Basic Stats
| LEI | 549300Z8RQOIY1JMHC25 |
| CIK | 1653087 |
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 Alector, Inc.
SEC Filings (Chronological Order)
This page provides a complete, chronological list of SEC Filings, excluding ownership filings which we provide elsewhere.
| August 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 001-38792 Alector, In |
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| August 7, 2025 |
RELEASE Exhibit 99.1 Alector Reports Second Quarter 2025 Financial Results and Provides Business Update On track to report topline data by mid-Q4 2025 from the pivotal INFRONT-3 Phase 3 clinical trial of latozinemab in FTD-GRN, a severe, rare form of dementia with no approved treatments Ongoing Phase 2 PROGRESS-AD trial of AL101 in early Alzheimer’s disease expected to complete in 2026 Continuing |
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| August 7, 2025 |
Outside Director Compensation Policy Exhibit 10.1 ALECTOR, INC. OUTSIDE DIRECTOR COMPENSATION POLICY As amended and restated on June 11, 2025 (the “Effective Date”) Alector, Inc. (the “Company”) believes that providing cash and equity compensation to members of its Board of Directors (the “Board,” and members of the Board, the “Directors”) represents an effective tool to attract, retain and reward Directors who are not employees of t |
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| August 7, 2025 |
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 07, 2025 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| June 13, 2025 |
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, 2025 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| June 13, 2025 |
Exhibit 99.1 NEWS RELEASE Alector Provides Executive Leadership Update — Neil Berkley, M.B.A., appointed Interim Chief Financial Officer, succeeding Marc Grasso, M.D., effective June 20, 2025— South San Francisco, Calif., June 13, 2025 — Alector, Inc. (Nasdaq: ALEC), a late-stage clinical biotechnology company focused on developing therapies to counteract the devastating progression of neurodegene |
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| May 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 001-38792 Alector, I |
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| May 8, 2025 |
Exhibit 99.1 Alector Reports First Quarter 2025 Financial Results and Provides Business Update Topline data from pivotal INFRONT-3 Phase 3 clinical trial of latozinemab in FTD-GRN on track for Q4 2025 Completed enrollment in PROGRESS-AD Phase 2 clinical trial of AL101 in early Alzheimer’s disease Continuing to pursue Alector Brain Carrier programs, including the company’s anti-amyloid beta antibod |
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| May 8, 2025 |
Outside Director Compensation Policy Exhibit 10.1 ALECTOR, INC. OUTSIDE DIRECTOR COMPENSATION POLICY As amended and restated on March 18, 2025 (the “Effective Date”) Alector, Inc. (the “Company”) believes that providing cash and equity compensation to members of its Board of Directors (the “Board,” and members of the Board, the “Directors”) represents an effective tool to attract, retain and reward Directors who are not employees of |
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| May 8, 2025 |
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 08, 2025 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| April 24, 2025 |
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 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 State |
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| April 24, 2025 |
Table of Contents 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 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)) ☒ Defi |
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| March 28, 2025 |
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 25, 2025 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| March 10, 2025 |
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 7, 2025 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| February 26, 2025 |
As filed with the Securities and Exchange Commission on February 26, 2025 As filed with the Securities and Exchange Commission on February 26, 2025 Registration No. |
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| February 26, 2025 |
Exhibit 99.1 Alector Reports Fourth Quarter and Full Year 2024 Financial Results and Provides Business Update Topline data from the pivotal INFRONT-3 Phase 3 clinical trial of latozinemab in FTD-GRN expected by Q4 2025 Anticipate completing enrollment in the PROGRESS-AD Phase 2 clinical trial of AL101/GSK4527226 in participants with early Alzheimer’s disease by mid-2025 Applying Alector Brain Carr |
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| February 26, 2025 |
Description of securities of the Registrant. Exhibit 4.3 DESCRIPTION OF ALECTOR, INC.’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 We have one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended, or the Exchange Act: common stock, par value $0.0001 per share. Unless the context otherwise requires, all references to “we”, “us”, “our”, the “Company”, or “Al |
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| February 26, 2025 |
Exhibit 10.21 CERTAIN IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THIS EXHIBIT BECAUSE IT IS NOT MATERIAL AND WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. [***] INDICATES THAT INFORMATION HAS BEEN REDACTED. LOAN AND SECURITY AGREEMENT THIS LOAN AND SECURITY AGREEMENT is made and dated as of November 14, 2024 and is entered into by and among ALECTOR, INC., a Delawa |
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| February 26, 2025 |
Exhibit 10.22 FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”), dated as of December 12, 2024 (the “Amendment Effective Date”), is entered into by and among ALECTOR, INC., a Delaware corporation (“Company”), its Subsidiary ALECTOR LLC, a Delaware limited liability company (“Alector Sub”, together with the Company and any Subsidia |
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| February 26, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 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 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 001-38792 Alector, Inc. ( |
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| February 26, 2025 |
Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) Alector, 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 Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee (1) Equity Common Stock, $0.0001 par valu |
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| February 26, 2025 |
List of subsidiaries of Registrant. Exhibit 21.1 Subsidiaries of Alector, Inc. Alector LLC, a Delaware limited liability company |
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| February 26, 2025 |
Alector Inc. Insider Trading Policy Exhibit 19 ALECTOR, INC. INSIDER TRADING POLICY (As amended on December 4, 2024) A. INTRODUCTION AND POLICY OVERVIEW Alector, Inc. (together with its subsidiaries, collectively the “Company”) has adopted this Insider Trading Policy (the “Policy”) to help you comply with the federal and state securities laws and regulations that govern trading in securities and to help the Company minimize its own |
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| February 26, 2025 |
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 26, 2025 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| January 10, 2025 |
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 09, 2025 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| December 6, 2024 |
ALEC / Alector, Inc. / RA CAPITAL MANAGEMENT, L.P. - SC 13G Passive Investment SC 13G 1 tm2430431d1sc13g.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Alector, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 014442107 (CUSIP Number) November 29, 2024 (Date of Event Which Requires Filing of this Statement) Check the appro |
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| December 6, 2024 |
EX-99.1 2 tm2430431d1ex1.htm EXHIBIT 1 EXHIBIT 1 AGREEMENT This Joint Filing Agreement, dated as of December 6, 2024 is by and among RA Capital Management, L.P., Peter Kolchinsky, Rajeev Shah, and RA Capital Healthcare Fund, L.P. (the foregoing are collectively referred to herein as the “Filers”). Each of the Filers may be required to file with the United States Securities and Exchange Commission |
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| November 25, 2024 |
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 25, 2024 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| November 25, 2024 |
News Release Exhibit 99.1 Alector Announces Results from AL002 INVOKE-2 Phase 2 Trial in Individuals with Early Alzheimer’s Disease and Provides Business Update SOUTH SAN FRANCISCO, Calif., November 25, 2024 (GLOBE NEWSWIRE) – Alector, Inc. (Nasdaq: ALEC), a clinical-stage biotechnology company pioneering novel, genetically validated therapies for the treatment of neurodegenerative diseases, today |
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| November 14, 2024 |
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 14, 2024 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| November 14, 2024 |
Alector Secures Flexible Credit Facility for Up to $50 Million From Hercules Capital Exhibit 99.1 Alector Secures Flexible Credit Facility for Up to $50 Million From Hercules Capital South San Francisco, Calif., November 14, 2024 - Alector, Inc. (Nasdaq: ALEC), a clinical-stage biotechnology company pioneering immuno-neurology, today announced that the Company has entered into a debt financing agreement with Hercules Capital, Inc. (NYSE: HTGC) for up to $50 million. “Alector is in |
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| November 12, 2024 |
ALEC / Alector, Inc. / Polaris Venture Partners VI, L.P. - SC 13G/A Passive Investment SC 13G/A 1 d845722dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 5) Alector, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 014442107 (CUS |
