Filing Details
- Accession Number:
- 0000905148-20-000827
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-07-21 21:29:11
- Reporting Period:
- 2020-07-21
- Accepted Time:
- 2020-07-21 21:29:11
- 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 |
|---|---|---|---|---|---|---|---|
| 1329161 | J Robert Adelman | 1700 Owens Street Suite 595 San Francisco CA 94158 | No | No | No | No | |
| 1504130 | Venbio Global Strategic Fund, L.p. | 1700 Owens Street, Suite 595 San Francisco CA 94158 | No | No | No | No | |
| 1634632 | L.p. Ii Fund Strategic Global Venbio | 1700 Owens Street Suite 595 San Francisco CA 94158 | No | No | No | No | |
| 1729408 | Venbio Global Strategic Gp Ii, Ltd. | 1700 Owens Street Suite 595 San Francisco CA 94158 | No | No | No | No | |
| 1729409 | Venbio Global Strategic Gp Ii, L.p. | 1700 Owens Street Suite 595 San Francisco CA 94158 | No | No | No | No | |
| 1770834 | Venbio Global Strategic Gp, L.p. | 1700 Owens Street, Suite 595 San Francisco CA 94158 | No | No | No | No | |
| 1770835 | Venbio Global Strategic Gp, Ltd. | 1700 Owens Street, Suite 595 San Francisco CA 94158 | No | 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 | 78,175 | $0.00 | 96,406 | No | 4 | C | Direct | |
| 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 | 3,941,949 | $0.00 | 4,418,325 | No | 4 | C | Indirect | See footnote |
| Common Stock | Acquisiton | 2020-07-21 | 850,000 | $19.00 | 5,268,325 | No | 4 | P | Indirect | See footnote |
| Common Stock | Acquisiton | 2020-07-21 | 3,000 | $19.00 | 99,406 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | C | Indirect | See footnote |
| No | 4 | C | Indirect | See footnote |
| No | 4 | P | Indirect | See footnote |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Convertible Preferred Stock | Disposition | 2020-07-21 | 78,175 | $0.00 | 78,175 | $0.00 |
| Common Stock | Series A Convertible Preferred Stock | Disposition | 2020-07-21 | 3,100,020 | $0.00 | 3,100,020 | $0.00 |
| Common Stock | Series A Convertible Preferred Stock | Disposition | 2020-07-21 | 2,398,588 | $0.00 | 2,398,588 | $0.00 |
| Common Stock | Series B Convertible Preferred Stock | Disposition | 2020-07-21 | 490,411 | $0.00 | 490,411 | $0.00 |
| Common Stock | Series C Convertible Preferred Stock | Disposition | 2020-07-16 | 1,052,950 | $0.00 | 1,052,950 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct | ||
| 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 footnotes |
Footnotes
- The shares are held 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. Robert Adelman is a director of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd. and Mr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.
- The shares are held by venBio SPV, LLC, which is wholly-owned by venBio Global Strategic Fund, L.P. Robert Adelman is a managing director of venBio SPV, LLC and disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein.
- Includes 869,618 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
- 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 476,376 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
- The shares are held 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. Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, and Mr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.
- The shares are held by Robert Adelman directly.
- 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 18,231 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
Billionaire Hedge Funds
