc.
February 28, 2023	EX-99.1	Allogene Therapeutics Reports Fourth Quarter and Full Year 2022 Financial Results and Provides Business Update Exhibit 99.1 Allogene Therapeutics Reports Fourth Quarter and Full Year 2022 Financial Results and Provides Business Update •Initiated Industry’s First Potentially Pivotal Phase 2 Allogeneic CAR T Trial, ALPHA2, in Relapsed/Refractory (R/R) Large B Cell Lymphoma (LBCL) •Presented Data Highlighting Industry-Leading Allogeneic CAR T Portfolio •CD19 (ALLO-501/A): Six Month Durability and Progression
February 28, 2023	S-8	As filed with the Securities and Exchange Commission on February 28, 2023 As filed with the Securities and Exchange Commission on February 28, 2023 Registration No.
February 28, 2023	EX-10.13	Employment Letter of Agreement, dated December 28, 2022, by and between the Registrant and Zachary Roberts, M.D., Ph.D. Exhibit 10.13 December 28, 2022 Zachary Roberts Re: Employment Letter of Agreement (“Agreement”) Dear Zachary, Allogene Therapeutics, Inc. (“Allogene” or the “Company”) is pleased to offer you employment on the following terms and conditions. 1.Title; Reporting; Duties. (a)When you commence employment with Allogene, you shall be employed in the position of EVP, Head of Research & Development, shal
February 28, 2023	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 ☐ TRANSITION REPORT PURSUA Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-386
February 28, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2023 Allogene Therap UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2023 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Comm
February 28, 2023	EX-4.3	Exhibit 4.3 Exhibit 4.3 DESCRIPTION OF COMMON STOCK General The following description summarizes the most important terms of our common stock. Because it is only a summary, it does not contain all the information that may be important to you. For a complete description of the matters set forth in this “Description of Common Stock,” you should refer to our amended and restated certificate of incorporation (the
February 13, 2023	EX-99.1	JOINT FILING AGREEMENT EX-99.1 2 d455095dex991.htm EX-99.1 CUSIP No. 019770 10 6 13G Page 9 of 9 Pages Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13G referred to below) on behalf of each of them of a stateme
February 13, 2023	SC 13G/A	ALLO / Allogene Therapeutics Inc / Belldegrun Arie - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) ALLOGENE THERAPEUTICS, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 019770 10 6 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant
February 13, 2023	SC 13G	ALLO / Allogene Therapeutics Inc / Chang David D - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) ALLOGENE THERAPEUTICS, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 019770 10 6 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to
February 13, 2023	EX-99.1	JOINT FILING AGREEMENT EX-99.1 2 d411988dex991.htm EX-99.1 CUSIP No. 019770 10 6 13G Page 10 of 10 Pages Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13G referred to below) on behalf of each of them of a state
February 9, 2023	SC 13G	ALLO / Allogene Therapeutics Inc / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: Allogene Therapeutics Inc. Title of Class of Securities: Common Stock CUSIP Number: 019770106 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 13d-1(b
January 3, 2023	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 27, 2022 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Comm
November 29, 2022	8-K	Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 29, 2022 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Comm
November 2, 2022	EX-99.1	Allogene Therapeutics Reports Third Quarter 2022 Financial Results and Announces Investor R&D Showcase Exhibit 99.1 Allogene Therapeutics Reports Third Quarter 2022 Financial Results and Announces Investor R&D Showcase ?Initiated the Industry?s First Allogeneic CAR T Phase 2 Trial ?ALPHA2 Trial, Evaluating ALLO-501A in Relapsed/Refractory Large B Cell Lymphoma Patients, is Designed to Leverage the Ease and Convenience of a Single Dose of ALLO-501A ?Readiness Activities Underway for Initiation of th
November 2, 2022	EX-4.12	Form of Debt Securities Warrant Agreement and Warrant Certificate. Exhibit 4.12 ALLOGENE THERAPEUTICS, INC. AND , AS WARRANT AGENT FORM OF DEBT SECURITIES WARRANT AGREEMENT DATED AS OF ALLOGENE THERAPEUTICS, INC. FORM OF DEBT SECURITIES WARRANT AGREEMENT THIS DEBT SECURITIES WARRANT AGREEMENT (this “Agreement”), dated as of [●], between Allogene Therapeutics, Inc., a Delaware corporation (the “Company”), and [●], a [corporation] [national banking association] org
November 2, 2022	EX-4.7	Form of Indenture. Exhibit 4.7 ALLOGENE THERAPEUTICS, INC., Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [•], 20 Debt Securities TABLE OF CONTENTS PAGE ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 5 Section 2.01 Designation and Terms of Securities 5 Section 2.02 Form of Securities and Trustee's Certificate 8
November 2, 2022	EX-4.11	Form of Preferred Stock Warrant Agreement and Warrant Certificate. Exhibit 4.11 ALLOGENE THERAPEUTICS, INC. AND , AS WARRANT AGENT FORM OF PREFERRED STOCK WARRANT AGREEMENT DATED AS OF ALLOGENE THERAPEUTICS, INC. FORM OF PREFERRED STOCK WARRANT AGREEMENT THIS PREFERRED STOCK WARRANT AGREEMENT (this “Agreement”), dated as of [●], between Allogene Therapeutics, Inc., a Delaware corporation (the “Company”), and [●], a [corporation] [national banking association] org
November 2, 2022	EX-1.2	Sales Agreement, dated as of November 5, 2019, by and between the registrant and Cowen and Company, LLC, as amended (incorporated by reference to Exhibit 1.2 to the Registrant’s Registration Statement on Form S-3 (File No. 333-268117) filed with the SEC on November 2, 2022). Exhibit 1.2 ALLOGENE THERAPEUTICS, INC. Shares of Common Stock ($0.001 par value) AMENDMENT NO. 1 TO THE SALES AGREEMENT November 2, 2022 Cowen and Company, LLC 599 Lexington Avenue New York, NY 10022 Ladies and Gentlemen: Reference is made to the Sales Agreement, dated November 5, 2019 (the “Agreement”), by and between Allogene Therapeutics, Inc., a Delaware corporation (the “Company”), and Cowen
November 2, 2022	EX-FILING FEES	Filing Fee Table Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Allogene Therapeutics, Inc.
