0000899243-20-019911.txt : 20200721
0000899243-20-019911.hdr.sgml : 20200721
20200721200150
ACCESSION NUMBER: 0000899243-20-019911
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200721
FILED AS OF DATE: 20200721
DATE AS OF CHANGE: 20200721
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GOODMAN COREY S
CENTRAL INDEX KEY: 0001278411
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39386
FILM NUMBER: 201039985
MAIL ADDRESS:
STREET 1: 1700 OWENS STREET
STREET 2: SUITE 595
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94158
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ALX ONCOLOGY HOLDINGS INC
CENTRAL INDEX KEY: 0001810182
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 850642577
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 866 MALCOLM ROAD, SUITE 100
CITY: BURLINGAME
STATE: CA
ZIP: 94010
BUSINESS PHONE: 650-466-7125
MAIL ADDRESS:
STREET 1: 866 MALCOLM ROAD, SUITE 100
CITY: BURLINGAME
STATE: CA
ZIP: 94010
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2020-07-21
0
0001810182
ALX ONCOLOGY HOLDINGS INC
ALXO
0001278411
GOODMAN COREY S
C/O VENBIO PARTNERS, LLC
1700 OWENS STREET, SUITE 595
SAN FRANCISCO
CA
94010
1
0
1
1
Executive Chairman
Common Stock
2020-07-21
4
C
0
3100020
A
3969789
I
See footnote
Common Stock
2020-07-21
4
P
0
850000
19.00
A
850000
I
See footnote
Common Stock
2020-07-21
4
C
0
3941949
A
5268325
I
See footnote
Common Stock
2020-07-21
4
C
0
93969
A
113287
I
See footnote
Common Stock
2020-07-21
4
C
0
52647
A
54083
I
See footnote
Common Stock
461811
I
See footnote
Series A Convertible Stock
2020-07-21
4
C
0
3100020
D
Common Stock
3100020
0
I
See footnote
Series A Convertible Stock
2020-07-21
4
C
0
2398588
D
Common Stock
2398588
0
I
See footnote
Series B Convertible Stock
2020-07-21
4
C
0
490411
D
Common Stock
490411
0
I
See footnote
Series C Convertible Stock
2020-07-21
4
C
0
1052950
D
Common Stock
1052950
0
I
See footnote
Series A Convertible Stock
2020-07-21
4
C
0
78175
D
Common Stock
78175
0
I
See footnote
Series B Convertible Stock
2020-07-21
4
C
0
15794
D
Common Stock
15794
0
I
See footnote
Series C Convertible Stock
2020-07-21
4
C
0
52647
D
Common Stock
52647
0
I
See footnote
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.
Includes 869,618 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
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.
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.
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.
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.
Includes 476,376 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
Includes 19,318 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
The shares are held of record by the Goodman Barinaga Trust for which the reporting person serves as trustee.
Includes 1,436 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
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.
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.
/s/ Peter Garcia, by power of attorney
2020-07-21