Home/Filings/4/0000905148-20-000827

4//SEC Filing

venBio Global Strategic GP, Ltd. 4

Accession 0000905148-20-000827

CIK 0001810182other

View on SEC.gov Company Profile

Filed

Jul 20, 8:00 PM ET

Accepted

Jul 21, 9:29 PM ET

Size

35.0 KB

Accession

0000905148-20-000827

Insider Transaction Report

Form 4

Period: 2020-07-21

ALX ONCOLOGY HOLDINGS INCALXO

venBio Global Strategic Fund, L.P.

10% OwnerOther

Transactions

Conversion
Common Stock
2020-07-21+3,941,949→ 4,418,325 total(indirect: See footnote)
Purchase
Common Stock
2020-07-21$19.00/sh+850,000$16,150,000→ 5,268,325 total(indirect: See footnote)
Conversion
Series A Convertible Preferred Stock
2020-07-21−2,398,588→ 0 total(indirect: See footnote)
→ Common Stock (2,398,588 underlying)
Conversion
Common Stock
2020-07-21+3,100,020→ 3,969,789 total(indirect: See footnote)
Purchase
Common Stock
2020-07-21$19.00/sh+3,000$57,000→ 99,406 total
Conversion
Series A Convertible Preferred Stock
2020-07-21−3,100,020→ 0 total(indirect: See footnote)
→ Common Stock (3,100,020 underlying)
Conversion
Common Stock
2020-07-21+78,175→ 96,406 total
Conversion
Series A Convertible Preferred Stock
2020-07-21−78,175→ 0 total
→ Common Stock (78,175 underlying)
Conversion
Series B Convertible Preferred Stock
2020-07-21−490,411→ 0 total(indirect: See footnote)
→ Common Stock (490,411 underlying)
Conversion
Series C Convertible Preferred Stock
2020-07-16−1,052,950→ 0 total(indirect: See footnote)
→ Common Stock (1,052,950 underlying)

Holdings

Common Stock
(indirect: See footnotes)
461,811

venBio Global Strategic GP, Ltd.

10% OwnerOther

Transactions

Conversion
Common Stock
2020-07-21+78,175→ 96,406 total
Conversion
Series A Convertible Preferred Stock
2020-07-21−3,100,020→ 0 total(indirect: See footnote)
→ Common Stock (3,100,020 underlying)
Purchase
Common Stock
2020-07-21$19.00/sh+850,000$16,150,000→ 5,268,325 total(indirect: See footnote)
Conversion
Series A Convertible Preferred Stock
2020-07-21−2,398,588→ 0 total(indirect: See footnote)
→ Common Stock (2,398,588 underlying)
Conversion
Series B Convertible Preferred Stock
2020-07-21−490,411→ 0 total(indirect: See footnote)
→ Common Stock (490,411 underlying)
Conversion
Common Stock
2020-07-21+3,100,020→ 3,969,789 total(indirect: See footnote)
Purchase
Common Stock
2020-07-21$19.00/sh+3,000$57,000→ 99,406 total
Conversion
Common Stock
2020-07-21+3,941,949→ 4,418,325 total(indirect: See footnote)
Conversion
Series A Convertible Preferred Stock
2020-07-21−78,175→ 0 total
→ Common Stock (78,175 underlying)
Conversion
Series C Convertible Preferred Stock
2020-07-16−1,052,950→ 0 total(indirect: See footnote)
→ Common Stock (1,052,950 underlying)

Holdings

Common Stock
(indirect: See footnotes)
461,811

venBio Global Strategic Fund II L.P.