November 2, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 2, 2022 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commi
November 2, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ☐ TRANSITION REP Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38693 Allogene Therapeutics, Inc.
November 2, 2022	EX-4.10	Form of Common Stock Warrant Agreement and Warrant Certificate. Exhibit 4.10 ALLOGENE THERAPEUTICS, INC. AND , AS WARRANT AGENT FORM OF COMMON STOCK WARRANT AGREEMENT DATED AS OF ALLOGENE THERAPEUTICS, INC. FORM OF COMMON STOCK WARRANT AGREEMENT THIS COMMON STOCK WARRANT AGREEMENT (this “Agreement”), dated as of [●], between Allogene Therapeutics, Inc., a Delaware corporation (the “Company”), and [●], a [corporation] [national banking association] organized an
November 2, 2022	S-3ASR	As filed with the Securities and Exchange Commission on November 2, 2022 As filed with the Securities and Exchange Commission on November 2, 2022 Registration No.
October 6, 2022	8-K	Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 6, 2022 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commis
September 21, 2022	8-K	Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 15, 2022 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Com
August 9, 2022	EX-99.1	Allogene Therapeutics Reports Second Quarter 2022 Financial Results Exhibit 99.1 Allogene Therapeutics Reports Second Quarter 2022 Financial Results ?U.S. FDA Clearance on Potential Pivotal Phase 2 Trial of ALLO-501A Anticipated in Coming Weeks ?Expected to be the Industry?s First Allogeneic CAR T Phase 2 Pivotal Trial ?Clearance to Cover ALPHA2 Protocol and Chemistry Manufacturing and Controls (CMC) for Use of ALLO-501A Manufactured from Cell Forge 1 (CF1) ?CF1 i
August 9, 2022	EX-10.1	First Amendment to the Share Purchase Agreement, dated May 11, 2022, by and among the Registrant, Overland Pharmaceuticals (CY) Inc. and Allogene Overland Biopharm (CY) Limited (incorporated by reference to Exhibit 10.1 to the Registrant’s Quarterly Report on Form 10-Q (File No. 001-38693) for the quarter ended June 30, 2022, filed with the SEC on August 9, 2022). Exhibit 10.1 [***] Certain information in this document has been omitted from this exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. FIRST AMENDMENT TO SHARE PURCHASE AGREEMENT This First Amendment to the Share Purchase Agreement (?First Amendment?) is entered into by and between the following parties as of May 11, 2022 (?First Amendment Eff
August 9, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ☐ TRANSITION REPORT P Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38693 Allogene Therapeutics, Inc.
August 9, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 9, 2022 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commiss
July 20, 2022	SC TO-I/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO (Amendment No. 2) (Rule 13e-4) Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 ALLOGENE THERAPEUTICS, INC. (Name of S SC TO-I/A 1 allo-20220720xsctoxifinala.htm SC TO-I/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO (Amendment No. 2) (Rule 13e-4) Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 ALLOGENE THERAPEUTICS, INC. (Name of Subject Company (Issuer) and Filing Person (Offeror)) Options to Purchase Common Stock, Par Value
July 12, 2022	SC TO-I/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO (Amendment No. 1) (Rule 13e-4) Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 ALLOGENE THERAPEUTICS, INC. (Name of S SC TO-I/A 1 allo-20220712xsctoxiamendm.htm SC TO-I/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO (Amendment No. 1) (Rule 13e-4) Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 ALLOGENE THERAPEUTICS, INC. (Name of Subject Company (Issuer) and Filing Person (Offeror)) Options to Purchase Common Stock, Par Value
July 12, 2022	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 8, 2022 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commissio
June 21, 2022	EX-99.(A)(1)(H)	Form of Email to Eligible Holders Confirming Acceptance of Eligible Options Exhibit (a)(1)(H) FORM OF EMAIL TO ELIGIBLE HOLDERS CONFIRMING ACCEPTANCE OF ELIGIBLE OPTIONS From: Allogene Therapeutics, Inc.
June 21, 2022	EX-99.(A)(1)(B)	Form of Announcement Email to Eligible Holders Exhibit (a)(1)(B) FORM OF ANNOUNCEMENT EMAIL TO ELIGIBLE HOLDERS Subject: Allogene Therapeutics, Inc.
