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Filing Details

Accession Number:: 0000899243-20-020030
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-07-22 16:18:34
Reporting Period:: 2020-07-21

Accepted Time:: 2020-07-22 16:18:34
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	Director	Officer	Large Shareholder	Other
1291804	Jean George	C/O Lsv Capital Management, Llc 2884 Sand Hill Road, Suite 121 Menlo Park CA 94025	No	No	Yes	No
1306506	A Michael Carusi	C/O Lsv Capital Management, Llc 2884 Sand Hill Road, Suite 121 Menlo Park CA 94025	No	No	Yes	No
1384286	Jr A Henry Plain	C/O Lsv Capital Management, Llc 2884 Sand Hill Road, Suite 121 Menlo Park CA 94025	No	No	Yes	No
1572522	Lightstone Ventures, L.p.	C/O Lsv Capital Management, Llc 2884 Sand Hill Road, Suite 121 Menlo Park CA	No	No	Yes	No
1572523	Lightstone Ventures (A), L.p.	C/O Lsv Capital Management, Llc 2884 Sand Hill Road, Suite 121 Menlo Park CA 94025	No	No	Yes	No
1643828	Lsv Associates, Llc	C/O Lsv Capital Management, Llc 2884 Sand Hill Road, Suite 121 Menlo Park CA 94025	No	No	Yes	No
1699565	Lightstone Ventures Ii, L.p.	C/O Lsv Capital Management, Llc 2884 Sand Hill Road, Suite 121 Menlo Park CA 94025	No	No	Yes	No
1706610	Lightstone Ventures Ii (A), L.p.	C/O Lsv Capital Management, Llc 2884 Sand Hill Road, Suite 121 Menlo Park CA 94025	No	No	Yes	No
1818388	Lsv Associates Ii, Llc	C/O Lsv Capital Management, Llc 2884 Sand Hill Road, Suite 121 Menlo Park CA 94025	No	No	Yes	No

Reported Non-Derivative Transactions

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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	1,831,027	$0.00	2,268,087	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2020-07-21	249,632	$0.00	309,222	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2020-07-21	378,000	$19.00	378,000	No	4	P	Indirect	See footnote
Common Stock	Acquisiton	2020-07-21	1,498,984	$0.00	2,023,469	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2020-07-21	22,000	$19.00	22,000	No	4	P	Indirect	See footnote
Common Stock	Acquisiton	2020-07-21	111,528	$0.00	120,212	No	4	C	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	P	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	P	Indirect	See footnote
No	4	C	Indirect	See footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A Convertible Preferred Stock	Disposition	2020-07-21	1,633,743	$0.00	1,633,743	$0.00
Common Stock	Series A Convertible Preferred Stock	Disposition	2020-07-21	222,752	$0.00	222,752	$0.00
Common Stock	Series A Convertible Preferred Stock	Disposition	2020-07-21	683,523	$0.00	683,523	$0.00
Common Stock	Series A Convertible Preferred Stock	Disposition	2020-07-21	39,758	$0.00	39,758	$0.00
Common Stock	Series B Convertible Preferred Stock	Disposition	2020-07-21	59,998	$0.00	59,998	$0.00
Common Stock	Series B Convertible Preferred Stock	Disposition	2020-07-21	8,175	$0.00	8,175	$0.00
Common Stock	Series B Convertible Preferred Stock	Disposition	2020-07-21	150,801	$0.00	150,801	$0.00
Common Stock	Series B Convertible Preferred Stock	Disposition	2020-07-21	11,110	$0.00	11,110	$0.00
Common Stock	Series C Convertible Preferred Stock	Disposition	2020-07-21	137,286	$0.00	137,286	$0.00
Common Stock	Series C Convertible Preferred Stock	Disposition	2020-07-21	18,705	$0.00	18,705	$0.00
Common Stock	Series C Convertible Preferred Stock	Disposition	2020-07-21	664,660	$0.00	664,660	$0.00
Common Stock	Series C Convertible Preferred Stock	Disposition	2020-07-21	38,660	$0.00	38,660	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect

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.
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 437,060 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 Lightstone Ventures, LP (LV LP). LSV Associates, LLC (LSV Associates), the General Partner of LV LP, and Michael A. Carusi, Jean M. George and Henry A. Plain, Jr., the individual managing directors of LSV Associates, share voting and dispositive power with respect to the shares held of record by LV LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein.
Includes 59,590 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 Lightstone Ventures (A), LP (LV(A) LP). LSV Associates, the General Partner of LV(A) LP, and Mr. Carusi, Ms. George and Mr. Plain, the individual managing directors of LSV Associates, share voting and dispositive power with respect to the shares held of record by LV(A) LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein.
The shares are held of record by Lightstone Ventures II, LP (LV II LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV II LP, and Mr. Carusi, Ms. George, Mr. Plain and Jason W. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports.
Includes 146,485 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 Lightstone Ventures II, LP (LV II(A) LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV(A) II LP, and Mr. Carusi, Ms. George, Mr. Plain and Mr. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II(A) LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports.
Includes 8,684 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.