0000899243-20-020030.txt : 20200722
0000899243-20-020030.hdr.sgml : 20200722
20200722161834
ACCESSION NUMBER: 0000899243-20-020030
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200721
FILED AS OF DATE: 20200722
DATE AS OF CHANGE: 20200722
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LSV Associates, LLC
CENTRAL INDEX KEY: 0001643828
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39386
FILM NUMBER: 201041675
BUSINESS ADDRESS:
STREET 1: 500 BOYLSTON STREET, SUITE 1380
CITY: BOSTON
STATE: MA
ZIP: 02116
BUSINESS PHONE: (617) 850-9700
MAIL ADDRESS:
STREET 1: 500 BOYLSTON STREET, SUITE 1380
CITY: BOSTON
STATE: MA
ZIP: 02116
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Lightstone Ventures, L.P.
CENTRAL INDEX KEY: 0001572522
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39386
FILM NUMBER: 201041676
BUSINESS ADDRESS:
STREET 1: 500 BOYLSTON STREET, SUITE 1380
CITY: BOSTON
STATE: MA
ZIP: 02116
BUSINESS PHONE: (617) 933-3770
MAIL ADDRESS:
STREET 1: 500 BOYLSTON STREET, SUITE 1380
CITY: BOSTON
STATE: MA
ZIP: 02116
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Lightstone Ventures (A), L.P.
CENTRAL INDEX KEY: 0001572523
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39386
FILM NUMBER: 201041677
BUSINESS ADDRESS:
STREET 1: 500 BOYLSTON STREET, SUITE 1380
CITY: BOSTON
STATE: MA
ZIP: 02116
BUSINESS PHONE: (617) 933-3770
MAIL ADDRESS:
STREET 1: 500 BOYLSTON STREET, SUITE 1380
CITY: BOSTON
STATE: MA
ZIP: 02116
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Lightstone Ventures II, L.P.
CENTRAL INDEX KEY: 0001699565
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39386
FILM NUMBER: 201041678
BUSINESS ADDRESS:
STREET 1: 500 BOYLSTON STREET, SUITE 1380
CITY: BOSTON
STATE: MA
ZIP: 02116
BUSINESS PHONE: (617) 850 - 9700
MAIL ADDRESS:
STREET 1: 500 BOYLSTON STREET, SUITE 1380
CITY: BOSTON
STATE: MA
ZIP: 02116
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Lightstone Ventures II (A), L.P.
CENTRAL INDEX KEY: 0001706610
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39386
FILM NUMBER: 201041679
BUSINESS ADDRESS:
STREET 1: 500 BOYLSTON STREET, SUITE 1380
CITY: BOSTON
STATE: MA
ZIP: 02116
BUSINESS PHONE: (617) 850-9700
MAIL ADDRESS:
STREET 1: 500 BOYLSTON STREET, SUITE 1380
CITY: BOSTON
STATE: MA
ZIP: 02116
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LSV Associates II, LLC
CENTRAL INDEX KEY: 0001818388
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39386
FILM NUMBER: 201041680
BUSINESS ADDRESS:
STREET 1: 500 BOYLSTON STREET, SUITE 1380
CITY: BOSTON
STATE: MA
ZIP: 02116
BUSINESS PHONE: 617-850-9700
MAIL ADDRESS:
STREET 1: 500 BOYLSTON STREET, SUITE 1380
CITY: BOSTON
STATE: MA
ZIP: 02116
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Carusi Michael A
CENTRAL INDEX KEY: 0001306506
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39386
FILM NUMBER: 201041681
MAIL ADDRESS:
STREET 1: 1000 WINTER STREET
STREET 2: SUITE 3700
CITY: WALTHAM
STATE: MA
ZIP: 02451
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: George Jean
CENTRAL INDEX KEY: 0001291804
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39386
FILM NUMBER: 201041682
MAIL ADDRESS:
STREET 1: CRITICAL THERAPEUTICS INC
STREET 2: 60 WESTVIEW STREET
CITY: LEXINGTON
STATE: MA
ZIP: 02421
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Plain Henry A JR
CENTRAL INDEX KEY: 0001384286
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39386
FILM NUMBER: 201041683
MAIL ADDRESS:
STREET 1: 125 CONSTITUTION DRIVE
CITY: MENLO PARK
STATE: CA
ZIP: 94025-1118
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
0001643828
LSV Associates, LLC
C/O LSV CAPITAL MANAGEMENT, LLC
2884 SAND HILL ROAD, SUITE 121
MENLO PARK
CA
94025
0
0
1
0
0001572522
Lightstone Ventures, L.P.
C/O LSV CAPITAL MANAGEMENT, LLC
2884 SAND HILL ROAD, SUITE 121
MENLO PARK
CA
0
0
1
0
0001572523
Lightstone Ventures (A), L.P.
C/O LSV CAPITAL MANAGEMENT, LLC
2884 SAND HILL ROAD, SUITE 121
MENLO PARK
CA
94025
0
0
1
0
0001699565
Lightstone Ventures II, L.P.
C/O LSV CAPITAL MANAGEMENT, LLC
2884 SAND HILL ROAD, SUITE 121
MENLO PARK
CA
94025
0
0
1
0
0001706610
Lightstone Ventures II (A), L.P.
