GOODMAN COREY S 4

4 · ALX ONCOLOGY HOLDINGS INC · Filed Jul 21, 2020

Insider Transaction Report

Form 4

Period: 2020-07-21

ALX ONCOLOGY HOLDINGS INCALXO

GOODMAN COREY S

Director10% Owner

Transactions

Purchase
Common Stock
2020-07-21$19.00/sh+850,000$16,150,000→ 850,000 total(indirect: See footnote)
Conversion
Series A Convertible Stock
2020-07-21−2,398,588→ 0 total(indirect: See footnote)
→ Common Stock (2,398,588 underlying)
Conversion
Common Stock
2020-07-21+52,647→ 54,083 total(indirect: See footnote)
Conversion
Series A Convertible Stock
2020-07-21−78,175→ 0 total(indirect: See footnote)
→ Common Stock (78,175 underlying)
Conversion
Common Stock
2020-07-21+3,100,020→ 3,969,789 total(indirect: See footnote)
Conversion
Common Stock
2020-07-21+93,969→ 113,287 total(indirect: See footnote)
Conversion
Series A Convertible Stock
2020-07-21−3,100,020→ 0 total(indirect: See footnote)
→ Common Stock (3,100,020 underlying)
Conversion
Series B Convertible Stock
2020-07-21−490,411→ 0 total(indirect: See footnote)
→ Common Stock (490,411 underlying)
Conversion
Series B Convertible Stock
2020-07-21−15,794→ 0 total(indirect: See footnote)
→ Common Stock (15,794 underlying)
Conversion
Series C Convertible Stock
2020-07-21−1,052,950→ 0 total(indirect: See footnote)
→ Common Stock (1,052,950 underlying)
Conversion
Series C Convertible Stock
2020-07-21−52,647→ 0 total(indirect: See footnote)
→ Common Stock (52,647 underlying)
Conversion
Common Stock
2020-07-21+3,941,949→ 5,268,325 total(indirect: See footnote)

Holdings

Common Stock
(indirect: See footnote)
461,811

Footnotes (12)

[F1]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.
[F10]Includes 1,436 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
[F11]The shares are held of record by Emaldi Corporation for which the reporting person serves as a director. The reporting person disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein.
[F12]The shares are held of record by venBio SPV, LLC, which is wholly-owned by venBio Global Strategic Fund, L.P. The reporting person, a managing director of venBio SPV, LLC, disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein.
[F2]Includes 869,618 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
[F3]The shares are held of record by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. The reporting person, a director of venBio Global Strategic GP, Ltd., disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein.
[F4]The shares are held of record by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. The reporting person, a director of venBio Global Strategic GP II, Ltd., disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein.
[F5]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.
[F6]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.
[F7]Includes 476,376 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
[F8]Includes 19,318 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
[F9]The shares are held of record by the Goodman Barinaga Trust for which the reporting person serves as trustee.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION