Filing Details
- Accession Number:
- 0000899243-20-019913
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-07-21 20:04:53
- Reporting Period:
- 2020-07-21
- Accepted Time:
- 2020-07-21 20:04:53
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1810182 | Alx Oncology Holdings Inc | ALXO | () | DE |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1777517 | Walmsley G. Graham | C/O Logos Global Management, Lp 1 Letterman Drive, Bldg D, Suite D3-700 San Francisco CA 94129 | Yes | No | No | No |
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 | 2,105,901 | $0.00 | 2,161,981 | No | 4 | C | Indirect | See footnote |
Common Stock | Acquisiton | 2020-07-21 | 975,000 | $19.00 | 975,000 | No | 4 | P | 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 |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series C Convertible Preferred Stock | Disposition | 2020-07-21 | 2,105,901 | $0.00 | 2,105,901 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Indirect |
Footnotes
- 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 56,080 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 Logos Opportunities Fund I, L.P. (LOF I LP). As a managing member of Logos Opportunities GP, LLC, the general partner of LOF I LP, the reporting person shares voting and dispositive power with respect to the shares held of record by LOF I LP but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.
- The shares are held of record by Logos Global Master Fund, L.P. (LGMF LP). As a managing member of Logos GP LLC, the general partner of LGMF LP, the reporting person shares voting and dispositive power with respect to the shares held of record by LGMF LP but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.