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| November 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 001-38792 Alecto |
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| November 6, 2024 |
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 06, 2024 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| November 6, 2024 |
Exhibit 99.1 Alector Reports Third Quarter 2024 Financial Results and Provides Business Update Data from INVOKE-2, evaluating TREM2 agonist candidate AL002 in patients with early Alzheimer’s disease (AD), on track for 2024 Participant baseline characteristics in pivotal INFRONT-3 Phase 3 trial suggest a representative study population for testing the effects of latozinemab in frontotemporal dement |
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| August 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 001-38792 Alector, In |
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| August 7, 2024 |
Exhibit 99.1 Alector Reports Second Quarter 2024 Financial Results and Provides Business Update Data from INVOKE-2 Phase 2 clinical trial of AL002 in individuals with early Alzheimer’s disease (AD) on track for Q4 2024 Patient baseline characteristics data for the INVOKE-2 trial confirm the intended study population for testing the effects of AL002, a novel TREM2 agonist, in early AD The latozinem |
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| August 7, 2024 |
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 07, 2024 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| June 12, 2024 |
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 12, 2024 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| May 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 001-38792 Alector, I |
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| May 8, 2024 |
Exhibit 99.1 Alector Reports First Quarter 2024 Financial Results and Provides Business Update Data from INVOKE-2, evaluating the most advanced TREM2 candidate in clinical development for early Alzheimer’s disease, on track for Q4 2024 Strengthened leadership team with key appointments: Neil Berkley, M.S., M.B.A., named Chief Business Officer; Errol De Souza, Ph.D., and Mark Altmeyer, M.B.A., join |
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| May 8, 2024 |
Outside Director Compensation Policy Exhibit 10.2 ALECTOR, INC. OUTSIDE DIRECTOR COMPENSATION POLICY As amended and restated on April 30, 2024 (the “Effective Date”) Alector, Inc. (the “Company”) believes that providing cash and equity compensation to members of its Board of Directors (the “Board,” and members of the Board, the “Directors”) represents an effective tool to attract, retain and reward Directors who are not employees of |
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| May 8, 2024 |
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 08, 2024 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| May 8, 2024 |
Exhibit 10.1 Alector, Inc. 131 Oyster Point Blvd., Suite 600, South San Francisco, CA 94080 United States of America March 11, 2024 Glaxo Wellcome UK Limited 980 Great West Road Brentford, Middlesex TW8 9GS United Kingdom Re: Development Costs for Continuation Clinical Study for AL001 Dear Sir/Madam: As we have discussed, this letter (“Letter”) confirms our agreement regarding responsibility for c |
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| April 25, 2024 |
Table of Contents 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 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)) ☒ Defi |
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| April 25, 2024 |
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 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 State |
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| March 21, 2024 |
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 15, 2024 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| February 27, 2024 |
Description of securities of the Registrant. Exhibit 4.3 DESCRIPTION OF CAPITAL STOCK The following description summarizes certain important terms of the capital stock of Alector, Inc. (the “company,” “we,” “us” and “our”), as well as certain provisions of our amended and restated certificate of incorporation and amended and restated bylaws. This summary does not purport to be complete and is qualified in its entirety by the provisions of ou |
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| February 27, 2024 |
Outside Director Compensation Policy. Exhibit 10.11 ALECTOR, INC. OUTSIDE DIRECTOR COMPENSATION POLICY (As amended on December 5, 2023) Alector, Inc. (the “Company”) believes that providing cash and equity compensation to members of its Board of Directors (the “Board,” and members of the Board, the “Directors”) represents an effective tool to attract, retain and reward Directors who are not employees of the Company (the “Outside Direc |
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| February 27, 2024 |
Exhibit 99.1 Alector Reports Fourth Quarter and Full Year 2023 Financial Results and Provides Business Update Data from INVOKE-2, evaluating the most advanced TREM2 candidate in clinical development for early Alzheimer’s disease (AD), expected in Q4 2024; trial enrollment completed in Q3 2023 First participant in the global PROGRESS-AD Phase 2 clinical trial of AL101 in early AD dosed in Q1 2024 L |
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| February 27, 2024 |
Exhibit 97 Alector, Inc. COMPENSATION RECOVERY POLICY As adopted on September 27, 2023 Alector, Inc. (the “Company”) is committed to strong corporate governance. As part of this commitment, the Company’s Board of Directors (the “Board”) has adopted this clawback policy called the Compensation Recovery Policy (the “Policy”). The Policy is intended to further the Company’s pay-for-performance philos |
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| February 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 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 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 001-38792 Alector, Inc. ( |
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| February 27, 2024 |
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, 2024 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| February 27, 2024 |
2019 Employee Stock Purchase Plan and form of agreement thereunder Exhibit 10.4 ALECTOR, INC. 2019 EMPLOYEE STOCK PURCHASE PLAN 1. Purpose. The purpose of the Plan is to provide employees of the Company and its Designated Companies with an opportunity to purchase Common Stock through accumulated Contributions. The Company intends for the Plan to have two components: a component that is intended to qualify as an “employee stock purchase plan” under Section 423 of |
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| February 27, 2024 |
Alector Inc. Insider Trading Policy Exhibit 19 ALECTOR, INC. INSIDER TRADING POLICY (As amended on March 2023) A. INTRODUCTION AND POLICY OVERVIEW Alector, Inc. (together with its subsidiaries, collectively the “Company”) has adopted this Insider Trading Policy (the “Policy”) to help you comply with the federal and state securities laws and regulations that govern trading in securities and to help the Company minimize its own legal |
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| February 27, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Alector, 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 Fee Rate Amount of Registration Fee Equity Common Stock, $0.0001 par value |
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| February 27, 2024 |
2019 Equity Incentive Plan and forms of agreements thereunder Exhibit 10.3 alector, INC. 2019 EQUITY INCENTIVE PLAN 1. Purposes of the Plan. The purposes of this Plan are: • to attract and retain the best available personnel for positions of substantial responsibility, • to provide additional incentive to Employees, Directors and Consultants, and • to promote the success of the Company’s business. The Plan permits the grant of Incentive Stock Options, Nonsta |
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| February 27, 2024 |
As filed with the Securities and Exchange Commission on February 27, 2024 As filed with the Securities and Exchange Commission on February 27, 2024 Registration No. |
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| February 13, 2024 |
ALEC / Alector, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv0222-alectorinc.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 3)* Name of issuer: Alector Inc Title of Class of Securities: Common Stock CUSIP Number: 014442107 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to designate the rule pur |
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| February 9, 2024 |
ALEC / Alector, Inc. / Polaris Venture Partners VI, L.P. - SC 13G/A Passive Investment SC 13G/A 1 d728701dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 4) Alector, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 014442107 (CUS |
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| February 8, 2024 |
ALEC / Alector, Inc. / Rosenthal Arnon - SC 13G Passive Investment SC 13G 1 arnon2024schedule13ga.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2)* ALECTOR, INC. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 014442 107 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check th |
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| January 19, 2024 |
Entry into a Material Definitive Agreement, 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): January 17, 2024 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| January 19, 2024 |
10,869,566 Shares of Common Stock Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-270126 PROSPECTUS SUPPLEMENT (To prospectus dated May 1, 2023) 10,869,566 Shares of Common Stock We are offering 10,869,566 shares of our common stock, par value $0.0001 per share, in this offering. Our common stock is listed on The Nasdaq Global Select Market under the symbol “ALEC.” On January 12, 2024, the last reported sal |
