0000899243-21-048463.txt : 20211215 0000899243-21-048463.hdr.sgml : 20211215 20211215214832 ACCESSION NUMBER: 0000899243-21-048463 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: Lettmann Jason CENTRAL INDEX KEY: 0001688269 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39386 FILM NUMBER: 211495808 MAIL ADDRESS: STREET 1: C/O RA PHARMACEUTICALS, INC. STREET 2: 87 CAMBRIDGEPARK DRIVE CITY: CAMBRIDGE STATE: MA ZIP: 02140 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 0001688269 Lettmann Jason C/O LSV CAPITAL MANAGEMENT, LLC 2884 SAND HILL ROAD, SUITE 121 MENLO PARK CA 94025 1 0 1 0 Common Stock 2021-12-13 4 S 0 11945 25.29 D 2127969 I See footnote Common Stock 2021-12-13 4 S 0 1627 25.29 D 290131 I See footnote Common Stock 2021-12-13 4 S 0 17169 26.48 D 2110800 I See footnote Common Stock 2021-12-13 4 S 0 2339 26.48 D 287792 I See footnote Common Stock 2021-12-13 4 S 0 286496 27.49 D 2101291 I See footnote Common Stock 2021-12-13 4 S 0 1296 27.49 D 286496 I See footnote Common Stock 2021-12-13 4 S 0 2196 28.37 D 2099095 I See footnote Common Stock 2021-12-13 4 S 0 299 28.37 D 286197 I See footnote Common Stock 2021-12-13 4 S 0 1329 29.60 D 2097766 I See footnote Common Stock 2021-12-13 4 S 0 181 29.60 D 286016 I See footnote Common Stock 2021-12-13 4 S 0 440 30.23 D 2097326 I See footnote Common Stock 2021-12-13 4 S 0 60 30.23 D 285956 I See footnote Common Stock 2023469 I See footnote Common Stock 120212 I See footnote Common Stock 107220 D 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. The shares are held of record by shares held of record by Lightstone Ventures, LP (LV LP) for which LSV Associates, LLC (LSV Associates) is the General Partner. The reporting person shares voting and dispositive power with respect to the shares held of record by LV 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 shares held of record by Lightstone Ventures (A), LP (LV(A) LP) for which LSV Associates is the General Partner. The reporting person shares voting and dispositive power with respect to the shares held of record by LV(A) LP but disclaims beneficial ownership of such shares except to the extent of his individual 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. The shares are held of record by Lightstone Ventures II, LP (LV II LP). As a managing director of LSV Associates II, LLC (LSV Associates II), the General Partner of LV II LP, the reporting person shares voting and dispositive power with respect to the shares held of record by LV II 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 Lightstone Ventures II(A), LP (LV II(A) LP). As a managing director of LSV Associates II, the reporting person shares voting and dispositive power with respect to the shares held of record by LV II(A) 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 2021-12-15