June 21, 2022	EX-99.(A)(1)(C)	Election Form Exhibit (a)(1)(C) ALLOGENE THERAPEUTICS, INC. 210 EAST GRAND AVENUE SOUTH SAN FRANCISCO, CA 94080 OPTION EXCHANGE – ELECTION FORM THIS OFFER AND YOUR WITHDRAWAL RIGHTS WILL EXPIRE AT 9:00 P.M., PACIFIC TIME, ON TUESDAY, JULY 19, 2022, UNLESS EXTENDED Before completing and signing this Election Form, we encourage you to read the documents that make up this tender offer, including (1) the Offer to E
June 21, 2022	EX-99.(A)(1)(K)	Stock Option Exchange Program Presentation Allogene Option Exchange Offer June & July 2022 Agenda ? Introduction ? Susie Lundeen ? Overview of Exchange Offer ? Cooley ? Illustrative Scenarios ? Susie Lundeen & Jack Chen ? How to Access your Account and Review your Eligible Options ? Merrill Lynch 2 What is an Option Exchange Offer The offer to exchange of underwater options for new ?at the money? options 3 Allogene Option Exchange Offer ?
June 21, 2022	EX-99.(A)(1)(E)	Form of Email Confirming Receipt of Election Form Exhibit (a)(1)(E) FORM OF EMAIL CONFIRMING RECEIPT OF ELECTION FORM From: Allogene Therapeutics, Inc.
June 21, 2022	EX-99.(A)(1)(I)	Form of Email Notice Regarding Rejection of Options for Exchange Exhibit (a)(1)(I) FORM OF EMAIL NOTICE REGARDING REJECTION OF OPTIONS FOR EXCHANGE From: Allogene Therapeutics, Inc.
June 21, 2022	EX-FILING FEES	Filing Fee Table EXHIBIT 107 Calculation of Filing Fee Tables Schedule TO (Form Type) Allogene Therapeutics, Inc.
June 21, 2022	EX-99.(A)(1)(J)	Form of Expiration Notice Email Exhibit (a)(1)(J) FORM OF EXPIRATION NOTICE EMAIL From: Allogene Therapeutics, Inc.
June 21, 2022	EX-99.(A)(1)(F)	Form of Email Confirming Receipt of Notice of Withdrawal of Election Form Exhibit (a)(1)(F) FORM OF EMAIL CONFIRMING RECEIPT OF NOTICE OF WITHDRAWAL OF ELECTION FORM From: Allogene Therapeutics, Inc.
June 21, 2022	EX-99.(A)(1)(A)	Offer to Exchange Eligible Options for New Options, dated June 21, 2022 Exhibit (a)(1)(A) ALLOGENE THERAPEUTICS, INC. 210 EAST GRAND AVENUE SOUTH SAN FRANCISCO, CALIFORNIA 94080 OFFER TO EXCHANGE ELIGIBLE OPTIONS FOR NEW OPTIONS June 21, 2022 ALLOGENE THERAPEUTICS, INC. SUMMARY TERM SHEET — OVERVIEW OFFER TO EXCHANGE ELIGIBLE OPTIONS FOR NEW OPTIONS This offer and withdrawal rights will expire at 9:00 p.m., Pacific Time, on July 19, 2022, unless extended By this Offer
June 21, 2022	SC TO-I	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO (Rule 13e-4) Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 ALLOGENE THERAPEUTICS, INC. (Name of Subject Company (Is UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO (Rule 13e-4) Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 ALLOGENE THERAPEUTICS, INC. (Name of Subject Company (Issuer) and Filing Person (Offeror)) Options to Purchase Common Stock, Par Value $0.001 Per Share (Title of Class of Securities) 019770 10 6 (CUSIP Numb
June 21, 2022	EX-99.(A)(1)(D)	Notice of Withdrawal of Election Form Exhibit (a)(1)(D) INSTRUCTIONS TO NOTICE OF WITHDRAWAL OF ELECTION FORM If you previously elected to accept the offer by Allogene Therapeutics, Inc.
June 21, 2022	EX-99.(A)(1)(G)	Form of Reminder Email to Eligible Holders Regarding the Expiration of the Exchange Offer Exhibit (a)(1)(G) FORM OF REMINDER EMAIL TO ELIGIBLE HOLDERS REGARDING THE EXPIRATION OF THE EXCHANGE OFFER From: Allogene Therapeutics, Inc.
June 17, 2022	EX-3.1	Certificate of Amendment of Amended and Restated Certificate of Incorporation of the Registrant (incorporated by reference to Exhibit 3.1 to the Registrant’s Current Report on Form 8-K (File No. 001-38693), filed with the SEC on June 17, 2022). Exhibit 3.1 CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ALLOGENE THERAPEUTICS, INC. ALLOGENE THERAPEUTICS, INC., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the ?Company?), does hereby certify: FIRST: The name of the Company is Allogene Therapeutics, Inc. and the date of filing of the Company
June 17, 2022	8-K	Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 15, 2022 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commissi
May 4, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2022 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commission
May 4, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ☐ TRANSITION REPORT Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38693 Allogene Therapeutics, Inc.