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| January 19, 2024 |
Exhibit 1.1 10,869,566 Shares ALECTOR, INC. COMMON STOCK, PAR VALUE $ 0.0001 PER SHARE UNDERWRITING AGREEMENT January 17, 2024 1 January 17, 2024 Cantor Fitzgerald & Co. c/o Cantor Fitzgerald & Co. 110 East 59th Street, 6th floor New York, NY 10022 Ladies and Gentlemen: Alector, Inc., a Delaware corporation (the “Company”), proposes to issue and sell to Cantor Fitzgerald & Co. (the “Underwriter”), |
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| January 19, 2024 |
Alector Announces Pricing of Public Offering of Common Stock Exhibit 99.1 NEWS RELEASE Alector Announces Pricing of Public Offering of Common Stock South San Francisco, Calif., January 17, 2024 — Alector, Inc. (Nasdaq: ALEC), a clinical-stage biotechnology company pioneering immuno-neurology, today announced the pricing of an underwritten public offering of 10,869,566 shares of its common stock for total gross proceeds of $75 million before deducting underw |
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| January 16, 2024 |
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): January 16, 2024 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| January 16, 2024 |
Subject to Completion, dated January 16, 2024 424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-270126 The information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities, nor are they soliciting an offer to buy these securities in any jurisdiction where the offer or sale is not |
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| November 7, 2023 |
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 07, 2023 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| November 7, 2023 |
Exhibit 99.1 Alector Reports Third Quarter 2023 Financial Results and Provides Business Update Achieved Q4 2023 target enrollment in pivotal INFRONT-3 Phase 3 latozinemab clinical trial with 103 symptomatic FTD-GRN participants Enrollment completed in the INVOKE-2 Phase 2 clinical trial of AL002 in individuals with early Alzheimer’s disease in Q3 2023, data readout expected in Q4 2024 Company to h |
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| November 7, 2023 |
Sales Agreement, dated November 7, 2023, by and between Alector, Inc., and Cowen and Company, LLC Exhibit 1.1 ALECTOR, INC. $125,000,000 COMMON STOCK SALES AGREEMENT November 7, 2023 Cowen and Company, LLC 599 Lexington Avenue New York, NY 10022 Ladies and Gentlemen: Alector, Inc. (the “Company”), confirms its agreement (this “Agreement”) with Cowen and Company, LLC (“TD Cowen”), as follows: 1. Issuance and Sale of Shares. The Company agrees that, from time to time during the term of this Agre |
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| November 7, 2023 |
Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-270126 PROSPECTUS SUPPLEMENT (To prospectus dated May 1, 2023) $125,000,000 Common Stock We have entered into a sales agreement with Cowen and Company, LLC (“TD Cowen”) relating to shares of our common stock offered by this prospectus supplement and the accompanying prospectus. In accordance with the terms of the sales agreeme |
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| November 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 001-38792 Alecto |
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| November 7, 2023 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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, 2023 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| August 3, 2023 |
Exhibit 99.1 Alector Reports Second Quarter 2023 Financial Results and Provides Business Update Closed screening in the INVOKE-2 Phase 2 trial of AL002 in participants with early Alzheimer’s disease; completing enrollment in Q3 2023, with data readout expected in Q4 2024 Presented update on INVOKE-2 at the Alzheimer’s Association International Conference (AAIC) Anticipate completing enrollment in |
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| August 3, 2023 |
Exhibit 10.1 Alector, Inc. 131 Oyster Point Blvd., Suite 600 South San Francisco, CA 94080 United States of America May 19, 2023 Glaxo Wellcome UK Limited 980 Great West Road Brentford, Middlesex TW8 9GS United Kingdom Re: Development Costs for Alzheimer’s Disease Phase II Clinical Study Dear Sir/Madam: As we have discussed, this letter (“Letter”) confirms our agreement regarding responsibility fo |
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| August 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 001-38792 Alector, In |
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| August 3, 2023 |
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 03, 2023 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| June 15, 2023 |
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, 2023 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| June 15, 2023 |
Amended and Restated Bylaws of the Registrant. EX-3.1 Exhibit 3.1 ALECTOR, INC. AMENDED AND RESTATED BYLAWS (initially adopted on September 19, 2017) (as amended and restated on June 15, 2023) TABLE OF CONTENTS Page ARTICLE I—CORPORATE OFFICES 1 1.1 REGISTERED OFFICE 1 1.2 OTHER OFFICES 1 ARTICLE II—MEETINGS OF STOCKHOLDERS 1 2.1 PLACE OF MEETINGS 1 2.2 ANNUAL MEETING 1 2.3 SPECIAL MEETING 1 2.4 ADVANCE NOTICE PROCEDURES 2 2.5 NOTICE OF STOCKH |
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| June 1, 2023 |
Exhibit 24 POWER OF ATTORNEY The undersigned reporting person of Alector, Inc., (the “Company”) hereby constitutes and appoints Arnon Rosenthal, Marc Grasso, Cameron Hagen and Jordan Hochstrasser, and each of them, the undersigned’s true and lawful attorney-in-fact to: 1. complete and execute Form 144, Notice of Proposed Sale of Securities, and any other required form, and all amendments to such f |
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| June 1, 2023 |
Exhibit 24 POWER OF ATTORNEY The undersigned reporting person of Alector, Inc., (the “Company”) hereby constitutes and appoints Arnon Rosenthal, Marc Grasso, Cameron Hagen and Jordan Hochstrasser, and each of them, the undersigned’s true and lawful attorney-in-fact to: 1. complete and execute Form 144, Notice of Proposed Sale of Securities, and any other required form, and all amendments to such f |
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| June 1, 2023 |
Exhibit 24 POWER OF ATTORNEY The undersigned reporting person of Alector, Inc., (the “Company”) hereby constitutes and appoints Arnon Rosenthal, Marc Grasso, Cameron Hagen and Jordan Hochstrasser, and each of them, the undersigned’s true and lawful attorney-in-fact to: 1. complete and execute Form 144, Notice of Proposed Sale of Securities, and any other required form, and all amendments to such f |
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| May 4, 2023 |
Exhibit 99.1 Alector Reports First Quarter 2023 Financial Results and Provides Business Update On track to engage with regulatory authorities on the pivotal Phase 3 INFRONT-3 clinical trial of latozinemab in mid-2023; targeting data readout in early 2025 Plan to present additional results from the entire FTD-C9orf72 cohort in the INFRONT-2 Phase 2 clinical trial of latozinemab during the second ha |
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| May 4, 2023 |
Exhibit 10.1 *** Certain information has been excluded from this agreement because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. AMENDMENT NO. 1 TO CO-DEVELOPMENT AND OPTION AGREEMENT This Amendment No. 1 (this “Amendment”) is effective as of February 13, 2023 (the “Amendment Effective Date”) by and between Alector, Inc., a Delaware corporation (“Licens |
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| May 4, 2023 |
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 04, 2023 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| May 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 001-38792 Alector, I |
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| May 2, 2023 |
As filed with the U.S. Securities and Exchange Commission on May 2, 2023 As filed with the U.S. Securities and Exchange Commission on May 2, 2023 Registration No. 333-238230 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT Under The Securities Act of 1933 ALECTOR, INC. (Exact name of Registrant as specified in its charter) Delaware 82-2933343 (State or other jurisdiction of incorpo |
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| April 27, 2023 |
CORRESP April 27, 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. 20549-3720 Attention: Jason Drory Re: Alector, Inc. Registration Statement on Form S-3 Filed February 28, 2023 File No. 333-270126 Acceleration Request Requested Date: May 1, 2023 Requested Time: 4:05 p.m. Eastern Time, or as soon ther |
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| April 27, 2023 |
Table of Contents 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 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 perm itte d by Rule 14a-6(e)(2)) ☒ De |
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| April 27, 2023 |
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 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 State |
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| April 27, 2023 |
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 25, 2023 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| March 29, 2023 |
Costs Associated with Exit or Disposal Activities 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 28, 2023 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| March 13, 2023 |
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 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| February 28, 2023 |
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 001-38792 Alector, Inc. ( |
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| February 28, 2023 |
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 28, 2023 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| February 28, 2023 |
