0000905148-20-000827.txt : 20200721 0000905148-20-000827.hdr.sgml : 20200721 20200721212911 ACCESSION NUMBER: 0000905148-20-000827 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: venBio Global Strategic GP, Ltd. CENTRAL INDEX KEY: 0001770835 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39386 FILM NUMBER: 201040093 BUSINESS ADDRESS: STREET 1: 1700 OWENS STREET, SUITE 595 CITY: SAN FRANCISCO STATE: CA ZIP: 94158 BUSINESS PHONE: 415-800-0800 MAIL ADDRESS: STREET 1: 1700 OWENS STREET, SUITE 595 CITY: SAN FRANCISCO STATE: CA ZIP: 94158 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: venBio Global Strategic Fund II L.P. CENTRAL INDEX KEY: 0001634632 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39386 FILM NUMBER: 201040094 BUSINESS ADDRESS: STREET 1: 1700 OWENS STREET STREET 2: SUITE 595 CITY: SAN FRANCISCO STATE: CA ZIP: 94158 BUSINESS PHONE: 415-522-0100 MAIL ADDRESS: STREET 1: 1700 OWENS STREET STREET 2: SUITE 595 CITY: SAN FRANCISCO STATE: CA ZIP: 94158 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: venBio Global Strategic GP, L.P. CENTRAL INDEX KEY: 0001770834 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39386 FILM NUMBER: 201040095 BUSINESS ADDRESS: STREET 1: 1700 OWENS STREET, SUITE 595 CITY: SAN FRANCISCO STATE: CA ZIP: 94158 BUSINESS PHONE: 415-800-0800 MAIL ADDRESS: STREET 1: 1700 OWENS STREET, SUITE 595 CITY: SAN FRANCISCO STATE: CA ZIP: 94158 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: venBio Global Strategic GP II, L.P. CENTRAL INDEX KEY: 0001729409 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39386 FILM NUMBER: 201040096 BUSINESS ADDRESS: STREET 1: 1700 OWENS STREET STREET 2: SUITE 595 CITY: SAN FRANCISCO STATE: CA ZIP: 94158 BUSINESS PHONE: 415-522-0100 MAIL ADDRESS: STREET 1: 1700 OWENS STREET STREET 2: SUITE 595 CITY: SAN FRANCISCO STATE: CA ZIP: 94158 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: venBio Global Strategic GP II, Ltd. CENTRAL INDEX KEY: 0001729408 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39386 FILM NUMBER: 201040097 BUSINESS ADDRESS: STREET 1: 1700 OWENS STREET STREET 2: SUITE 595 CITY: SAN FRANCISCO STATE: CA ZIP: 94158 BUSINESS PHONE: 415-522-0100 MAIL ADDRESS: STREET 1: 1700 OWENS STREET STREET 2: SUITE 595 CITY: SAN FRANCISCO STATE: CA ZIP: 94158 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Adelman Robert J CENTRAL INDEX KEY: 0001329161 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39386 FILM NUMBER: 201040098 MAIL ADDRESS: STREET 1: 1700 OWENS STREET STREET 2: SUITE 595 CITY: SAN FRANCISCO STATE: CA ZIP: 94158 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: venBio Global Strategic Fund, L.P. CENTRAL INDEX KEY: 0001504130 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39386 FILM NUMBER: 201040099 BUSINESS ADDRESS: STREET 1: 1700 OWENS STREET, SUITE 595 CITY: SAN FRANCISCO STATE: CA ZIP: 94158 BUSINESS PHONE: 415-522-0100 MAIL ADDRESS: STREET 1: 1700 OWENS STREET, 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 form4.xml X0306 4 2020-07-21 0001810182 ALX ONCOLOGY HOLDINGS INC ALXO 0001329161 Adelman Robert J 1700 OWENS STREET SUITE 595 SAN FRANCISCO CA 94158 true true See Remarks 0001504130 venBio Global Strategic Fund, L.P. 1700 OWENS STREET, SUITE 595 SAN FRANCISCO CA 94158 true true See Remarks 0001770835 venBio Global Strategic GP, Ltd. 1700 OWENS STREET, SUITE 595 SAN FRANCISCO CA 94158 true true See Remarks 0001634632 venBio Global Strategic Fund II L.P. 1700 OWENS STREET SUITE 595 SAN FRANCISCO CA 94158 true true See Remarks 0001770834 venBio Global Strategic GP, L.P. 1700 OWENS STREET, SUITE 595 SAN FRANCISCO CA 94158 true true See Remarks 0001729409 venBio Global Strategic GP II, L.P. 1700 OWENS STREET SUITE 595 SAN FRANCISCO CA 94158 true true See Remarks 0001729408 venBio Global Strategic GP II, Ltd. 1700 OWENS STREET SUITE 595 SAN FRANCISCO CA 94158 true true See Remarks Common Stock 2020-07-21 4 C 0 78175 A 96406 D Common Stock 2020-07-21 4 C 0 3100020 A 3969789 I See footnote Common Stock 2020-07-21 4 C 0 3941949 A 4418325 I See footnote Common Stock 2020-07-21 4 P 0 850000 19 A 5268325 I See footnote Common Stock 2020-07-21 4 P 0 3000 19 A 99406 D Common Stock 461811 I See footnotes Series A Convertible Preferred Stock 2020-07-21 4 C 0 78175 D Common Stock 78175 0 D Series A Convertible Preferred Stock 2020-07-21 4 C 0 3100020 D Common Stock 3100020 0 I See footnote Series A Convertible Preferred Stock 2020-07-21 4 C 0 2398588 D Common Stock 2398588 0 I See footnote Series B Convertible Preferred Stock 2020-07-21 4 C 0 490411 D Common Stock 490411 0 I See footnote Series C Convertible Preferred Stock 2020-07-16 4 C 0 1052950 D Common Stock 1052950 0 I See footnote 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. 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. Includes 869,618 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020. 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 476,376 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020. 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. The shares are held by Robert Adelman directly. 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 18,231 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020. venBio Global Strategic Fund, L.P., by: venBio Global Strategic GP, L.P., its general partner, by: venBio Global Strategic GP, Ltd., its general partner, by: /s/ David Pezeshki, as attorney-in-fact 2020-07-21 venBio Global Strategic GP, L.P., by: venBio Global Strategic GP, Ltd., its general partner, by: /s/ David Pezeshki as attorney-in-fact 2020-07-21 venBio Global Strategic GP, Ltd., by: /s/ David Pezeshki, as attorney-in-fact 2020-07-21 venBio Global Strategic Fund II, L.P., by: venBio Global Strategic GP II, L.P., its general partner, by: venBio Global Strategic GP II, Ltd., its general partner, by: /s/ David Pezeshki, as attorney-in-fact 2020-07-21 venBio Global Strategic GP II, L.P., by: venBio Global Strategic GP II, Ltd., its general partner, by: /s/ David Pezeshki as attorney-in-fact 2020-07-21 venBio Global Strategic GP II, Ltd., by: /s/ David Pezeshki, as attorney-in-fact 2020-07-21 Robert Adelman, by: /s/ David Pezeshki, as attorney-in-fact 2020-07-21