Filing Details
- Accession Number:
- 0000899243-20-019911
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-07-21 20:01:50
- Reporting Period:
- 2020-07-21
- Accepted Time:
- 2020-07-21 20:01:50
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1810182 | Alx Oncology Holdings Inc | ALXO | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1278411 | S Corey Goodman | C/O Venbio Partners, Llc 1700 Owens Street, Suite 595 San Francisco CA 94010 | Yes | No | Yes | Yes |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2020-07-21 | 3,100,020 | $0.00 | 3,969,789 | No | 4 | C | Indirect | See footnote |
| Common Stock | Acquisiton | 2020-07-21 | 850,000 | $19.00 | 850,000 | No | 4 | P | Indirect | See footnote |
| Common Stock | Acquisiton | 2020-07-21 | 3,941,949 | $0.00 | 5,268,325 | No | 4 | C | Indirect | See footnote |
| Common Stock | Acquisiton | 2020-07-21 | 93,969 | $0.00 | 113,287 | No | 4 | C | Indirect | See footnote |
| Common Stock | Acquisiton | 2020-07-21 | 52,647 | $0.00 | 54,083 | No | 4 | C | Indirect | See footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See footnote |
| No | 4 | P | Indirect | See footnote |
| No | 4 | C | Indirect | See footnote |
| No | 4 | C | Indirect | See footnote |
| No | 4 | C | Indirect | See footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Convertible Stock | Disposition | 2020-07-21 | 3,100,020 | $0.00 | 3,100,020 | $0.00 |
| Common Stock | Series A Convertible Stock | Disposition | 2020-07-21 | 2,398,588 | $0.00 | 2,398,588 | $0.00 |
| Common Stock | Series B Convertible Stock | Disposition | 2020-07-21 | 490,411 | $0.00 | 490,411 | $0.00 |
| Common Stock | Series C Convertible Stock | Disposition | 2020-07-21 | 1,052,950 | $0.00 | 1,052,950 | $0.00 |
| Common Stock | Series A Convertible Stock | Disposition | 2020-07-21 | 78,175 | $0.00 | 78,175 | $0.00 |
| Common Stock | Series B Convertible Stock | Disposition | 2020-07-21 | 15,794 | $0.00 | 15,794 | $0.00 |
| Common Stock | Series C Convertible Stock | Disposition | 2020-07-21 | 52,647 | $0.00 | 52,647 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 461,811 | Indirect | See footnote |
Footnotes
- Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
- Includes 869,618 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
- The shares are held of record by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. The reporting person, a director of venBio Global Strategic GP, Ltd., disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein.
- The shares are held of record by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. The reporting person, a director of venBio Global Strategic GP II, Ltd., disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein.
- Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
- Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
- Includes 476,376 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
- Includes 19,318 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
- The shares are held of record by the Goodman Barinaga Trust for which the reporting person serves as trustee.
- Includes 1,436 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
- The shares are held of record by Emaldi Corporation for which the reporting person serves as a director. The reporting person disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein.
- The shares are held of record by venBio SPV, LLC, which is wholly-owned by venBio Global Strategic Fund, L.P. The reporting person, a managing director of venBio SPV, LLC, disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein.
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