S-3 Table of Contents As filed with the Securities and Exchange Commission on February 28, 2023 Registration No. |
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| February 28, 2023 |
Exhibit 107.1 Calculation of Filing Fee Table Form S-3 (Form Type) Alector, 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 Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry F |
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| February 28, 2023 |
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. |
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| February 28, 2023 |
NEWS RELEASE Exhibit 99.1 Alector Reports Fourth Quarter and Full Year 2022 Financial Results and Provides Corporate Update On track to complete enrollment in the INVOKE-2 Phase 2 clinical trial of AL002 in patients with early Alzheimer’s disease in Q3 2023, with data readout expected by Q4 2024 Preparing to engage with regulatory authorities in mid-2023 and targeting data readout from the pivotal |
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| February 28, 2023 |
Outside Director Compensation Policy. Exhibit 10.11 ALECTOR, INC. OUTSIDE DIRECTOR COMPENSATION POLICY (As amended on March 17, 2022) Alector, Inc. (the “Company”) believes that providing cash and equity compensation to members of its Board of Directors (the “Board,” and members of the Board, the “Directors”) represents an effective tool to attract, retain and reward Directors who are not employees of the Company (the “Outside Directo |
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| February 28, 2023 |
Exhibit 10.18 *** Certain information has been excluded from this agreement because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. AMENDMENT NUMBER ONE to the 2019 COLLABORATION AGREEMENT This Amendment Number One (this “Amendment”), effective as of August 16, 2022 (the “Amendment Effective Date”), amends the 2019 Collaboration Agreement (the “Agreement” |
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| February 28, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Alector, 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 Fee Rate Amount of Registration Fee Equity Common Stock, $0.0001 par value |
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| February 28, 2023 |
EX-4.4 Exhibit 4.4 ALECTOR, INC. INDENTURE Dated as of , 202 [] Trustee TABLE OF CONTENTS ARTICLE I DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.1 Definitions 1 Section 1.2 Other Definitions 3 Section 1.3 Incorporation by Reference of Trust Indenture Act 3 Section 1.4 Rules of Construction 4 ARTICLE II THE SECURITIES 4 Section 2.1 Issuable in Series 4 Section 2.2 Establishment of Terms o |
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| February 10, 2023 |
ALEC / Alector Inc / EcoR1 Capital, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) Alector, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 014442107 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| February 10, 2023 |
ALEC / Alector Inc / Rosenthal Arnon - SC 13G/A Passive Investment SC 13G/A 1 d433109dsc13ga.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)* ALECTOR, INC. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 014442 107 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the a |
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| February 9, 2023 |
ALEC / Alector Inc / FEDERATED HERMES, INC. Passive Investment SC 13G/A 1 form876.htm OMB APPROVAL OMB Number: 3235-0145 Estimated average burden hours per response ….11 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5*) ALECTOR, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 014442107 (CUSIP Number) January 31, 2023 (Date of Event Which Requires |
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| February 9, 2023 |
ALEC / Alector Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 2)* Name of issuer: Alector Inc. Title of Class of Securities: Common Stock CUSIP Number: 014442107 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 1 |
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| February 7, 2023 |
ALEC / Alector Inc / Polaris Venture Partners VI, L.P. - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 3) Alector, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 014442107 (CUSIP Number) December 31, 2022 ( |
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| February 1, 2023 |
ALEC / Alector Inc / FEDERATED HERMES, INC. Passive Investment SC 13G/A 1 form813.htm OMB APPROVAL OMB Number: 3235-0145 Estimated average burden hours per response ….11 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4*) ALECTOR, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 014442107 (CUSIP Number) December 31, 2022 (Date of Event Which Requires |
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| November 8, 2022 |
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 08, 2022 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| November 8, 2022 |
Exhibit 99.1 Alector Reports Third Quarter 2022 Financial Results and Provides Business Update Progressing enrollment in the INFRONT-3 Phase 3 pivotal study for latozinemab (AL001) and in the INVOKE-2 Phase 2 study for AL002 Initiated first-in-human Phase 1 trial of AL044, the company?s third novel, first-in-class clinical stage microglia immune checkpoint therapy for the treatment of Alzheimer?s |
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| November 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 001-38792 Alecto |
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| October 6, 2022 |
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, 2022 Alector, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| September 26, 2022 |
As filed with the Securities and Exchange Commission on September 23, 2022 As filed with the Securities and Exchange Commission on September 23, 2022 Registration No. |
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| September 26, 2022 |
Exhibit 10.1 ALECTOR, INC. 2022 INDUCEMENT EQUITY INCENTIVE PLAN (Adopted January 1, 2022, Amended September 22, 2022) 1. Purpose of the Plan. The purpose of this Plan is to attract and retain the best available personnel by providing an inducement material to individuals? entering into employment with the Company or any Parent or Subsidiary of the Company. The Plan permits the grant of Nonstatuto |
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| September 26, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Alector, 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 Share(2) Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock, $0.0001 par va |
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| September 26, 2022 |
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 22, 2022 Alector, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| August 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 001-38792 Alector, In |
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| August 4, 2022 |
NEWS RELEASE Exhibit 99.1 Alector Reports Second Quarter 2022 Financial Results and Provides Business Update Investigational New Drug Application submitted for AL044, a novel drug candidate targeting an Alzheimer?s disease risk gene Expanding clinical sites to drive additional enrollment in the INFRONT-3 pivotal study for latozinemab (AL001) and enrollment continues in the INVOKE-2 Phase 2 study f |
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| August 4, 2022 |
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 04, 2022 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| July 7, 2022 |
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 30, 2022 Alector, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38792 82-2933343 (State or other jurisdiction of incorporation) (Commission File Number |
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| June 21, 2022 |
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 16, 2022 Alector, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38792 82-2933343 (State or other jurisdiction of incorporation) (Commission File Number |
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| May 27, 2022 |
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. 1) 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)) ? Defi |
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| May 5, 2022 |
Exhibit 99.1 Alector Reports First Quarter 2022 Financial Results and Provides Business Update Data from INFRONT-2 Phase 2 clinical trial showed that FTD-C9orf72 patients treated with AL001 (latozinemab) demonstrated a trend towards an annual delay in disease progression of approximately 54 percent relative to the ALLFTD matched control cohort INFRONT-2 FTD-C9orf72 cohort represents first clinical |
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| May 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 001-38792 Alector, I |
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| May 5, 2022 |
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 05, 2022 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| April 28, 2022 |
Table of Contents 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 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)) ? Defi |
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| April 28, 2022 |
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 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 State |
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| March 29, 2022 |
Offer Letter dated January 31, 2022 by and between Alector, LLC and Gary Romano, M.D., Ph.D. Exhibit 10.1 January 31, 2022 Gary Romano, M.D. [Contact information on file with the Company] Dear Gary, On behalf of Alector, LLC (the ?Company?), we are very pleased to provide this contingent offer of employment as Chief Medical Officer and to set forth the terms of your employment with the Company. As part of the Alector team, you will play a vital role in our mission to develop therapies tha |
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| March 29, 2022 |