May 4, 2022	EX-99.1	Allogene Therapeutics Reports First Quarter 2022 Financial Results Exhibit 99.1 Allogene Therapeutics Reports First Quarter 2022 Financial Results ?Pivotal Phase 2 ALPHA2 Trial of ALLO-501A in R/R Large B Cell Lymphoma Planned to Commence Mid 2022 Using Product from Cell Forge 1 (CF1) ?CF1 is Projected to Support the Manufacture of ~20,000 Doses of AlloCAR T? Products Annually at Scale ?Clinical Updates from the CD19 and BCMA Programs Planned for 2H 2022 ?Receive
April 26, 2022	DEFA14A	SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.
April 26, 2022	DEF 14A	SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ DEF 14A 1 allo-20220414xdef14axdefin.htm DEF 14A SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐
April 14, 2022	EX-99.2	Communication to Employees from David Chang, M.D., Ph.D., disseminated on the afternoon of April 14, 2022. Exhibit 99.2 Team, I am pleased to share with you that subject to stockholder approval, our Board of Directors has approved a voluntary stock option exchange program. So, what does this mean to you and what are the next steps? Our long-term equity-based stock option grants and restricted stock unit (RSU) awards have been an important part of our total compensation program for employees. These allo
April 14, 2022	PRE 14A	Preliminary Proxy Statement for the 2022 Annual Meeting of Stockholders (incorporated by reference to the Preliminary Proxy Statement on Schedule 14A filed with the Securities and Exchange Commission on April 14, 2022). SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.
April 14, 2022	SC TO-C	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 Allogene Therapeutics, Inc. (Name of Subject Company (Issuer) and Fil UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) OR 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 Allogene Therapeutics, Inc. (Name of Subject Company (Issuer) and Filing Person (as Offeror)) Options to Purchase Common Stock, par value $0.001 per share (Title of Class of Securities) 019770106 (CUSIP Number of Class
April 7, 2022	SC 13D/A	ALLO / Allogene Therapeutics Inc / PFIZER INC - SC 13D/A2 ALLO Activist Investment CUSIP NO: 019770 106 Page 1 of 5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
February 23, 2022	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 ☐ TRANSITION REPORT PURSUA Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-386
February 23, 2022	EX-10.18	First Amendment, dated December 10, 2021, to the Lease, dated August 1, 2018, by and between the Registrant and Britannia Pointe Grand Limited Partnership (incorporated by reference to Exhibit 10.18 to the Registrant’s Annual Report on Form 10-K (File No. 001-38693), filed with the SEC on February 23, 2022). Exhibit 10.18 FIRST AMENDMENT TO LEASE This FIRST AMENDMENT TO LEASE (this "First Amendment") is made and entered into effective as of December 10, 2021 (the "Effective Date"), by and between BRITANNIA POINTE GRAND LIMITED PARTNERSHIP, a Delaware limited partnership ("Landlord"), and ALLOGENE THERAPEUTICS, INC., a Delaware corporation ("Tenant"). R E C I T A L S: A. Landlord and Tenant are parties
February 23, 2022	EX-10.20	First Amendment, dated December 10, 2021, to the Lease Agreement, dated October 25, 2018, by and between the Registrant and Healthpeak Properties, Inc. (formerly known as HCP, Inc.) (incorporated by reference to Exhibit 10.20 to the Registrant’s Annual Report on Form 10-K (File No. 001-38693), filed with the SEC on February 23, 2022). Exhibit 10.20 FIRST AMENDMENT TO LEASE (310 Utah Avenue) This FIRST AMENDMENT TO LEASE ("First Amendment") is made and entered into as of December 10, 2021, by and between HEALTHPEAK PROPERTIES, INC., a Delaware corporation ("Landlord"), and ALLOGENE THERAPEUTICS, INC., a Delaware corporation ("Tenant"). R E C I T A L S : A. Landlord (formerly known as HCP, Inc.) and Tenant are parties to the Leas
February 23, 2022	EX-99.1	Allogene Therapeutics Reports Fourth Quarter and Full Year 2021 Financial Results and Provides Business Update Exhibit 99.1 Allogene Therapeutics Reports Fourth Quarter and Full Year 2021 Financial Results and Provides Business Update ?AlloCAR T? Studies Resumed and Currently Enrolling Patients Following Removal of Clinical Hold in January 2022 ?Phase 1 Data from the ALPHA Trials in Relapsed/Refractory (RR) Non-Hodgkin Lymphoma Presented at ASH 2021 Demonstrated Potential for an AlloCAR T Product to be a S
February 23, 2022	S-8	As filed with the Securities and Exchange Commission on February 23, 2022 As filed with the Securities and Exchange Commission on February 23, 2022 Registration No.
