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