C/O LSV CAPITAL MANAGEMENT, LLC
2884 SAND HILL ROAD, SUITE 121
MENLO PARK
CA
94025
0
0
1
0
0001818388
LSV Associates II, LLC
C/O LSV CAPITAL MANAGEMENT, LLC
2884 SAND HILL ROAD, SUITE 121
MENLO PARK
CA
94025
0
0
1
0
0001306506
Carusi Michael A
C/O LSV CAPITAL MANAGEMENT, LLC
2884 SAND HILL ROAD, SUITE 121
MENLO PARK
CA
94025
0
0
1
0
0001291804
George Jean
C/O LSV CAPITAL MANAGEMENT, LLC
2884 SAND HILL ROAD, SUITE 121
MENLO PARK
CA
94025
0
0
1
0
0001384286
Plain Henry A JR
C/O LSV CAPITAL MANAGEMENT, LLC
2884 SAND HILL ROAD, SUITE 121
MENLO PARK
CA
94025
0
0
1
0
Common Stock
2020-07-21
4
C
0
1831027
A
2268087
I
See footnote
Common Stock
2020-07-21
4
C
0
249632
A
309222
I
See footnote
Common Stock
2020-07-21
4
P
0
378000
19.00
A
378000
I
See footnote
Common Stock
2020-07-21
4
C
0
1498984
A
2023469
I
See footnote
Common Stock
2020-07-21
4
P
0
22000
19.00
A
22000
I
See footnote
Common Stock
2020-07-21
4
C
0
111528
A
120212
I
See footnote
Series A Convertible Preferred Stock
2020-07-21
4
C
0
1633743
D
Common Stock
1633743
0
I
See footnote
Series A Convertible Preferred Stock
2020-07-21
4
C
0
222752
D
Common Stock
222752
0
I
See footnote
Series A Convertible Preferred Stock
2020-07-21
4
C
0
683523
D
Common Stock
683523
0
I
See footnote
Series A Convertible Preferred Stock
2020-07-21
4
C
0
39758
D
Common Stock
39758
0
I
See footnote
Series B Convertible Preferred Stock
2020-07-21
4
C
0
59998
D
Common Stock
59998
0
I
See footnote
Series B Convertible Preferred Stock
2020-07-21
4
C
0
8175
D
Common Stock
8175
0
I
See footnote
Series B Convertible Preferred Stock
2020-07-21
4
C
0
150801
D
Common Stock
150801
0
I
See footnote
Series B Convertible Preferred Stock
2020-07-21
4
C
0
11110
D
Common Stock
11110
0
I
See footnote
Series C Convertible Preferred Stock
2020-07-21
4
C
0
137286
D
Common Stock
137286
0
I
See footnote
Series C Convertible Preferred Stock
2020-07-21
4
C
0
18705
D
Common Stock
18705
0
I
See footnote
Series C Convertible Preferred Stock
2020-07-21
4
C
0
664660
D
Common Stock
664660
0
I
See footnote
Series C Convertible Preferred Stock
2020-07-21
4
C
0
38660
D
Common Stock
38660
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.
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 437,060 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 Lightstone Ventures, LP (LV LP). LSV Associates, LLC (LSV Associates), the General Partner of LV LP, and Michael A. Carusi, Jean M. George and Henry A. Plain, Jr., the individual managing directors of LSV Associates, share voting and dispositive power with respect to the shares held of record by LV LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein.
Includes 59,590 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 Lightstone Ventures (A), LP (LV(A) LP). LSV Associates, the General Partner of LV(A) LP, and Mr. Carusi, Ms. George and Mr. Plain, the individual managing directors of LSV Associates, share voting and dispositive power with respect to the shares held of record by LV(A) LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein.
The shares are held of record by Lightstone Ventures II, LP (LV II LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV II LP, and Mr. Carusi, Ms. George, Mr. Plain and Jason W. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports.
Includes 146,485 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 Lightstone Ventures II, LP (LV II(A) LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV(A) II LP, and Mr. Carusi, Ms. George, Mr. Plain and Mr. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II(A) LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports.
Includes 8,684 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.
/s/ Travis Boettner, by power of attorney for LSV Associates, LLC, the General Partner of Lightstone Ventures, L.P.
2020-07-21
/s/ Travis Boettner, by power of attorney for LSV Associates, LLC, the General Partner of Lightstone Ventures(A), L.P.
2020-07-21
/s/ Travis Boettner, by power of attorney for LSV Associates, LLC
2020-07-21
/s/ Travis Boettner, by power of attorney for LSV Associates II, LLC, the General Partner of Lightstone Ventures II, L.P.
2020-07-21
/s/ Travis Boettner, by power of attorney for LSV Associates II, LLC, the General Partner of Lightstone Ventures II(A), L.P.
2020-07-21
/s/ Travis Boettner, by power of attorney for LSV Associates II, LLC
2020-07-21
/s/ Travis Boettner, by power of attorney for Michael A. Carusi
2020-07-21
/s/ Travis Boettner, by power of attorney for Jean M. George
2020-07-21
/s/ Travis Boettner, by power of attorney for Henry A. Plain, Jr.
2020-07-21