February 23, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 23, 2022 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Comm
February 23, 2022	EX-FILING FEES	Filing Fee Table. EX-FILING FEES 2 exhibit107-formsx8x2022022.htm EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Allogene Therapeutics, Inc. (Exact name of Registrant as Specified in its Charter) Table 1 – Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price
February 14, 2022	SC 13G/A	ALLO / Allogene Therapeutics Inc / Seaview Trust - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) ALLOGENE THERAPEUTICS, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 019770 10 6 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which
February 14, 2022	SC 13G/A	ALLO / Allogene Therapeutics Inc / Belldegrun Arie - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) ALLOGENE THERAPEUTICS, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 019770 10 6 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which
February 14, 2022	EX-99.1	JOINT FILING AGREEMENT EX-99.1 CUSIP No. 019770 10 6 13G Page 9 of 9 Pages Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13G referred to below) on behalf of each of them of a statement on Schedule 13G (includin
February 11, 2022	SC 13G/A	ALLO / Allogene Therapeutics Inc / Capital Research Global Investors - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* Allogene Therapeutics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 019770106 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which
February 11, 2022	SC 13G/A	ALLO / Allogene Therapeutics Inc / Capital International Investors - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Allogene Therapeutics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 019770106 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which
February 10, 2022	SC 13G/A	ALLO / Allogene Therapeutics Inc / GILEAD SCIENCES INC Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2. (Amendment No. 1)* Allogene Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 019770106 (CUSIP Number) April 20, 20
January 18, 2022	EX-1	Exhibit 1 TPG GP A, LLC SC 13D/A Exhibit 1 AGREEMENT OF JOINT FILING This joint filing agreement (this ?Agreement?) is made and entered into as of this 18th day of January, 2022 by and among TPG Group Holdings (SBS) Advisors, Inc.
January 18, 2022	SC 13D/A	ALLO / Allogene Therapeutics Inc / TPG GP A, LLC - AMENDED SC13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Allogene Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 019770106 (CUSIP Number) Bradford Berenson TPG Inc. 301 Commerce Street, Suite 3300 Fort Worth, TX 76102 (817) 871-4000 (Name, Address an
December 15, 2021	8-K	Entry into a Material Definitive Agreement, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 10, 2021 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Comm
November 4, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 4, 2021 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commi
November 4, 2021	EX-99.1	Allogene Therapeutics Reports Third Quarter 2021 Financial Results and Business Update Exhibit 99.1 Allogene Therapeutics Reports Third Quarter 2021 Financial Results and Business Update ?New Clinical Data from the ALPHA, ALPHA2 and UNIVERSAL AlloCAR T? Trials to be Presented at the 63rd Annual Meeting of the American Society of Hematology ?ALPHA2 Study Abstract Selected for Oral Presentation Highlights the Benefits of Consolidation Dosing with ALLO-501A in Patients with Relapsed/Re
November 4, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ☐ TRANSITION REP Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38693 Allogene Therapeutics, Inc.
October 7, 2021	8-K	Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 7, 2021 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commis
September 17, 2021	SC 13D/A	ALLO / Allogene Therapeutics Inc / PFIZER INC - SC 13D/A ALLOGENE THERAPEUTICS Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* ALLOGENE THERAPEUTICS, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 019770 106 (CUSIP Number) Margaret M. Madden, Esq. Senior Vice President and Corporate Secretary, Chief Governance Counsel Pfizer Inc. 23
September 17, 2021	EX-99.1	JOINT FILING AGREEMENT Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing of Amendment No. 1 to Statement on Schedule 13D (including subsequent amendments thereto) with respect to the common stock, par value $0.001 per share, of Allogene Therapeutics, Inc. and further agree that this Joint Filing
August 4, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2021 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commiss
August 4, 2021	EX-99.1	Allogene Therapeutics Reports Second Quarter 2021 Financial Results Exhibit 99.1 Allogene Therapeutics Reports Second Quarter 2021 Financial Results CD19 Program Highlights ?Phase 1 ALPHA Data at ASCO 2021 Showed a Single Dose of ALLO-501 was Associated with Overall Response, Complete Response and Durable Response Rates on Par with Autologous CD19 CAR T Therapies in CAR T Na?ve Patients with Relapsed/Refractory Non-Hodgkin Lymphoma ?Next CD19 Program Clinical Upda
August 4, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ☐ TRANSITION REPORT P Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38693 Allogene Therapeutics, Inc.
August 2, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 30, 2021 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commissi
June 15, 2021	8-K	Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 10, 2021 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commissi
May 20, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 18, 2021 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commissio
May 19, 2021	8-K	Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 19, 2021 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commissio
May 5, 2021	EX-99.1	Allogene Therapeutics Reports First Quarter 2021 Financial Results Exhibit 99.1 Allogene Therapeutics Reports First Quarter 2021 Financial Results CD19 Program Highlights ?Data from the ALLO-501 ALPHA Study and ALLO-501A ALPHA2 Study to be Presented at the American Society of Clinical Oncology (ASCO) Annual Meeting ? Longer Term Follow-Up from the ALPHA Study and Consolidation Dosing in Both ALPHA and ALPHA2 Study to be Included ?Allogene to Host Virtual CD19 For
May 5, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2021 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commission
May 5, 2021	10-Q	Quarterly Report - 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38693 Allogene Therapeutics, Inc.
April 22, 2021	DEFA14A	- DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.
April 22, 2021	DEF 14A	- DEF 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.
