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