0000899243-20-019915.txt : 20200721
0000899243-20-019915.hdr.sgml : 20200721
20200721202508
ACCESSION NUMBER: 0000899243-20-019915
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: Vivo Capital IX, LLC
CENTRAL INDEX KEY: 0001750698
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39386
FILM NUMBER: 201040014
BUSINESS ADDRESS:
STREET 1: 192 LYTTON AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
BUSINESS PHONE: 6506880818
MAIL ADDRESS:
STREET 1: 192 LYTTON AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vivo Capital Fund IX, L.P.
CENTRAL INDEX KEY: 0001750117
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39386
FILM NUMBER: 201040015
BUSINESS ADDRESS:
STREET 1: 192 LYTTON AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
BUSINESS PHONE: (650) 688-0818
MAIL ADDRESS:
STREET 1: 192 LYTTON AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vivo Opportunity, LLC
CENTRAL INDEX KEY: 0001728970
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39386
FILM NUMBER: 201040016
BUSINESS ADDRESS:
STREET 1: 192 LYTTON AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
BUSINESS PHONE: 6506880818
MAIL ADDRESS:
STREET 1: 192 LYTTON AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vivo Opportunity Fund, L.P.
CENTRAL INDEX KEY: 0001726403
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39386
FILM NUMBER: 201040017
BUSINESS ADDRESS:
STREET 1: 192 LYTTON AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
BUSINESS PHONE: 650-688-0818
MAIL ADDRESS:
STREET 1: 192 LYTTON AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
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
0001750698
Vivo Capital IX, LLC
C/O VIVO CAPITAL LLC
192 LYTTON AVENUE
PALO ALTO
CA
94301
0
0
1
0
0001750117
Vivo Capital Fund IX, L.P.
C/O VIVO CAPITAL LLC
192 LYTTON AVENUE
PALO ALTO
CA
94301
0
0
1
0
0001728970
Vivo Opportunity, LLC
C/O VIVO CAPITAL LLC
192 LYTTON AVENUE
PALO ALTO
CA
94301
0
0
1
0
0001726403
Vivo Opportunity Fund, L.P.
C/O VIVO CAPITAL LLC
192 LYTTON AVENUE
PALO ALTO
CA
94301
0
0
1
0
Common Stock
2020-07-21
4
P
0
789474
19.00
A
789474
I
See footnote
Common Stock
2020-07-21
4
C
0
3245048
A
4034522
I
See footnote
Common Stock
2020-07-21
4
P
0
185526
19.00
A
185526
I
See footnote
Series C Convertible Preferred Stock
2020-07-21
4
C
0
3158851
D
Common Stock
3158851
0
I
See footnote
The shares are held of record by Vivo Capital Fund IX, L.P. (VIVO IX LP). Vivo Capital IX, LLC (VIVO IX LLC) is the General Partner of VIVO IX LP. As the managing members of Vivo Capital IX, LLC, Frank Kung, Albert Cha, Edgar Engleman, Shan Fu and Chen Yu share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.
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 86,197 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 Vivo Opportunity Fund, L.P. (VOF). Vivo Opportunity, LLC is the general partner of VOF. As the managing members of Vivo Opportunity, LLC, Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang share voting and dispositive power with respect to the shares held of record by VIVO IX LP but each disclaims beneficial ownership of such shares except to the extent of his individual pecuniary interest therein.
/s/ Albert Cha, as a managing member of Vivo Capital IX, LLC
2020-07-21
/s/ Albert Cha, as a managing member of Vivo Capital IX, LLC, the general partner of VIVO IX LP
2020-07-21
/s/ Albert Cha, as a managing member of Vivo Opportunity, LLC
2020-07-21
/s/ Albert Cha, as a managing member of Vivo Opportunity, LLC, the general partner of Vivo Opportunity Fund, L.P.
2020-07-21