10% OwnerOther

Transactions

Purchase
Common Stock
2020-07-21$19.00/sh+850,000$16,150,000→ 5,268,325 total(indirect: See footnote)
Purchase
Common Stock
2020-07-21$19.00/sh+3,000$57,000→ 99,406 total
Conversion
Series B Convertible Preferred Stock
2020-07-21−490,411→ 0 total(indirect: See footnote)
→ Common Stock (490,411 underlying)
Conversion
Common Stock
2020-07-21+3,100,020→ 3,969,789 total(indirect: See footnote)
Conversion
Series A Convertible Preferred Stock
2020-07-21−2,398,588→ 0 total(indirect: See footnote)
→ Common Stock (2,398,588 underlying)
Conversion
Common Stock
2020-07-21+78,175→ 96,406 total
Conversion
Series C Convertible Preferred Stock
2020-07-16−1,052,950→ 0 total(indirect: See footnote)
→ Common Stock (1,052,950 underlying)
Conversion
Series A Convertible Preferred Stock
2020-07-21−78,175→ 0 total
→ Common Stock (78,175 underlying)
Conversion
Series A Convertible Preferred Stock
2020-07-21−3,100,020→ 0 total(indirect: See footnote)
→ Common Stock (3,100,020 underlying)
Conversion
Common Stock
2020-07-21+3,941,949→ 4,418,325 total(indirect: See footnote)

Holdings

Common Stock
(indirect: See footnotes)
461,811

venBio Global Strategic GP, L.P.

10% OwnerOther

Transactions

Conversion
Common Stock
2020-07-21+78,175→ 96,406 total
Conversion
Common Stock
2020-07-21+3,941,949→ 4,418,325 total(indirect: See footnote)
Purchase
Common Stock
2020-07-21$19.00/sh+850,000$16,150,000→ 5,268,325 total(indirect: See footnote)
Conversion
Series A Convertible Preferred Stock
2020-07-21−78,175→ 0 total
→ Common Stock (78,175 underlying)
Conversion
Series A Convertible Preferred Stock
2020-07-21−2,398,588→ 0 total(indirect: See footnote)
→ Common Stock (2,398,588 underlying)
Conversion
Series C Convertible Preferred Stock
2020-07-16−1,052,950→ 0 total(indirect: See footnote)
→ Common Stock (1,052,950 underlying)
Conversion
Common Stock
2020-07-21+3,100,020→ 3,969,789 total(indirect: See footnote)
Purchase
Common Stock
2020-07-21$19.00/sh+3,000$57,000→ 99,406 total
Conversion
Series A Convertible Preferred Stock
2020-07-21−3,100,020→ 0 total(indirect: See footnote)
→ Common Stock (3,100,020 underlying)
Conversion
Series B Convertible Preferred Stock
2020-07-21−490,411→ 0 total(indirect: See footnote)
→ Common Stock (490,411 underlying)

Holdings

Common Stock
(indirect: See footnotes)
461,811

venBio Global Strategic GP II, L.P.

10% OwnerOther

Transactions

Purchase
Common Stock
2020-07-21$19.00/sh+850,000$16,150,000→ 5,268,325 total(indirect: See footnote)
Purchase
Common Stock
2020-07-21$19.00/sh+3,000$57,000→ 99,406 total
Conversion
Series A Convertible Preferred Stock
2020-07-21−2,398,588→ 0 total(indirect: See footnote)
→ Common Stock (2,398,588 underlying)
Conversion
Common Stock
2020-07-21+3,100,020→ 3,969,789 total(indirect: See footnote)
Conversion
Series A Convertible Preferred Stock
2020-07-21−78,175→ 0 total
→ Common Stock (78,175 underlying)
Conversion
Series A Convertible Preferred Stock
2020-07-21−3,100,020→ 0 total(indirect: See footnote)
→ Common Stock (3,100,020 underlying)
Conversion
Series B Convertible Preferred Stock
2020-07-21−490,411→ 0 total(indirect: See footnote)
→ Common Stock (490,411 underlying)
Conversion
Series C Convertible Preferred Stock
2020-07-16−1,052,950→ 0 total(indirect: See footnote)
→ Common Stock (1,052,950 underlying)
Conversion
Common Stock
2020-07-21+78,175→ 96,406 total
Conversion
Common Stock
2020-07-21+3,941,949→ 4,418,325 total(indirect: See footnote)

Holdings

Common Stock
(indirect: See footnotes)
461,811

venBio Global Strategic GP II, Ltd.