February 25, 2021	EX-99.1	Allogene Therapeutics Reports Fourth Quarter and Full Year 2020 Financial Results and Corporate Update Exhibit 99.1 Allogene Therapeutics Reports Fourth Quarter and Full Year 2020 Financial Results and Corporate Update •Presented Initial Phase 1 UNIVERSAL Trial Data on ALLO-715 at The American Society of Hematology (ASH) Meeting Providing First Proof-of-Concept for an AlloCAR T™ Therapy in Relapsed/Refractory Multiple Myeloma •Updated ALLO-501 and Initial ALLO-501A AlloCAR T Data in Non-Hodgkin Lym
February 25, 2021	EX-10.7	Non-Employee Director Compensation Policy (incorporated by reference to Exhibit 10.23 to the Registrant’s Annual Report on Form 10-K (File No. 001-38693) for the year ended December 31, 2020, filed with the SEC on February 25, 2021). Exhibit 10.7 ALLOGENE THERAPEUTICS, INC. NON-EMPLOYEE DIRECTOR COMPENSATION POLICY ADOPTED: SEPTEMBER 26, 2018 AMENDED: APRIL 16, 2019 AMENDED: SEPTEMBER 17, 2019 Each member of the Board of Directors (the ?Board?) of Allogene Therapeutics, Inc. (the ?Company?) who is a non-employee director of the Company (each such member, a ?Non- Employee Director?) will receive the compensation described in th
February 25, 2021	EX-10.23	Exclusive License Agreement, dated December 14, 2020, by and between the Registrant and Allogene Overland Biopharm (CY) Limited (incorporated by reference to Exhibit 10.23 to the Registrant’s Annual Report on Form 10-K (File No. 001-38693) for the year ended December 31, 2020, filed with the SEC on February 25, 2021). Exhibit 10.23 [***] Certain information in this document has been omitted from this exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. EXCLUSIVE LICENSE AGREEMENT Table of Contents Page Article 1 Definitions 1 Article 2 License 15 2.1 License Grant. 15 2.2 Sublicense Rights. 15 2.3 Negative Covenants 17 2.4 No Implied Licenses; Retained Right
February 25, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 25, 2021 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Comm
February 25, 2021	10-K	Annual Report - 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-386
February 25, 2021	S-8	- S-8 As filed with the Securities and Exchange Commission on February 25, 2021 Registration No.
February 25, 2021	EX-10.24	Share Purchase Agreement, dated December 14, 2020, by and among the Registrant, Overland Pharmaceuticals (CY) Inc. and Allogene Overland Biopharm (CY) Limited (incorporated by reference to Exhibit 10.24 to the Registrant’s Annual Report on Form 10-K (File No. 001-38693) for the year ended December 31, 2020, filed with the SEC on February 25, 2021). Exhibit 10.24 [***] Certain information in this document has been omitted from this exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. SHARE PURCHASE AGREEMENT THIS SHARE PURCHASE AGREEMENT (this ?Agreement?) is entered into on December 14, 2020 (the ?Effective Date?) by and among: (1) Allogene Overland Biopharm (CY) Limited, a company incorp
February 25, 2021	EX-10.25	Shareholders' Agreement, dated December 14, 2020, by and among the Registrant, Overland Pharmaceuticals (CY) Inc. and Allogene Overland Biopharm (CY) Limited (incorporated by reference to Exhibit 10.25 to the Registrant’s Annual Report on Form 10-K (File No. 001-38693) for the year ended December 31, 2020, filed with the SEC on February 25, 2021). Exhibit 10.25 [***] Certain information in this document has been omitted from this exhibit because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. SHAREHOLDERS? AGREEMENT THIS SHAREHOLDERS? AGREEMENT (this ?Agreement?) is entered into on December 14, 2020 by and among: 1.Allogene Overland Biopharm (CY) Limited, an exempted company incorporated under the
February 16, 2021	SC 13G/A	SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Allogene Therapeutics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 019770106 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which
February 16, 2021	SC 13G	SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Allogene Therapeutics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 019770106 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t
February 12, 2021	EX-99.1	JOINT FILING AGREEMENT EX-99.1 CUSIP No. 019770 10 6 13G Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13G referred to below) on behalf of each of them of a statement on Schedule 13G (including amendments there
February 12, 2021	SC 13G/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) ALLOGENE THERAPEUTICS, INC. (Name of Issuer) Common Stock (Title of Class of Securities) (CUSIP Number) D SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) ALLOGENE THERAPEUTICS, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 019770 10 6 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant
February 12, 2021	SC 13G/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) ALLOGENE THERAPEUTICS, INC. (Name of Issuer) Common Stock (Title of Class of Securities) (CUSIP Number) D SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) ALLOGENE THERAPEUTICS, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 019770 10 6 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant
December 15, 2020	8-K	Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 14, 2020 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Comm
December 7, 2020	8-K	Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 5, 2020 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commi
November 4, 2020	10-Q	Quarterly Report - 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38693 Allogene Therapeutics, Inc.
