Earnings Feed
Start Free
Home/Filings/3/0000899243-20-019470
3//SEC Filing

LSV Associates, LLC 3

Accession 0000899243-20-019470

CIK 0001810182other
View on SEC.govCompany Profile

Filed

Jul 15, 8:00 PM ET

Accepted

Jul 16, 8:45 PM ET

Size

36.8 KB

Accession

0000899243-20-019470

Insider Transaction Report

Form 3
Period: 2020-07-16
ALX ONCOLOGY HOLDINGS INCALXO
Lightstone Ventures, L.P.
10% Owner
Holdings

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (38,660 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (11,110 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (664,660 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (8,175 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (18,705 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (1,633,743 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (683,523 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (222,752 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (59,998 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (150,801 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (39,758 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (137,286 underlying)
Lightstone Ventures (A), L.P.
10% Owner
Holdings

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (683,523 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (38,660 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (39,758 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (8,175 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (150,801 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (137,286 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (18,705 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (664,660 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (1,633,743 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (222,752 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (59,998 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (11,110 underlying)
Lightstone Ventures II, L.P.
10% Owner
Holdings

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (39,758 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (150,801 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (137,286 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (18,705 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (664,660 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (683,523 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (38,660 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (1,633,743 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (59,998 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (8,175 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (11,110 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (222,752 underlying)
Lightstone Ventures II (A), L.P.
10% Owner
Holdings

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (222,752 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (683,523 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (59,998 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (8,175 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (137,286 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (664,660 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (11,110 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (18,705 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (38,660 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (1,633,743 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (39,758 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (150,801 underlying)
LSV Associates II, LLC
10% Owner
Holdings

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (1,633,743 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (683,523 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (150,801 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (137,286 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (39,758 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (38,660 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (222,752 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (59,998 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (8,175 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (18,705 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (11,110 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (664,660 underlying)
Carusi Michael A
10% Owner
Holdings

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (222,752 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (683,523 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (18,705 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (59,998 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (8,175 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (150,801 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (137,286 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (1,633,743 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (39,758 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (38,660 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (11,110 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (664,660 underlying)
LSV Associates, LLC
10% Owner
Holdings

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (222,752 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (137,286 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (38,660 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (683,523 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (59,998 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (18,705 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (664,660 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (8,175 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (1,633,743 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (39,758 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (150,801 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (11,110 underlying)
George Jean
10% Owner
Holdings

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (39,758 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (18,705 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (38,660 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (1,633,743 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (59,998 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (8,175 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (11,110 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (222,752 underlying)

  • Series A Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (683,523 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (664,660 underlying)

  • Series B Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (150,801 underlying)

  • Series C Convertible Preferred Stock

    (indirect: See footnote)
    → Common Stock (137,286 underlying)
Footnotes (7)
  • [F1]Each share of Series A Convertible Preferred Stock shall automatically convert into Class A 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 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.
  • [F3]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.
  • [F4]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.
  • [F5]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.
  • [F6]Each share of Series B Convertible Preferred Stock shall automatically convert into Class A 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.
  • [F7]Each share of Series C Convertible Preferred Stock shall automatically convert into Class A 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.

Documents

2 files

Issuer

ALX ONCOLOGY HOLDINGS INC

CIK 0001810182

→
Entity typeother
IncorporatedDE

Related Parties

1
  • filerCIK 0001643828

Filing Metadata

Form type
3
Filed
Jul 15, 8:00 PM ET
Accepted
Jul 16, 8:45 PM ET
Size
36.8 KB
View on SEC.gov