LSV Associates, LLC 4
4 · ALX ONCOLOGY HOLDINGS INC · Filed Jul 22, 2020
Insider Transaction Report
Form 4
LSV Associates, LLC
10% Owner
Transactions
- Conversion
Series A Convertible Preferred Stock
2020-07-21−39,758→ 0 total(indirect: See footnote)→ Common Stock (39,758 underlying) - Conversion
Series C Convertible Preferred Stock
2020-07-21−38,660→ 0 total(indirect: See footnote)→ Common Stock (38,660 underlying) - Conversion
Common Stock
2020-07-21+1,498,984→ 2,023,469 total(indirect: See footnote) - Conversion
Common Stock
2020-07-21+1,831,027→ 2,268,087 total(indirect: See footnote) - Conversion
Common Stock
2020-07-21+111,528→ 120,212 total(indirect: See footnote) - Conversion
Series A Convertible Preferred Stock
2020-07-21−1,633,743→ 0 total(indirect: See footnote)→ Common Stock (1,633,743 underlying) - Conversion
Series B Convertible Preferred Stock
2020-07-21−11,110→ 0 total(indirect: See footnote)→ Common Stock (11,110 underlying) - Conversion
Series C Convertible Preferred Stock
2020-07-21−18,705→ 0 total(indirect: See footnote)→ Common Stock (18,705 underlying) - Conversion
Series A Convertible Preferred Stock
2020-07-21−222,752→ 0 total(indirect: See footnote)→ Common Stock (222,752 underlying) - Conversion
Series A Convertible Preferred Stock
2020-07-21−683,523→ 0 total(indirect: See footnote)→ Common Stock (683,523 underlying) - Conversion
Common Stock
2020-07-21+249,632→ 309,222 total(indirect: See footnote) - Conversion
Series B Convertible Preferred Stock
2020-07-21−8,175→ 0 total(indirect: See footnote)→ Common Stock (8,175 underlying) - Conversion
Series B Convertible Preferred Stock
2020-07-21−59,998→ 0 total(indirect: See footnote)→ Common Stock (59,998 underlying) - Purchase
Common Stock
2020-07-21$19.00/sh+378,000$7,182,000→ 378,000 total(indirect: See footnote) - Purchase
Common Stock
2020-07-21$19.00/sh+22,000$418,000→ 22,000 total(indirect: See footnote) - Conversion
Series B Convertible Preferred Stock
2020-07-21−150,801→ 0 total(indirect: See footnote)→ Common Stock (150,801 underlying) - Conversion
Series C Convertible Preferred Stock
2020-07-21−664,660→ 0 total(indirect: See footnote)→ Common Stock (664,660 underlying) - Conversion
Series C Convertible Preferred Stock
2020-07-21−137,286→ 0 total(indirect: See footnote)→ Common Stock (137,286 underlying)
Footnotes (11)
- [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]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.
- [F11]Includes 8,684 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
- [F2]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.
- [F3]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
- [F4]Includes 437,060 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
- [F5]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.
- [F6]Includes 59,590 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
- [F7]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.
- [F8]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.
- [F9]Includes 146,485 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.