0001209191-21-069867.txt : 20211215 0001209191-21-069867.hdr.sgml : 20211215 20211215210305 ACCESSION NUMBER: 0001209191-21-069867 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211213 FILED AS OF DATE: 20211215 DATE AS OF CHANGE: 20211215 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: 211495706 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: Carusi Michael A CENTRAL INDEX KEY: 0001306506 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39386 FILM NUMBER: 211495707 MAIL ADDRESS: STREET 1: 1000 WINTER STREET STREET 2: SUITE 3700 CITY: WALTHAM STATE: MA ZIP: 02451 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: 211495705 MAIL ADDRESS: STREET 1: 125 CONSTITUTION DRIVE CITY: MENLO PARK STATE: CA ZIP: 94025-1118 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: 211495712 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: 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: 211495710 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, 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: 211495713 BUSINESS ADDRESS: STREET 1: 2884 SAND HILL ROAD, SUITE 121 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: (617) 850-9700 MAIL ADDRESS: STREET 1: 2884 SAND HILL ROAD, SUITE 121 CITY: MENLO PARK STATE: CA ZIP: 94025 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: 211495709 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: 211495708 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 (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: 211495711 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 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: 323 ALLERTON AVENUE CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 650-466-7125 MAIL ADDRESS: STREET 1: 323 ALLERTON AVENUE CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-12-13 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 94025 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 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 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 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 2021-12-13 4 S 0 11945 25.29 D 2127969 I By Lightstone Ventures, L.P. Common Stock 2021-12-13 4 S 0 1627 25.29 D 290131 I By Lightstone Ventures (A), L.P. Common Stock 2021-12-13 4 S 0 17169 26.48 D 2110800 I By Lightstone Ventures, L.P. Common Stock 2021-12-13 4 S 0 2339 26.48 D 287792 I By Lightstone Ventures (A), L.P. Common Stock 2021-12-13 4 S 0 9509 27.49 D 2101291 I By Lightstone Ventures, L.P. Common Stock 2021-12-13 4 S 0 1296 27.49 D 286496 I By Lightstone Ventures (A), L.P. Common Stock 2021-12-13 4 S 0 2196 28.37 D 2099095 I By Lightstone Ventures, L.P. Common Stock 2021-12-13 4 S 0 299 28.37 D 286197 I By Lightstone Ventures (A), L.P. Common Stock 2021-12-13 4 S 0 1329 29.60 D 2097766 I By Lightstone Ventures, L.P. Common Stock 2021-12-13 4 S 0 181 29.60 D 286016 I By Lightstone Ventures (A), L.P. Common Stock 2021-12-13 4 S 0 440 30.23 D 2097326 I By Lightstone Ventures, L.P. Common Stock 2021-12-13 4 S 0 60 30.23 D 285956 I By Lightstone Ventures (A), L.P. Common Stock 2023469 I By Lightstone Ventures II, L.P. Common Stock 120212 I By Lightstone Ventures II (A), L.P. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.01 to $26.00 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Shares are held directly by Lightstone Ventures, L.P. ("LV LP"). LSV Associates, LLC (LSV Associates), is the general partner of LV LP and may be deemed to beneficially own the shares held by LV LP. Michael A. Carusi, Jean M. George and Henry A. Plain, Jr. are the managing directors of LSV Associates and may be deemed to share voting and investment power over the shares held by LV LP. Each of LSV Associates and Messrs. Carusi, George and Plain disclaims beneficial ownership of these shares except to the extent of its, his or her respective pecuniary interest therein. Shares are held directly by Lightstone Ventures (A), L.P. ("LV(A) LP"). LSV Associates is the general partner of LV(A) LP and may be deemed to beneficially own the shares held by LV(A) LP. Michael A. Carusi, Jean M. George and Henry A. Plain, Jr. are the managing directors of LSV Associates and may be deemed to share voting and investment power over the shares held by LV(A) LP. Each of LSV Associates and Messrs. Carusi, George and Plain disclaims beneficial ownership of these shares except to the extent of its, his or her respective pecuniary interest therein. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.01 to $26.99 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.00 to $27.95 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.01 to $28.97 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.00 to $29.95 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.11 to $30.29 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Shares are held directly by Lightstone Ventures II, L.P. ("LV II LP"). LSV Associates II, LLC (LSV Associates II), is the general partner of LV II LP and may be deemed to beneficially own the shares held by LV II LP. Michael A. Carusi, Jean M. George, Jason W. Lettmann and Henry A. Plain, Jr. are the managing directors of LSV Associates II and may be deemed to share voting and investment power over the shares held by LV II LP. Each of LSV Associates II and Messrs. Carusi, George and Plain disclaims beneficial ownership of these shares except to the extent of its, his or her respective pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports. Shares are held directly by Lightstone Ventures II (A), L.P. ("LV II(A) LP"). LSV Associates II, is the general partner of LV II(A) LP and may be deemed to beneficially own the shares held by LV II(A) LP. Michael A. Carusi, Jean M. George, Jason W. Lettmann and Henry A. Plain, Jr. are the managing directors of LSV Associates II and may be deemed to share voting and investment power over the shares held by LV II(A) LP. Each of LSV Associates II and Messrs. Carusi, George and Plain disclaims beneficial ownership of these shares except to the extent of its, his or her respective pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports. LSV Associates, LLC, By /s/ Travis Boettner, Attorney-in-Fact 2021-12-15 Lightstone Ventures, L.P., By: LSV Associates, LLC, its general partner, By /s/ Travis Boettner, Attorney-in-Fact 2021-12-15 Lightstone Ventures (A), L.P., By: LSV Associates, LLC, its general partner, By /s/ Travis Boettner, Attorney-in-Fact 2021-12-15 LSV Associates II, LLC, By /s/ Travis Boettner, Attorney-in-Fact 2021-12-15 Lightstone Ventures II, L.P., By: LSV Associates II, LLC, its general partner, By /s/ Travis Boettner, Attorney-in-Fact 2021-12-15 Lightstone Ventures II (A), L.P., By: LSV Associates II, LLC, its general partner, By /s/ Travis Boettner, Attorney-in-Fact 2021-12-15 Michael A. Carusi, By /s/ Travis Boettner, Attorney-in-Fact 2021-12-15 Jean M. George, By /s/ Travis Boettner, Attorney-in-Fact 2021-12-15 Henry A. Plain, Jr., By /s/ Travis Boettner, Attorney-in-Fact 2021-12-15