10% OwnerOther

Transactions

Purchase
Common Stock
2020-07-21$19.00/sh+3,000$57,000→ 99,406 total
Conversion
Series A Convertible Preferred Stock
2020-07-21−2,398,588→ 0 total(indirect: See footnote)
→ Common Stock (2,398,588 underlying)
Conversion
Common Stock
2020-07-21+3,100,020→ 3,969,789 total(indirect: See footnote)
Conversion
Series A Convertible Preferred Stock
2020-07-21−78,175→ 0 total
→ Common Stock (78,175 underlying)
Conversion
Series A Convertible Preferred Stock
2020-07-21−3,100,020→ 0 total(indirect: See footnote)
→ Common Stock (3,100,020 underlying)
Conversion
Common Stock
2020-07-21+78,175→ 96,406 total
Conversion
Common Stock
2020-07-21+3,941,949→ 4,418,325 total(indirect: See footnote)
Purchase
Common Stock
2020-07-21$19.00/sh+850,000$16,150,000→ 5,268,325 total(indirect: See footnote)
Conversion
Series B Convertible Preferred Stock
2020-07-21−490,411→ 0 total(indirect: See footnote)
→ Common Stock (490,411 underlying)
Conversion
Series C Convertible Preferred Stock
2020-07-16−1,052,950→ 0 total(indirect: See footnote)
→ Common Stock (1,052,950 underlying)

Holdings

Common Stock
(indirect: See footnotes)
461,811

Adelman Robert J

10% OwnerOther

Transactions

Conversion
Series A Convertible Preferred Stock
2020-07-21−3,100,020→ 0 total(indirect: See footnote)
→ Common Stock (3,100,020 underlying)
Conversion
Series C Convertible Preferred Stock
2020-07-16−1,052,950→ 0 total(indirect: See footnote)
→ Common Stock (1,052,950 underlying)
Conversion
Common Stock
2020-07-21+3,941,949→ 4,418,325 total(indirect: See footnote)
Purchase
Common Stock
2020-07-21$19.00/sh+3,000$57,000→ 99,406 total
Conversion
Common Stock
2020-07-21+78,175→ 96,406 total
Conversion
Series A Convertible Preferred Stock
2020-07-21−2,398,588→ 0 total(indirect: See footnote)
→ Common Stock (2,398,588 underlying)
Conversion
Series B Convertible Preferred Stock
2020-07-21−490,411→ 0 total(indirect: See footnote)
→ Common Stock (490,411 underlying)
Purchase
Common Stock
2020-07-21$19.00/sh+850,000$16,150,000→ 5,268,325 total(indirect: See footnote)
Conversion
Series A Convertible Preferred Stock
2020-07-21−78,175→ 0 total
→ Common Stock (78,175 underlying)
Conversion
Common Stock
2020-07-21+3,100,020→ 3,969,789 total(indirect: See footnote)

Holdings

Common Stock
(indirect: See footnotes)
461,811

Footnotes (10)

[F1]The shares are held 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. Robert Adelman is a director of venBio Global Strategic GP, Ltd. Each of venBio Global Strategic GP, L.P., venBio Global Strategic GP, Ltd. and Mr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.
[F10]Includes 18,231 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
[F2]The shares are held by venBio SPV, LLC, which is wholly-owned by venBio Global Strategic Fund, L.P. Robert Adelman is a managing director of venBio SPV, LLC and disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein.
[F3]Includes 869,618 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
[F4]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.
[F5]Includes 476,376 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
[F6]The shares are held 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. Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, and Mr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.
[F7]The shares are held by Robert Adelman directly.
[F8]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.
[F9]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.

Documents

1 file

4
form4.xmlPrimary

Issuer

ALX ONCOLOGY HOLDINGS INC

CIK 0001810182

→

Entity typeother

IncorporatedCayman Islands

Related Parties

filerCIK 0001770835

Filing Metadata

Form type: 4
Filed: Jul 20, 8:00 PM ET
Accepted: Jul 21, 9:29 PM ET
Size: 35.0 KB

View on SEC.gov