Vivo Capital IX, LLC 4
4 · ALX ONCOLOGY HOLDINGS INC · Filed Jul 21, 2020
Insider Transaction Report
Form 4
Vivo Capital IX, LLC
10% Owner
Transactions
- Purchase
Common Stock
2020-07-21$19.00/sh+185,526$3,524,994→ 185,526 total(indirect: See footnote) - Purchase
Common Stock
2020-07-21$19.00/sh+789,474$15,000,006→ 789,474 total(indirect: See footnote) - Conversion
Common Stock
2020-07-21+3,245,048→ 4,034,522 total(indirect: See footnote) - Conversion
Series C Convertible Preferred Stock
2020-07-21−3,158,851→ 0 total(indirect: See footnote)→ Common Stock (3,158,851 underlying)
Footnotes (4)
- [F1]The shares are 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, 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.
- [F2]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.
- [F3]Includes 86,197 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
- [F4]The shares are held of record by Vivo Opportunity Fund, L.P. (VOF). Vivo Opportunity, LLC is the general partner of VOF. As the managing members of Vivo Opportunity, LLC, Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang 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.