November 4, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 4, 2020 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commi
November 4, 2020	EX-99.1	Allogene Therapeutics Reports Third Quarter 2020 Financial Results Exhibit 99.1 Allogene Therapeutics Reports Third Quarter 2020 Financial Results •Enrollment Ongoing in Phase 1 Trials of ALLO-501 (ALPHA), ALLO-501A (ALPHA2) and ALLO-715 (UNIVERSAL) •Initial Phase 1 Results from the UNIVERSAL Trial in Relapsed/Refractory Multiple Myeloma to be Presented at a Medical Meeting in Q4 2020 •In 1H 2021, Initial ALLO-501A Data and Updated ALLO-501 Results in Non-Hodgkin
October 26, 2020	8-K/A	Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders - 8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 5, 2020 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commiss
August 10, 2020	SC 13D/A	ALLO / Allogene Therapeutics, Inc. / TPG Group Holdings (SBS) Advisors, Inc. - AMENDMENT TO FORM SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) Allogene Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 019770106 (CUSIP Number) Michael LaGatta TPG Global, LLC 301 Commerce Street, Suite 3300 Fort Worth, TX 76102 (817) 871-4000 (Name, Addres
August 5, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 5, 2020 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commiss
August 5, 2020	EX-10.1	Second Amendment, dated July 15, 2020, to the Lease Agreement, dated February 19, 2019, by and between the Registrant and Silicon Valley Gateway Technology Center, LLC (incorporated by reference to Exhibit 10.1 to the Registrant’s Quarterly Report on Form 10-Q (File No. 001-38693) for the quarter ended June 30, 2020, filed with the SEC on August 5, 2020). Exhibit 10.1 SECOND AMENDMENT TO LEASE AGREEMENT This SECOND AMENDMENT TO LEASE AGREEMENT ("Amendment") is entered into as of July 15, 2020, by and between SILICON VALLEY GATEWAY TECHNOLOGY CENTER, LLC, a Delaware limited liability company ("Landlord"), and ALLOGENE THERAPEUTICS, INC., a Delaware corporation ("Tenant"). RECITALS A.Landlord and Tenant are parties to that certain Lease Agreement dat
August 5, 2020	EX-99.1	Allogene Therapeutics Reports Second Quarter 2020 Financial Results Exhibit 99.1 Allogene Therapeutics Reports Second Quarter 2020 Financial Results •Initial Phase 1 Results from the ALLO-501 ALPHA Trial at ASCO Demonstrated an Overall Response Rate of 75% and Complete Response Rate of 44% in CAR T Naïve Relapsed/Refractory Non-Hodgkin Lymphoma Patients •In the ALPHA Trial, Higher Dose ALLO-647 was Associated with Deeper Lymphodepletion, Delayed Host T Cell Recove
August 5, 2020	10-Q	Quarterly Report - 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38693 Allogene Therapeutics, Inc.
July 10, 2020	SC 13D/A	ALLO / Allogene Therapeutics, Inc. / TPG Group Holdings (SBS) Advisors, Inc. - AMENDMENT TO FORM SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2) Allogene Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 019770106 (CUSIP Number) Michael LaGatta TPG Global, LLC 301 Commerce Street, Suite 3300 Fort Worth, TX 76102 (817) 871-4000 (Name, Addres
June 11, 2020	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 5, 2020 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commissio
June 4, 2020	EX-1.1	Form of LockUp Agreement by and among certain stockholders, the directors and the officers of the Issuer and the representatives of the several Underwriters (incorporated by reference to Annex I of Exhibit 1.1 to the Issuer’s Current Report on Form 8-K filed with the Commission on June 4, 2020). Exhibit 1.1 Execution Version Allogene Therapeutics, Inc. Common Stock Underwriting Agreement June 1, 2020 Goldman Sachs & Co. LLC Jefferies LLC Cowen and Company, LLC As representatives (the “Representatives”) of the several Underwriters named in Schedule I hereto, c/o Goldman Sachs & Co. LLC 200 West Street New York, NY 10282-2198 c/o Jefferies LLC 520 Madison Avenue New York, NY 10022 c/o Cowen
June 4, 2020	EX-99.1	Allogene Therapeutics Announces Commencement of Public Offering of Common Stock Exhibit 99.1 Allogene Therapeutics Announces Commencement of Public Offering of Common Stock SOUTH SAN FRANCISCO, Calif., June 1, 2020 – Allogene Therapeutics, Inc. (Nasdaq: ALLO), today announced the commencement of an underwritten public offering of $450.0 million of shares of its common stock. In addition, Allogene expects to grant the underwriters a 30-day option to purchase up to an additiona
June 4, 2020	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 1, 2020 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commissio
June 4, 2020	EX-99.2	Allogene Therapeutics Announces Pricing of Public Offering of Common Stock Exhibit 99.2 Allogene Therapeutics Announces Pricing of Public Offering of Common Stock SOUTH SAN FRANCISCO, Calif., June 1, 2020 – Allogene Therapeutics, Inc. (Nasdaq: ALLO), today announced the pricing of an underwritten public offering of 11,702,128 shares of its common stock at a price to the public of $47.00 per share. The gross proceeds from this offering are expected to be approximately $55