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 29, 2022 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| March 29, 2022 |
Alector Announces Appointment of Gary Romano, M.D., Ph.D., as Chief Medical Officer Alector Announces Appointment of Gary Romano, M.D., Ph.D., as Chief Medical Officer South San Francisco, Calif., March 29, 2022 - Alector, Inc. (Nasdaq: ALEC), a clinical-stage biotechnology company pioneering immuno-neurology, today announced the appointment of Gary Romano, M.D., Ph.D., as Chief Medical Officer. In this role, Dr. Romano will lead the company?s global clinical development strategy |
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| February 24, 2022 |
Exhibit 10.18 November 30, 2021 Sara Kenkare-Mitra, Ph.D. [Contact information on file with the Company] Dear Sara, On behalf of Alector, LLC (the ?Company?), we are very pleased to provide this contingent offer of employment as President and Head of Research and Development and to set forth the terms of your employment with the Company. As part of the Alector team, you will play a vital role in o |
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| February 24, 2022 |
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 24, 2022 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| February 24, 2022 |
EX-99.1 2 alec-ex991.htm EX-99.1 Exhibit 99-1 Alector Reports Fourth Quarter and Full Year 2021 Financial Results CTAD and SITC presentations in fourth quarter highlight progress across immuno-neurology and immuno-oncology portfolio Over $900 million in pro forma cash, cash equivalents and investments supports execution of clinical, research and operational goals Steady continued enrollment in pro |
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| February 24, 2022 |
As filed with the Securities and Exchange Commission on February 24, 2022 As filed with the Securities and Exchange Commission on February 24, 2022 Registration No. |
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| February 24, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Alector, 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 Fee Rate Amount of Registration Fee Equity Common Stock, $0.0001 par value |
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| February 24, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 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 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 001-38792 Alector, Inc. ( |
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| February 24, 2022 |
List of subsidiaries of Registrant. Exhibit 21.1 SUBSIDIARIES OF REGISTRANT Alector LLC |
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| February 24, 2022 |
Offer Letter dated February 4, 2022 by and between Alector, LLC and Marc Grasso, M.D. Exhibit 10.19 Friday, February 4th, 2022 Marc Grasso, MD [Contact information on file with the Company] Dear Marc, On behalf of Alector, LLC (the ?Company?), we are very pleased to provide this offer of employment as Chief Financial Officer and to set forth the terms of your employment with the Company. As part of the Alector team, you will play a vital role in our mission to develop therapies tha |
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| February 14, 2022 |
ALEC / Alector Inc / Rosenthal Arnon - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* ALECTOR, INC. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 014442 107 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| February 14, 2022 |
ALBO / Albireo Pharma Inc / FEDERATED HERMES, INC. Passive Investment OMB APPROVAL OMB Number: 3235-0145 Estimated average burden hours per response ?.11 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3*) ALECTOR, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 01345P106 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Stateme |
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| February 14, 2022 |
ALEC / Alector Inc / EcoR1 Capital, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) Alector, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 014442107 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| February 11, 2022 |
ALEC / Alector Inc / Polaris Venture Partners VI, L.P. - SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 2) Alector, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 014442107 (CUSIP Number) December 31, 2021 (Date of E |
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| February 9, 2022 |
ALEC / Alector Inc / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* Name of issuer: Alector Inc. Title of Class of Securities: Common Stock CUSIP Number: 014442107 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ??Rule 1 |
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| February 7, 2022 |
Alector Announces Appointment of Marc Grasso, M.D., as Chief Financial Officer Exhibit 99.1 Alector Announces Appointment of Marc Grasso, M.D., as Chief Financial Officer South San Francisco, Calif., February 7, 2022 - Alector, Inc. (Nasdaq: ALEC), a clinical-stage biotechnology company pioneering the discovery and development of immuno-neurology therapeutics, today announced the appointment of Marc Grasso, M.D., as Chief Financial Officer (CFO). Dr. Grasso brings extensive |
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| February 7, 2022 |
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 07, 2022 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| February 7, 2022 |
Offer Letter dated February 4, 2022 by and between Alector, Inc.and Marc Grasso, MD Exhibit 10.1 Friday, February 4th, 2022 Marc Grasso, MD 1607 Willow Avenue Burlingame CA 94010 [email protected] Mobile: (917) 690-1994 Dear Marc, On behalf of Alector, LLC (the ?Company?), we are very pleased to provide this offer of employment as Chief Financial Officer and to set forth the terms of your employment with the Company. As part of the Alector team, you will play a vital role in o |
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| January 3, 2022 |
2022 Inducement Equity Incentive Plan, as amended, and forms of agreement thereunder Exhibit 10.1 ALECTOR, INC. 2022 INDUCEMENT EQUITY INCENTIVE PLAN 1. Purpose of the Plan. The purpose of this Plan is to attract and retain the best available personnel for positions of substantial responsibility by providing an inducement material to individuals? entering into employment with the Company or any Parent or Subsidiary of the Company. The Plan permits the grant of Nonstatutory Stock O |
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| January 3, 2022 |
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 31, 2021 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| January 3, 2022 |
Exhibit 4.1 ALECTOR, INC. 2022 INDUCEMENT EQUITY INCENTIVE PLAN 1. Purpose of the Plan. The purpose of this Plan is to attract and retain the best available personnel for positions of substantial responsibility by providing an inducement material to individuals? entering into employment with the Company or any Parent or Subsidiary of the Company. The Plan permits the grant of Nonstatutory Stock Op |
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| January 3, 2022 |
As filed with the Securities and Exchange Commission on January 3, 2022 As filed with the Securities and Exchange Commission on January 3, 2022 Registration No. |
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| January 3, 2022 |
Exhibit 10.1 SEPARATION AGREEMENT AND RELEASE OF CLAIMS This Separation Agreement and Release of Claims (the ?Separation Agreement?) is entered into by and between Alector, LLC (?Alector? or the ?Company?) and Shehnaaz Suliman (?you? or ?your?). The term ?Party? or ?Parties? as used herein shall refer to you, the Company, or both, as may be appropriate. 1. Last Day of Employment. Your last day of |
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| January 3, 2022 |
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 1, 2022 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| December 15, 2021 |
Exhibit 99-2 Alector Announces Appointment of Sara Kenkare-Mitra, Ph.D., as President and Head of Research and Development South San Francisco, Calif., December 15, 2021 - Alector, Inc. (Nasdaq: ALEC), a clinical-stage biotechnology company pioneering immuno-neurology, today announced the appointment of Sara Kenkare-Mitra, Ph.D., as President and Head of Research and Development. In this newly cre |
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| December 15, 2021 |
Exhibit 99-1 November 30, 2021 Sara Kenkare-Mitra, Ph.D. 965 Hillsborough Blvd, Hillsborough, CA 94010 [email protected] 650-303-6774 Dear Sara, On behalf of Alector, LLC (the ?Company?), we are very pleased to provide this contingent offer of employment as President and Head of Research and Development and to set forth the terms of your employment with the Company. As part of the Alector team, |
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| December 15, 2021 |
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 15, 2021 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| November 4, 2021 |
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 04, 2021 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| November 4, 2021 |
CONFIDENTIAL CONSULTING AGREEMENT Exhibit 10.3 This Confidential Consulting Agreement (the ?Agreement?) is executed as of the date shown on the signature page (the ?Effective Date?), by and between FLG Partners, LLC, a California limited liability company (?FLG?), and the entity identified on the signature page (?Client?). RECITALS WHEREAS, FLG is in the business of providing certain financial ser |
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| November 4, 2021 |
Exhibit 99.1 Alector Reports Third Quarter 2021 Financial Results Initiated Phase 2 Clinical Trial of AL001 for the Treatment of Amyotrophic Lateral Sclerosis Executed a Global Collaboration with GSK to Co-development and Co-commercialize Alector?s Progranulin Franchise Molecules for the Treatment of a Range of Neurodegenerative Diseases South San Francisco, California, November 4, 2021 - Alector, |
