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Share Name | Share Symbol | Market | Type |
---|---|---|---|
ALX Oncology Holdings Inc | NASDAQ:ALXO | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
-0.32 | -1.89% | 16.62 | 16.29 | 18.00 | 17.45 | 16.53 | 17.45 | 494,357 | 22:30:00 |
1. Name and Address of Reporting Person * LSV Associates, LLC | 2. Issuer Name and Ticker or Trading Symbol ALX ONCOLOGY HOLDINGS INC [ ALXO ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
3. Date of Earliest Transaction
(MM/DD/YYYY)
| ||
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code (Instr. 8) |
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 7/21/2020 | C | 1831027 | A | (1)(2)(3) | 2268087 (4) | I | See footnote (5) | ||
Common Stock | 7/21/2020 | C | 249632 | A | (1)(2)(3) | 309222 (6) | I | See footnote (7) | ||
Common Stock | 7/21/2020 | P | 378000 | A | $19.00 | 378000 | I | See footnote (8) | ||
Common Stock | 7/21/2020 | C | 1498984 | A | (1)(2)(3) | 2023469 (9) | I | See footnote (8) | ||
Common Stock | 7/21/2020 | P | 22000 | A | $19.00 | 22000 | I | See footnote (10) | ||
Common Stock | 7/21/2020 | C | 111528 | A | (1)(2)(3) | 120212 (11) | I | See footnote (10) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A Convertible Preferred Stock | (1) | 7/21/2020 | C | 1633743 | (1) | (1) | Common Stock | 1633743 | (1) | 0 | I | See footnote (5) | |||
Series A Convertible Preferred Stock | (1) | 7/21/2020 | C | 222752 | (1) | (1) | Common Stock | 222752 | (1) | 0 | I | See footnote (7) | |||
Series A Convertible Preferred Stock | (1) | 7/21/2020 | C | 683523 | (1) | (1) | Common Stock | 683523 | (1) | 0 | I | See footnote (8) | |||
Series A Convertible Preferred Stock | (1) | 7/21/2020 | C | 39758 | (1) | (1) | Common Stock | 39758 | (1) | 0 | I | See footnote (10) | |||
Series B Convertible Preferred Stock | (2) | 7/21/2020 | C | 59998 | (2) | (2) | Common Stock | 59998 | (2) | 0 | I | See footnote (5) | |||
Series B Convertible Preferred Stock | (2) | 7/21/2020 | C | 8175 | (2) | (2) | Common Stock | 8175 | (2) | 0 | I | See footnote (7) | |||
Series B Convertible Preferred Stock | (2) | 7/21/2020 | C | 150801 | (2) | (2) | Common Stock | 150801 | (2) | 0 | I | See footnote (8) | |||
Series B Convertible Preferred Stock | (2) | 7/21/2020 | C | 11110 | (2) | (2) | Common Stock | 11110 | (2) | 0 | I | See footnote (10) | |||
Series C Convertible Preferred Stock | (3) | 7/21/2020 | C | 137286 | (3) | (3) | Common Stock | 137286 | (3) | 0 | I | See footnote (5) | |||
Series C Convertible Preferred Stock | (3) | 7/21/2020 | C | 18705 | (3) | (3) | Common Stock | 18705 | (3) | 0 | I | See footnote (7) | |||
Series C Convertible Preferred Stock | (3) | 7/21/2020 | C | 664660 | (3) | (3) | Common Stock | 664660 | (3) | 0 | I | See footnote (8) | |||
Series C Convertible Preferred Stock | (3) | 7/21/2020 | C | 38660 | (3) | (3) | Common Stock | 38660 | (3) | 0 | I | See footnote (10) |
Reporting Owners | |||||
Reporting Owner Name / Address | |||||
Director | 10% Owner | Officer | Other | ||
LSV Associates, LLC C/O LSV CAPITAL MANAGEMENT, LLC 2884 SAND HILL ROAD, SUITE 121 MENLO PARK, CA 94025 | X | ||||
Lightstone Ventures, L.P. C/O LSV CAPITAL MANAGEMENT, LLC 2884 SAND HILL ROAD, SUITE 121 MENLO PARK, CA | X | ||||
Lightstone Ventures (A), L.P. C/O LSV CAPITAL MANAGEMENT, LLC 2884 SAND HILL ROAD, SUITE 121 MENLO PARK, CA 94025 | X | ||||
Lightstone Ventures II, L.P. C/O LSV CAPITAL MANAGEMENT, LLC 2884 SAND HILL ROAD, SUITE 121 MENLO PARK, CA 94025 | X | ||||
Lightstone Ventures II (A), L.P. C/O LSV CAPITAL MANAGEMENT, LLC 2884 SAND HILL ROAD, SUITE 121 MENLO PARK, CA 94025 | X | ||||
LSV Associates II, LLC C/O LSV CAPITAL MANAGEMENT, LLC 2884 SAND HILL ROAD, SUITE 121 MENLO PARK, CA 94025 | X | ||||
Carusi Michael A C/O LSV CAPITAL MANAGEMENT, LLC 2884 SAND HILL ROAD, SUITE 121 MENLO PARK, CA 94025 | X | ||||
George Jean C/O LSV CAPITAL MANAGEMENT, LLC 2884 SAND HILL ROAD, SUITE 121 MENLO PARK, CA 94025 | X | ||||
Plain Henry A JR C/O LSV CAPITAL MANAGEMENT, LLC 2884 SAND HILL ROAD, SUITE 121 MENLO PARK, CA 94025 | X |
Signatures | ||
/s/ Travis Boettner, by power of attorney for LSV Associates, LLC, the General Partner of Lightstone Ventures, L.P. | 7/21/2020 | |
**Signature of Reporting Person | Date | |
/s/ Travis Boettner, by power of attorney for LSV Associates, LLC, the General Partner of Lightstone Ventures(A), L.P. | 7/21/2020 | |
**Signature of Reporting Person | Date | |
/s/ Travis Boettner, by power of attorney for LSV Associates, LLC | 7/21/2020 | |
**Signature of Reporting Person | Date | |
/s/ Travis Boettner, by power of attorney for LSV Associates II, LLC, the General Partner of Lightstone Ventures II, L.P. | 7/21/2020 | |
**Signature of Reporting Person | Date | |
/s/ Travis Boettner, by power of attorney for LSV Associates II, LLC, the General Partner of Lightstone Ventures II(A), L.P. | 7/21/2020 | |
**Signature of Reporting Person | Date | |
/s/ Travis Boettner, by power of attorney for LSV Associates II, LLC | 7/21/2020 | |
**Signature of Reporting Person | Date | |
/s/ Travis Boettner, by power of attorney for Michael A. Carusi | 7/21/2020 | |
**Signature of Reporting Person | Date | |
/s/ Travis Boettner, by power of attorney for Jean M. George | 7/21/2020 | |
**Signature of Reporting Person | Date | |
/s/ Travis Boettner, by power of attorney for Henry A. Plain, Jr. | 7/21/2020 | |
**Signature of Reporting Person | Date |
1 Year ALX Oncology Chart |
1 Month ALX Oncology Chart |
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