June 3, 2020	424B5	CALCULATION OF REGISTRATION FEE Title of Each Class of Securities to be Registered Amount to be Registered Proposed Maximum Offering Price per Share Proposed Maximum Aggregate Offering Price Amount of Registration Fee (2) Common Stock, $0.0001 par va Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-234516 CALCULATION OF REGISTRATION FEE Title of Each Class of Securities to be Registered Amount to be Registered Proposed Maximum Offering Price per Share Proposed Maximum Aggregate Offering Price Amount of Registration Fee (2) Common Stock, $0.0001 par value per share 13,457,447 (1) $47.00 $632,500,009 $82,098.50 (1) Include
June 1, 2020	424B5	Subject to Completion, dated June 1, 2020 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-234516 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has become effective under the Securities Act of 1933, as amended. This preliminary prospectus supplement and the accompanying prospectus is not an offer to sell these secur
May 29, 2020	8-K	Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 29, 2020 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commissio
May 6, 2020	EX-10.1	Employment Letter of Agreement, dated April 30, 2018, by and between the Registrant and Veer Bhavnagri (incorporated by reference to Exhibit 10.1 to the Registrant’s Quarterly Report on Form 10-Q (File No. 001-38693), filed with the SEC on May 6, 2020). Exhibit 10.1 April 30, 2018 Veer Bhavnagri 344 Mesa Road Santa Monica, CA 90402 Re: Employment Letter of Agreement (“Agreement”) Dear Veer, Allogene Therapeutics, Inc. (“Allogene” or the “Company”) is pleased to offer you employment on the following terms and conditions. 1.Title; Reporting; Duties. (a)Your employment shall commence on May 16, 2018, or such other date as may be agreed to by you and
May 6, 2020	EX-99.1	Allogene Therapeutics Reports First Quarter 2020 Financial Results Exhibit 99.1 Allogene Therapeutics Reports First Quarter 2020 Financial Results •Oral Presentation of Initial Results from the Phase 1 ALLO-501 ALPHA Trial in Relapsed/Refractory Non-Hodgkin Lymphoma at the Virtual American Society of Clinical Oncology (ASCO) Annual Meeting •Phase 1 ALPHA2 Trial for ALLO-501A, the Next Generation anti-CD19 AlloCAR T Intended for Phase 2 Development, On-Track to In
May 6, 2020	10-Q	Quarterly Report - 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-38693 Allogene Therapeutics, Inc.
May 6, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2020 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commission
April 23, 2020	DEF 14A	Schedule 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.
April 23, 2020	DEFA14A	- DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.
March 27, 2020	8-K	Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 27, 2020 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Commiss
February 27, 2020	EX-10.15	(incorporated by reference to Exhibit 10.15 to the Registrant’s Annual Report on Form 10-K, as amended (File No. 001-38693), filed with the SEC on February 27, 2020). Exhibit 10.15 Confidential – Execution Version CERTAIN CONFIDENTIAL PORTIONS HAVE BEEN REDACTED FROM THIS EXHIBIT BECAUSE THEY ARE BOTH (i) NOT MATERIAL AND (ii) WOULD BE COMPETITIVELY HARMFUL IF PUBLICLY DISCLOSED. INFORMATION THAT HAS BEEN OMITTED HAS BEEN IDENTIFIED IN THIS DOCUMENT WITH A PLACEHOLDER IDENTIFIED BY THE MARK "[***]". COLLABORATION AND LICENSE Agreement This Collaboration and Lic
February 27, 2020	EX-10.11	Employment Letter of Agreement, dated July 29, 2019, by and between the Registrant and Rafael G. Amado, M.D. (incorporated by reference to Exhibit 10.11 to the Registrant’s Annual Report on Form 10-K, as amended (File No. 001-38693), filed with the SEC on February 27, 2020). Exhibit 10.11 July 29, 2019 Rafael G. Amado, M.D. Re: Employment Letter of Agreement (“Agreement”) Dear Dr. Amado, Allogene Therapeutics, Inc. (“Allogene” or the “Company”) is pleased to offer you employment on the following terms and conditions. 1.Title; Reporting; Duties. (a)When you commence employment with Allogene, you shall be employed in the position of Executive Vice President of Research
February 27, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2020 Allogene Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38693 82-3562771 (State or other jurisdiction of incorporation) (Comm
February 27, 2020	10-K	Annual Report - 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-386
February 27, 2020	EX-99.1	Allogene Therapeutics Reports Fourth Quarter and Full Year 2019 Financial Results Exhibit 99.1 Allogene Therapeutics Reports Fourth Quarter and Full Year 2019 Financial Results •Initial Results from the Phase 1 ALLO-501 ALPHA Trial in Relapsed/Refractory Non-Hodgkin Lymphoma and Phase 1 ALLO-715 UNIVERSAL Trial in Relapsed/Refractory Multiple Myeloma On-Track for Q2 2020 and Q4 2020, Respectively •ALLO-501A, the Next Generation anti-CD19 AlloCAR T Intended for Phase 2 Developme
February 27, 2020	EX-4.3	Description of Common Stock (incorporated by reference to Exhibit 4.3 to the Registrant’s Annual Report on Form 10-K, as amended (File No. 001-38693), filed with the SEC on February 27, 2020). Exhibit 4.3 DESCRIPTION OF COMMON STOCK General The following description summarizes the most important terms of our common stock. Because it is only a summary, it does not contain all the information that may be important to you. For a complete description of the matters set forth in this “Description of Common Stock,” you should refer to our amended and restated certificate of incorporation (the

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