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| November 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 001-38792 Alecto |
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| September 28, 2021 |
Alector Announces Appointment of Elizabeth A. Garofalo, M.D., to its Board of Directors Exhibit 99.1 Alector Announces Appointment of Elizabeth A. Garofalo, M.D., to its Board of Directors South San Francisco, Calif., September 28, 2021 ? Alector, Inc. (Nasdaq: ALEC), a clinical-stage biotechnology company pioneering immuno-neurology, today announced the addition of Elizabeth (Betsy) A. Garofalo, M.D., to the Company?s Board of Directors. Dr. Garofalo is a veteran biopharmaceutical e |
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| September 28, 2021 |
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 23, 2021 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| September 8, 2021 |
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 08, 2021 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| September 7, 2021 |
Letter Agreement, dated September 7, 2021, by and between Robert Paul and Alector, LLC Exhibit 10.2 September 3, 2021 Re: Confirmation of Agreement to Separate Employment VIA EMAIL & REGULAR MAIL Robert Paul Re: Confirmation of Mutual Agreement to Separate Employment Dear Robert: This letter confirms your decision to voluntarily resign from Alector, LLC (the ?Company?) on December 31, 2021, unless extended in writing by mutual agreement of the parties hereto (the ?Separation Date?). |
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| September 7, 2021 |
Transition Agreement, dated September 7, 2021, by and between Shehnaaz Suliman and Alector, LLC Exhibit 10.1 TRANSITION AGREEMENT This Transition Agreement (the ?Transition Agreement?) is entered into by and between Alector, LLC (?Alector? or the ?Company?) and Shehnaaz Suliman (?you? or ?your?). The term ?Party? or ?Parties? as used herein shall refer to you, the Company, or both, as may be appropriate. 1. Separation Date. Your expected last day of employment with the Company is December 31 |
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| September 7, 2021 |
Exhibit 99.1 NEWS RELEASE Alector Provides Executive Leadership Update Planned Transitions Announced for Shehnaaz Suliman, M.D., MBA, MPhil, President and Chief Operating Officer and Robert Paul, M.D., Ph.D., Chief Medical Officer Sam Jackson, M.D., MBA, Appointed Interim Chief Medical Officer South San Francisco, California, September 7, 2021 ? Alector, Inc. (Nasdaq: ALEC), a clinical-stage biote |
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| September 7, 2021 |
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 7, 2021 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| August 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 001-38792 Alector, In |
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| August 3, 2021 |
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 03, 2021 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| August 3, 2021 |
Exhibit 99.1 Alector Reports Second Quarter 2021 Financial Results Presented twelve-month data from ongoing AL001 open-label Phase 2 study in FTD-GRN at the 2021 Alzheimer?s Association International Conference (AAIC) Announced global collaboration with GSK to co-develop and co-commercialize progranulin-elevating monoclonal antibodies, AL001 and AL101, for a range of neurodegenerative diseases Sou |
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| August 3, 2021 |
Exhibit 10.19 *** Certain information has been excluded from this agreement because it is both (i) not material and (ii) would be competitively harmful if publicly disclosed. COLLABORATION AND LICENSE AGREEMENT BY AND BETWEEN ALECTOR, INC. AND GLAXO WELLCOME UK LIMITED *** Certain information has been excluded from this agreement because it is both (i) not material and (ii) would be competitively |
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| July 29, 2021 |
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): July 29, 2021 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| July 29, 2021 |
Exhibit 99.1 Alector Presents 12-Month Results from the INFRONT-2 Phase 2 Open-label Clinical Study of AL001 for the Treatment of Symptomatic Frontotemporal Dementia Patients with a Progranulin Mutation AL001 Successfully Restored Progranulin to Normal Levels in FTD-GRN Patients Treatment with AL001 Slowed Clinical Progression by 47% Based on the CDR? plus NACC FTLD-SB Scale Relative to GENFI2 Mat |
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| July 12, 2021 |
ALEC / Alector Inc / EcoR1 Capital, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) Alector, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 014442107 (CUSIP Number) July 2, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant t |
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| July 7, 2021 |
Exhibit 99.1 PRESS RELEASE For media and investors only Issued: 7:30AM ET, 2 July 2021, London UK Alector and GSK announce global collaboration in immuno-neurology for two clinical stage first-in-class monoclonal antibodies for neurodegenerative diseases ? Alector and GSK to co-develop progranulin-elevating monoclonal antibodies, AL001 and AL101, for a range of neurodegenerative diseases, includin |
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| July 7, 2021 |
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 1, 2021 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| June 21, 2021 |
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 17, 2021 Alector, Inc. (Exact name of Registrant as Specified in Its Charter) Delaware 001-38792 82-2933343 (State or Other Jurisdiction of Incorporation) (Commission File Number |
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| May 5, 2021 |
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 Alector, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38792 82-2933343 (State or other jurisdiction of incorporation) (Commission File Number) ( |
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| May 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 001-38792 Alector, I |
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| May 5, 2021 |
Alector Reports 2021 First Quarter Financial Results and Provides Business Update Exhibit 99.1 Alector Reports 2021 First Quarter Financial Results and Provides Business Update - Enrollment ongoing for AL001 INFRONT-3 Phase 3 trial in frontotemporal dementia with a progranulin mutation and for AL002 INVOKE-2 Phase 2 trial in early Alzheimer?s disease patients - Three abstracts accepted for presentation at 2021 Alzheimer?s Association International Conference (AAIC), including u |
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| April 28, 2021 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 28, 2021 |
DEFA14A 1 d167600ddefa14a.htm DEFA14A 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 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 |
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| March 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K 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, 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 001-38792 |
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| March 26, 2021 |
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 23, 2021 Alector, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38792 82-2933343 (State or other jurisdiction of incorporation) (Commission File Number |
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| March 26, 2021 |
Retention Letter Agreement, dated March 23, 2021, among Mr. Calvin Yu and Alector, Inc. Exhibit 10.1 March 23, 2021 Calvin Yu c/o Alector, LLC Dear Calvin: On behalf of Alector, LLC (the ?Company?), I am pleased to inform you that you have been awarded a cash retention bonus of $180,000 (the ?Retention Bonus?), which will be paid (less applicable withholdings) on the following dates (each, a ?Retention Date?), subject to your continued employment with the Company through each such Re |
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| March 5, 2021 |
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 1, 2021 Alector, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38792 82-2933343 (State or other jurisdiction of incorporation) (Commission File Number) |
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| February 25, 2021 |
S-8 1 alec-s8.htm S-8 As filed with the Securities and Exchange Commission on February 25, 2021 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ALECTOR, INC. (Exact name of registrant as specified in its charter) Delaware 82-2933343 (State or other jurisdiction of incorporation or organiz |
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| February 25, 2021 |
Description of securities of the Registrant. Exhibit 4.3 DESCRIPTION OF CAPITAL STOCK The following description summarizes certain important terms of the capital stock of Alector, Inc. (the ?company,? ?we,? ?us? and ?our?), as well as certain provisions of our amended and restated certificate of incorporation and amended and restated bylaws. This summary does not purport to be complete and is qualified in its entirety by the provisions of ou |
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| February 25, 2021 |
Alector Reports 2020 Fourth Quarter and Full Year Financial Results and Provides Business Update Exhibit 99.1 Alector Reports 2020 Fourth Quarter and Full Year Financial Results and Provides Business Update - Continued execution across broad immuno-neurology portfolio, multiple milestones expected in 2021 - Initiated AL001 INFRONT-3 Phase 3 trial in people with frontotemporal dementia with a progranulin mutation; pipeline expansion to ALS planned for 2021 - Initiated AL002 INVOKE-2 Phase 2 tr |
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| February 25, 2021 |
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 001-38792 Alector, Inc. ( |
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| February 25, 2021 |
