0000899243-20-019913.txt : 20200721 0000899243-20-019913.hdr.sgml : 20200721 20200721200453 ACCESSION NUMBER: 0000899243-20-019913 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: Graham G. Walmsley CENTRAL INDEX KEY: 0001777517 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39386 FILM NUMBER: 201039989 BUSINESS ADDRESS: STREET 1: ONE SANSOME STREET, SUITE 3630 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 415-801-8100 MAIL ADDRESS: STREET 1: ONE SANSOME STREET, SUITE 3630 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 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 0001777517 Graham G. Walmsley C/O LOGOS GLOBAL MANAGEMENT, LP 1 LETTERMAN DRIVE, BLDG D, SUITE D3-700 SAN FRANCISCO CA 94129 1 0 0 0 Common Stock 2020-07-21 4 C 0 2105901 A 2161981 I See footnote Common Stock 2020-07-21 4 P 0 975000 19.00 A 975000 I See footnote Series C Convertible Preferred Stock 2020-07-21 4 C 0 2105901 D Common Stock 2105901 0 I See footnote 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 56,080 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 Logos Opportunities Fund I, L.P. (LOF I LP). As a managing member of Logos Opportunities GP, LLC, the general partner of LOF I LP, the reporting person shares voting and dispositive power with respect to the shares held of record by LOF I LP but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein. The shares are held of record by Logos Global Master Fund, L.P. (LGMF LP). As a managing member of Logos GP LLC, the general partner of LGMF LP, the reporting person shares voting and dispositive power with respect to the shares held of record by LGMF LP but disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein. /s/ Peter Garcia, by power of attorney 2020-07-21