Vivo Capital IX, LLC 3
3 · ALX ONCOLOGY HOLDINGS INC · Filed Jul 16, 2020
Insider Transaction Report
Form 3
Vivo Capital IX, LLC
10% Owner
Holdings
- (indirect: See footnote)
Series C Convertible Preferred Stock
→ Common Stock (3,158,851 underlying)
Footnotes (2)
- [F1]Each share of Series C Convertible Preferred Stock shall automatically convert into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and has no expiration date.
- [F2]The shares held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, the general partner of VIVO IX LP, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.