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 Alector, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38792 82-2933343 (State or other jurisdiction of incorporation) (Commission File Num |
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| February 25, 2021 |
List of subsidiaries of Registrant. Exhibit 21.1 SUBSIDIARIES OF REGISTRANT Alector LLC |
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| February 12, 2021 |
OMB APPROVAL OMB Number: 3235-0145 Estimated average burden hours per response ….11 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2*) ALECTOR, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 01345P106 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Stateme |
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| February 12, 2021 |
SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 1) Alector, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 014442107 (CUSIP Number) December 31, 2020 ( |
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| February 10, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: Alector Inc. Title of Class of Securities: Common Stock CUSIP Number: 014442107 Date of Event Which Requires Filing of this Statement: December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 13d-1(b) ☐ Rule 13d-1 |
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| January 20, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits - 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 20, 2021 Alector, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38792 82-2933343 (State or other jurisdiction of incorporation) (Commission File Numb |
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| January 20, 2021 |
Alector Announces Departure of Chief Business Officer Exhibit 99.1 Alector Announces Departure of Chief Business Officer • Sabah Oney steps down as from a role held since January 2018; joined Alector in October 2016 • The departure will be effective February 1, 2021; will assist in transition until May 3, 2021 SOUTH SAN FRANCISCO, Calif., Jan. 20, 2021 - Alector, Inc. (Nasdaq: ALEC), a clinical-stage biotechnology company pioneering immuno-neurology, |
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| November 10, 2020 |
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 10, 2020 Alector, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38792 82-2933343 (State or other jurisdiction of incorporation) (Commission File Num |
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| November 10, 2020 |
Alector Reports Third Quarter 2020 Financial Results and Provides Corporate Update Exhibit 99.1 Alector Reports Third Quarter 2020 Financial Results and Provides Corporate Update - Global Phase 3 INFRONT-3 trial evaluating AL001 for treatment of frontotemporal dementia due to a progranulin gene mutation (FTD-GRN) currently enrolling participants - On track to initiate Phase 2 study for AL002 in Alzheimer’s disease in 2020 - $461.7 million in cash and investments to support execu |
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| November 10, 2020 |
ALBO / Albireo Pharma, Inc. / FEDERATED HERMES, INC. Passive Investment OMB APPROVAL OMB Number: 3235-0145 Estimated average burden hours per response ….11 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1*) ALECTOR, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 01345P106 (CUSIP Number) October 31, 2020 (Date of Event Which Requires Filing of this Statemen |
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| November 10, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 001-38792 Alecto |
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| October 6, 2020 |
Amended and Restated Bylaws of the Registrant. Exhibit 3.1 AMENDED AND RESTATED BYLAWS OF ALECTOR, INC. (initially adopted on September 19, 2017) (as amended and restated on September 30, 2020) TABLE OF CONTENTS Page ARTICLE I - CORPORATE OFFICES 1 1.1 REGISTERED OFFICE1 1.2 OTHER OFFICES1 ARTICLE II - MEETINGS OF STOCKHOLDERS 1 2.1 PLACE OF MEETINGS1 2.2 ANNUAL MEETING1 2.3 SPECIAL MEETING1 2.4 ADVANCE NOTICE PROCEDURES2 2.5 NOTICE OF STOCKHO |
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| October 6, 2020 |
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 30, 2020 Alector, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38792 82-2933343 (State or other jurisdiction of incorporation) (Commission File Nu |
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| August 11, 2020 |
Alector Reports Second Quarter 2020 Financial Results and Provides Corporate Update Exhibit 99.1 Alector Reports Second Quarter 2020 Financial Results and Provides Corporate Update - Pivotal Phase 3 trial of AL001 initiated for treatment of frontotemporal dementia due to a progranulin gene mutation (FTD-GRN) - Promising preliminary data from AL001 Phase 1b and Phase 2 open-label studies presented at Alzheimer’s Association International Conference - AL002, AL003 and AL014 program |
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| August 11, 2020 |
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 11, 2020 Alector, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38792 82-2933343 (State or other jurisdiction of incorporation) (Commission File Numbe |
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| August 11, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 001-38792 Alector, In |
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| July 16, 2020 |
Exhibit 1 JOINT FILING AGREEMENT The undersigned hereby agree that the Amendment No. |
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| July 16, 2020 |
ALEC / Alector, Inc. / ORBIMED ADVISORS LLC - AMENDMENT NO. 9 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 9) Alector, Inc. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 014442107 (CUSIP Number) OrbiMed Advisors LLC OrbiMed Capital GP IV LLC 601 Lexington Avenue, 54th Floor New York, NY 10022 Telephone: (212) 739-6400 (Name, Address and Telephone N |
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| July 10, 2020 |
Exhibit 1 JOINT FILING AGREEMENT The undersigned hereby agree that the Amendment No. |
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| July 10, 2020 |
ALEC / Alector, Inc. / ORBIMED ADVISORS LLC - AMENDMENT NO. 8 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8) Alector, Inc. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 014442107 (CUSIP Number) OrbiMed Advisors LLC OrbiMed Capital GP IV LLC 601 Lexington Avenue, 54th Floor New York, NY 10022 Telephone: (212) 739-6400 (Name, Address and Telephone N |
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| June 4, 2020 |
ALEC / Alector, Inc. / ORBIMED ADVISORS LLC - AMENDMENT NO. 7 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7) Alector, Inc. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 014442107 (CUSIP Number) OrbiMed Advisors LLC OrbiMed Capital GP IV LLC 601 Lexington Avenue, 54th Floor New York, NY 10022 Telephone: (212) 739-6400 (Name, Address and Telephone N |
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| June 4, 2020 |
Exhibit 1 JOINT FILING AGREEMENT The undersigned hereby agree that the Amendment No. |
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| May 15, 2020 |
Submission of Matters to a Vote of Security Holders 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 11, 2020 Alector, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38792 82-2933343 (State or other jurisdiction of incorporation) (Commission File Numb |
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| May 13, 2020 |
424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration Number 333-238230 CALCULATION OF REGISTRATION FEE Title of Securities to be Registered Proposed Maximum Aggregate Offering Price Amount of Registration Fee (1) Common stock, par value $0. |
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| May 13, 2020 |
Alector Reports 2020 First Quarter Financial Results and Business Highlights Exhibit 99.1 Alector Reports 2020 First Quarter Financial Results and Business Highlights • Provides business continuity update regarding COVID-19 • Continued execution across immuno-neurology platform • On track to initiate pivotal Phase 3 trial of AL001 in patients with frontotemporal dementia with a progranulin mutation (FTD-GRN) and a Phase 2 study of AL002 in Alzheimer’s disease patients in 2 |
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| May 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 001-38792 Alector, I |
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| May 13, 2020 |
S-3ASR Table of Contents As filed with the Securities and Exchange Commission on May 13, 2020 Registration No. |
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| May 13, 2020 |
EX-1.1 Exhibit 1.1 ALECTOR, INC. COMMON STOCK, PAR VALUE $ 0.0001 PER SHARE EQUITY DISTRIBUTION AGREEMENT May 13, 2020 May 13, 2020 Morgan Stanley & Co. LLC Goldman Sachs & Co. LLC c/o Morgan Stanley & Co. LLC 1585 Broadway New York, New York 10036 c/o Goldman Sachs & Co. LLC 200 West Street New York, New York 10282 Ladies and Gentlemen: Alector, Inc., a Delaware corporation (the “Company”), propo |
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| May 13, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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, 2020 Alector, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38792 82-2933343 (State or other jurisdiction of incorporation) (Commission File Number) |
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| May 13, 2020 |
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, 2020 Alector, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38792 82-2933343 (State or other jurisdiction of incorporation) (Commission File Number) |
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| April 17, 2020 |
Exhibit 1 JOINT FILING AGREEMENT The undersigned hereby agree that the Amendment No. |
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| April 17, 2020 |
