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Filing Details

Accession Number:: 0000899243-20-019931
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-07-21 21:31:06
Reporting Period:: 2020-07-21

Accepted Time:: 2020-07-21 21:31:06
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
1688269	Jason Lettmann	C/O Lsv Capital Management, Llc 2884 Sand Hill Road, Suite 121 Menlo Park CA 94025		Yes	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	88,704	$0.00	107,220	No	4	C	Direct
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	Direct
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	78,175	$0.00	78,175	$0.00
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	10,529	$0.00	10,529	$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	Direct
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	Direct
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 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 18,516 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
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.
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 shares held of record by Lightstone Ventures, LP (LV LP) for which LSV Associates, LLC (LSV Associates) is the General Partner. The reporting person shares voting and dispositive power with respect to the shares held of record by LV LP but disclaims beneficial ownership of such shares except to the extent of his 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 shares held of record by Lightstone Ventures (A), LP (LV(A) LP) for which LSV Associates is the General Partner. The reporting person shares voting and dispositive power with respect to the shares held of record by LV(A) 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 Lightstone Ventures II, LP (LV II LP). As a managing director of LSV Associates II, LLC (LSV Associates II), the General Partner of LV II LP, the reporting person shares voting and dispositive power with respect to the shares held of record by LV II LP but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.
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(A), LP (LV II(A) LP). As a managing director of LSV Associates II, the reporting person shares voting and dispositive power with respect to the shares held of record by LV II(A) LP but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.
Includes 8,684 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.