ALEC / Alector, Inc. / ORBIMED ADVISORS LLC - AMENDMENT NO. 6 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6) Alector, Inc. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 014442107 (CUSIP Number) OrbiMed Advisors LLC OrbiMed Capital GP IV LLC 601 Lexington Avenue, 54th Floor New York, NY 10022 Telephone: (212) 739-6400 (Name, Address and Telephone N |
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| April 9, 2020 |
ALEC / Alector, Inc. 144 - - NOTICE OF PROPOSED SALE OF SECURITIES UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101 Washington, D. |
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| April 9, 2020 |
ALEC / Alector, Inc. 144 - - NOTICE OF PROPOSED SALE OF SECURITIES 144 1 ss171312144.htm NOTICE OF PROPOSED SALE OF SECURITIES UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101 Washington, D.C. 20549 Expires: June 30, 2020 Estimated average burden FORM 144 hours per response 1.00 NOTICE OF PROPOSED SALE OF SECURITIES SEC USE ONLY PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. CUSIP NUMBER ATTENTION: T |
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| March 30, 2020 |
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 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 State |
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| March 30, 2020 |
ALEC / Alector, Inc. 144 - - NOTICE OF PROPOSED SALE OF SECURITIES UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101 Washington, D. |
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| March 30, 2020 |
ALEC / Alector, Inc. DEFA14A - - DEFA14A 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 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 State |
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| March 30, 2020 |
ALEC / Alector, Inc. 144 - - NOTICE OF PROPOSED SALE OF SECURITIES UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101 Washington, D. |
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| March 24, 2020 |
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 20, 2020 Alector, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38792 82-2933343 (State or other jurisdiction of incorporation) (Commission File Number |
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| March 24, 2020 |
ALEC / Alector, Inc. 144 - - NOTICE OF PROPOSED SALE OF SECURITIES UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101 Washington, D. |
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| March 24, 2020 |
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 001-38792 Alector, Inc. ( |
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| March 24, 2020 |
Description of securities of the Registrant. Exhibit 4.3 DESCRIPTION OF CAPITAL STOCK The following description summarizes certain important terms of the capital stock of Alector, Inc. (the “company,” “we,” “us” and “our”), as well as certain provisions of our amended and restated certificate of incorporation and amended and restated bylaws. This summary does not purport to be complete and is qualified in its entirety by the provisions of ou |
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| March 24, 2020 |
Alector Reports 2019 Fourth Quarter and Full Year Financial Results and Business Highlights Exhibit 99.1 Alector Reports 2019 Fourth Quarter and Full Year Financial Results and Business Highlights • Continued execution across immuno-neurology platform, with multiple clinical, regulatory and operational milestones achieved in 2019 • On track to initiate pivotal Phase 3 trial in patients with frontotemporal dementia with a progranulin mutation (FTD-GRN) in 2020 • Strengthened balance sheet |
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| March 24, 2020 |
Outside Director Compensation Policy. Exhibit 10.11 ALECTOR, INC. OUTSIDE DIRECTOR COMPENSATION POLICY Approved March 2020 Alector, Inc. (the “Company”) believes that providing cash and equity compensation to members of its Board of Directors (the “Board,” and members of the Board, the “Directors”) represents an effective tool to attract, retain and reward Directors who are not employees of the Company (the “Outside Directors”). This |
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| March 24, 2020 |
ALEC / Alector, Inc. 144 - - NOTICE OF PROPOSED SALE OF SECURITIES UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101 Washington, D. |
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| March 24, 2020 |
ALEC / Alector, Inc. S-8 - - S-8 As filed with the Securities and Exchange Commission on March 24, 2020 Registration No. |
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| March 24, 2020 |
Alector Announces the Appointment of Paula Hammond, Ph.D., to the Board of Directors Exhibit 99.2 Alector Announces the Appointment of Paula Hammond, Ph.D., to the Board of Directors SOUTH SAN FRANCISCO, Calif., March 23, 2020 (GLOBE NEWSWIRE) - Alector, Inc. (Nasdaq: ALEC) today announced the addition of Paula Hammond, Ph.D., to the Company’s Board of Directors. Dr. Hammond is the David H. Koch Chair Professor of Engineering and Department Head, Chemical Engineering at the Massac |
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| March 9, 2020 |
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 5, 2020 Alector, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38792 82-2933343 (State or other jurisdiction of incorporation) (Commission File Num |
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| March 4, 2020 |
Exhibit 1 JOINT FILING AGREEMENT The undersigned hereby agree that the Amendment No. |
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| March 4, 2020 |
ALEC / Alector, Inc. / ORBIMED ADVISORS LLC - AMENDMENT NO. 5 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5) Alector, Inc. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 014442107 (CUSIP Number) OrbiMed Advisors LLC OrbiMed Capital GP IV LLC OrbiMed Capital LLC 601 Lexington Avenue, 54th Floor New York, NY 10022 Telephone: (212) 739-6400 (Name, Add |
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| February 13, 2020 |
BIOD / Biodel, Inc. / FEDERATED INVESTORS INC /PA/ Passive Investment OMB APPROVAL OMB Number: 3235-0145 Estimated average burden hours per response ….11 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. *) ALECTOR, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 01345P106 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statemen |
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| February 12, 2020 |
EX-99.C Exhibit C POWER OF ATTORNEY The undersigned (the “Reporting Person”) hereby constitutes and appoints Lauren Crockett, signing singly, with full power of substitution, as the Reporting Person’s true and lawful attorney in fact to: (1) prepare, execute in the Reporting Person’s name and on the Reporting Person’s behalf, and submit to the U.S. Securities and Exchange Commission (the “SEC”) a |
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| February 12, 2020 |
AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13G EX-99.A Exhibit A AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13G The undersigned, being duly authorized thereunto, hereby execute this agreement as an exhibit to this Schedule 13G to evidence the agreement of the below-named parties, in accordance with the rules promulgated pursuant to the Securities Exchange Act of 1934, to file this Schedule and all amendments thereto jointly on behalf of |
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| February 12, 2020 |
EX-99.B Exhibit B POWER OF ATTORNEY The undersigned (the “Reporting Person”) hereby constitutes and appoints Lauren Crockett, signing singly, with full power of substitution, as the Reporting Person’s true and lawful attorney in fact to: (1) prepare, execute in the Reporting Person’s name and on the Reporting Person’s behalf, and submit to the U.S. Securities and Exchange Commission (the “SEC”) a |
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| February 12, 2020 |
ALEC / Alector, Inc. / Polaris Venture Partners VI, L.P. - SC 13G Passive Investment SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. ) Alector, Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 014442107 (CUSIP Number) December 31, 2019 (Dat |
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| February 5, 2020 |
Exhibit 1 JOINT FILING AGREEMENT The undersigned hereby agree that the Amendment No. |
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| February 5, 2020 |
ALEC / Alector, Inc. / ORBIMED ADVISORS LLC - AMENDMENT NO. 4 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4) Alector, Inc. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 014442107 (CUSIP Number) OrbiMed Advisors LLC OrbiMed Capital GP IV LLC OrbiMed Capital LLC 601 Lexington Avenue, 54th Floor New York, NY 10022 Telephone: (212) 739-6400 (Name, Add |
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| February 4, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, 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) January 29, 2020 Alector, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38792 82-2933343 (State or other jurisdiction of incorporation) (Commission File |
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| February 4, 2020 |
EX-1.1 Exhibit 1.1 8,350,000 Shares ALECTOR, INC. COMMON STOCK, PAR VALUE $ 0.0001 PER SHARE UNDERWRITING AGREEMENT January 29, 2020 January 29, 2020 Morgan Stanley & Co. LLC Goldman Sachs & Co. LLC BofA Securities, Inc. Cowen and Company, LLC c/o Morgan Stanley & Co. LLC 1585 Broadway New York, New York 10036 c/o Goldman Sachs & Co. LLC 200 West Street New York, New York 10282 c/o BofA Securities |
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| February 4, 2020 |
EX-99.1 Exhibit 99.1 Alector Announces Closing of Public Offering of Common Stock and Full Exercise of Underwriters’ Option to Purchase Additional Shares • Total gross proceeds from the offering to Alector are approximately $240 million SOUTH SAN FRANCISCO, Calif. – February 3, 2020 — Alector, Inc. (Nasdaq: ALEC), a clinical-stage biotechnology company pioneering immuno-neurology, today announced |
